View
1.160
Download
13
Tags:
Embed Size (px)
DESCRIPTION
JDA's one-of-a-kind Regulatory Affairs course is offered quarterly. Taught by 2 former career FAA managers and FAA GC it provides insight into FAA oversight and surveillance and how you can improve your working relation with the FAA and avoid enforcement action and fines. Go to www.jdasolutions.aero for more details
Citation preview
Aviation Technology Solutions 1
Regulatory Affairs Training
FAA Relations
Aviation Technology Solutions 2
Program
1 Introductions and Expectations 2 JDA Background 3 Current Operating Environment 4 Goals and Objectives 5 FAA Processes and Procedures 6 Pro Active Solutions 7 Summary and Feedback
Aviation Technology Solutions 3
Introductions and Expectations
Briefly state name and responsibilities Please share your expectations for course Please share example of FAA interfaceconfrontation Additional ldquowar storiesrdquo during course welcome ndash limit to 2 minutes please
Aviation Technology Solutions 4
Aviation Technology Solutions 5
Current Operating Environment
Lawmakers Outraged by FAA Safety Violations House Transportation amp Infrastructure Hearing
April 3 2008
Operators are no longer FAA customers Whistleblowers are heroes
New Office under Chief Counsel (AAE)
CMOFSDO Standardization - GAO Report ldquoInformalrdquo Field Station Visit Results
Aviation Technology Solutions 6
Current and Future Operating Environment
Regulatory Compliance Environment
Evolution of SurveillanceOversight Process
Air Transportation Oversight System (ATOS)
Part 121
System Approach for Safety Oversight (SASO)
Parts 121 135 145
Deploy in 2103
Aviation Technology Solutions 7
Current and Future Operating Environment
Safety Management System (SMS)
Parts 121 139 Final Rule NLT Oct 2012
Other Certificated Operators 135 145 TBD
New Entrant 121 operators
Must include SMS as part of formal application
SAS will provide oversight function and aligned with
SMS to ensure AFS ldquoSASrdquo Safety Assurance System
Aviation Technology Solutions 8
Key FAA HQ Management
Michael Huerta Acting FAA Administrator
Peggy Gilligan Associate Administrator for Aviation Safety
John Allen Director Flight Standards Service
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 2
Program
1 Introductions and Expectations 2 JDA Background 3 Current Operating Environment 4 Goals and Objectives 5 FAA Processes and Procedures 6 Pro Active Solutions 7 Summary and Feedback
Aviation Technology Solutions 3
Introductions and Expectations
Briefly state name and responsibilities Please share your expectations for course Please share example of FAA interfaceconfrontation Additional ldquowar storiesrdquo during course welcome ndash limit to 2 minutes please
Aviation Technology Solutions 4
Aviation Technology Solutions 5
Current Operating Environment
Lawmakers Outraged by FAA Safety Violations House Transportation amp Infrastructure Hearing
April 3 2008
Operators are no longer FAA customers Whistleblowers are heroes
New Office under Chief Counsel (AAE)
CMOFSDO Standardization - GAO Report ldquoInformalrdquo Field Station Visit Results
Aviation Technology Solutions 6
Current and Future Operating Environment
Regulatory Compliance Environment
Evolution of SurveillanceOversight Process
Air Transportation Oversight System (ATOS)
Part 121
System Approach for Safety Oversight (SASO)
Parts 121 135 145
Deploy in 2103
Aviation Technology Solutions 7
Current and Future Operating Environment
Safety Management System (SMS)
Parts 121 139 Final Rule NLT Oct 2012
Other Certificated Operators 135 145 TBD
New Entrant 121 operators
Must include SMS as part of formal application
SAS will provide oversight function and aligned with
SMS to ensure AFS ldquoSASrdquo Safety Assurance System
Aviation Technology Solutions 8
Key FAA HQ Management
Michael Huerta Acting FAA Administrator
Peggy Gilligan Associate Administrator for Aviation Safety
John Allen Director Flight Standards Service
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 3
Introductions and Expectations
Briefly state name and responsibilities Please share your expectations for course Please share example of FAA interfaceconfrontation Additional ldquowar storiesrdquo during course welcome ndash limit to 2 minutes please
Aviation Technology Solutions 4
Aviation Technology Solutions 5
Current Operating Environment
Lawmakers Outraged by FAA Safety Violations House Transportation amp Infrastructure Hearing
April 3 2008
Operators are no longer FAA customers Whistleblowers are heroes
New Office under Chief Counsel (AAE)
CMOFSDO Standardization - GAO Report ldquoInformalrdquo Field Station Visit Results
Aviation Technology Solutions 6
Current and Future Operating Environment
Regulatory Compliance Environment
Evolution of SurveillanceOversight Process
Air Transportation Oversight System (ATOS)
Part 121
System Approach for Safety Oversight (SASO)
Parts 121 135 145
Deploy in 2103
Aviation Technology Solutions 7
Current and Future Operating Environment
Safety Management System (SMS)
Parts 121 139 Final Rule NLT Oct 2012
Other Certificated Operators 135 145 TBD
New Entrant 121 operators
Must include SMS as part of formal application
SAS will provide oversight function and aligned with
SMS to ensure AFS ldquoSASrdquo Safety Assurance System
Aviation Technology Solutions 8
Key FAA HQ Management
Michael Huerta Acting FAA Administrator
Peggy Gilligan Associate Administrator for Aviation Safety
John Allen Director Flight Standards Service
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 4
Aviation Technology Solutions 5
Current Operating Environment
Lawmakers Outraged by FAA Safety Violations House Transportation amp Infrastructure Hearing
April 3 2008
Operators are no longer FAA customers Whistleblowers are heroes
New Office under Chief Counsel (AAE)
CMOFSDO Standardization - GAO Report ldquoInformalrdquo Field Station Visit Results
Aviation Technology Solutions 6
Current and Future Operating Environment
Regulatory Compliance Environment
Evolution of SurveillanceOversight Process
Air Transportation Oversight System (ATOS)
Part 121
System Approach for Safety Oversight (SASO)
Parts 121 135 145
Deploy in 2103
Aviation Technology Solutions 7
Current and Future Operating Environment
Safety Management System (SMS)
Parts 121 139 Final Rule NLT Oct 2012
Other Certificated Operators 135 145 TBD
New Entrant 121 operators
Must include SMS as part of formal application
SAS will provide oversight function and aligned with
SMS to ensure AFS ldquoSASrdquo Safety Assurance System
Aviation Technology Solutions 8
Key FAA HQ Management
Michael Huerta Acting FAA Administrator
Peggy Gilligan Associate Administrator for Aviation Safety
John Allen Director Flight Standards Service
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 5
Current Operating Environment
Lawmakers Outraged by FAA Safety Violations House Transportation amp Infrastructure Hearing
April 3 2008
Operators are no longer FAA customers Whistleblowers are heroes
New Office under Chief Counsel (AAE)
CMOFSDO Standardization - GAO Report ldquoInformalrdquo Field Station Visit Results
Aviation Technology Solutions 6
Current and Future Operating Environment
Regulatory Compliance Environment
Evolution of SurveillanceOversight Process
Air Transportation Oversight System (ATOS)
Part 121
System Approach for Safety Oversight (SASO)
Parts 121 135 145
Deploy in 2103
Aviation Technology Solutions 7
Current and Future Operating Environment
Safety Management System (SMS)
Parts 121 139 Final Rule NLT Oct 2012
Other Certificated Operators 135 145 TBD
New Entrant 121 operators
Must include SMS as part of formal application
SAS will provide oversight function and aligned with
SMS to ensure AFS ldquoSASrdquo Safety Assurance System
Aviation Technology Solutions 8
Key FAA HQ Management
Michael Huerta Acting FAA Administrator
Peggy Gilligan Associate Administrator for Aviation Safety
John Allen Director Flight Standards Service
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 6
Current and Future Operating Environment
Regulatory Compliance Environment
Evolution of SurveillanceOversight Process
Air Transportation Oversight System (ATOS)
Part 121
System Approach for Safety Oversight (SASO)
Parts 121 135 145
Deploy in 2103
Aviation Technology Solutions 7
Current and Future Operating Environment
Safety Management System (SMS)
Parts 121 139 Final Rule NLT Oct 2012
Other Certificated Operators 135 145 TBD
New Entrant 121 operators
Must include SMS as part of formal application
SAS will provide oversight function and aligned with
SMS to ensure AFS ldquoSASrdquo Safety Assurance System
Aviation Technology Solutions 8
Key FAA HQ Management
Michael Huerta Acting FAA Administrator
Peggy Gilligan Associate Administrator for Aviation Safety
John Allen Director Flight Standards Service
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 7
Current and Future Operating Environment
Safety Management System (SMS)
Parts 121 139 Final Rule NLT Oct 2012
Other Certificated Operators 135 145 TBD
New Entrant 121 operators
Must include SMS as part of formal application
SAS will provide oversight function and aligned with
SMS to ensure AFS ldquoSASrdquo Safety Assurance System
Aviation Technology Solutions 8
Key FAA HQ Management
Michael Huerta Acting FAA Administrator
Peggy Gilligan Associate Administrator for Aviation Safety
John Allen Director Flight Standards Service
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 8
Key FAA HQ Management
Michael Huerta Acting FAA Administrator
Peggy Gilligan Associate Administrator for Aviation Safety
John Allen Director Flight Standards Service
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 9
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 10
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 11
Record Fines
FAA bull Already collected twice as much
in fines then in final two years of Bush presidency
bull Fines are weighing on carriers that recently reported first collective profit in 2 12 years ldquoThe pendulum has swung pretty hardrsquorsquo
bullLevied $477 million in penalties since Obama took office 84 percent jump from 2007-2008
bull Proposed $774 million in fines 909 ndash 910 up 66 percent from 907-908
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 12
Operator Type Date Proposed Fine Alleged Violation
Horizon Air 121 120911 $777000 Maintenance non compliance
Evergreen Air 121 111111 $180000 Operations non Compliance
Skywest 121 102111 $160000 Maintenance non compliance
Pinnacle 121 102111 $1000000 Maintenance non compliance
Colgan Airlines 121 091511 $1892000 Operations non Compliance
Alaska Airlines 121 090911 $590000 Maintenance non compliance
Capital Cargo 121 082911 $298500 Maintenance non compliance
American Eagle 121 081011 $155000 Operations non Compliance
American Eagle 121 071111 $77500 Maintenance non compliance
Atlantic Southeast 121 071111 $132000 Maintenance non compliance
Federal Express 121 070811 $689800 Operations non Compliance
Air Tran 121 062311 $250000 Maintenance non compliance
United Airlines 121 061711 $584375 Operations non Compliance
Atlantic Southeast 121 061611 $425000 Maintenance non compliance
Lynx Aviation 121 040811 $350000 Maintenance non compliance
Executive Airlines 121 033011 $550000 Maintenance non compliance
Skywest 121 011811 $359000 Ops and Maint non Compliance
Total Proposed 121 $8470175
Significant Proposed Fines 2011 Part 121
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 13
Streamline Aviation 145 102111 $241200 Maintenance non compliance
Aviaton Technical Services 145 091211 $1100000 Maintenance non compliance
Aviation Specialities 145 071111 $77000 Maintenance non compliance
Jet Aircraft Miami 145 071111 $66000 Maintenance non compliance
Pemco World Aviation Svcs 145 012111 $170000 Operations non Compliance
San Antonio Aerospace 145 012011 $1025000 Operations non Compliance
Total Proposed 145 $2679200
Parachute Center 135 082911 $269000 Maintenance non compliance
Ameriflight 135 082611 $262000 Operations Non Compliance
Liberty Jet 135 071111 $75000 Operations Non Compliance
Apollo Aviation 135 071111 $77300 Maintenance non compliance
Jet Smart 135 071111 $133900 Maintenance non compliance
26 North Aviation 135 071111 $81000 Maintenance non compliance
Bimini Island Air 135 071111 Certificate Revocation Regulatory Violation
ERA Helicopters 135 070811 $194249 Operations Non Compliance
Corporate Air 135 021711 $585275 Maintenance non compliance
Heli-Dudes 135 010611 $330000 Regulatory Violation
Total Proposed 135 $2007724
Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers
Cessna Manufacturer 092211 $2400000 Manufacturing Process
Boeing Manufacturer 062711 $1050000 Regulatory Violation
Total Proposed Mfg $3450000
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
$-
$200000000
$400000000
$600000000
$800000000
$1000000000
$1200000000
$1400000000 Ja
n 2
00
7
Ap
r 2
00
7
Jul
20
07
Oct
20
07
Jan
20
08
Ap
r 2
00
8
Jul
20
08
Oct
20
08
Jan
20
09
Ap
r 2
00
9
Jul
20
09
Oct
20
09
Jan
20
10
Ap
r 2
01
0
Jul
20
10
Oct
20
10
Jan
20
11
Ap
r 2
01
1
Jul
20
11
Part 121 Cumulative Fines in $
Part 121 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
15
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
0
50
100
150
200
250
Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11
Part 121 Cumulative of Fines
Part 121 Fine Data Jan 2007 ndash Sept 2011
16
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
0
5
10
15
20
25
30
35
40
2007 2008 2009 2010 2011
of Revocations
Certificate Revocation All Certificate Holders
17
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
$-
$10000000
$20000000
$30000000
$40000000
$50000000
$60000000
$70000000
$80000000
$90000000
$100000000
Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11
Part 145 Fines in $
Part 145 Fine Data Jan 2007 ndash Sept 2011 Fines Levied
18
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
0
200000
400000
600000
800000
1000000
1200000
1400000
1600000
Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11
Part 135 Fines $
2009 - 119 Actions 2010 - 107 Actions 2011 - 91 Actions
Part 135 Fine Data Jan 2009 ndash Sept 2011 Fines Levied
19
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 19
Course Goals and Objectives
Understand FAA organization ASI authority responsibilities and job functions
Be familiar with hierarchy of FAA guidance including regulations orders handbooks etc
Learn to navigate FAA policy and information via FAAgov
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 20
Be familiar with FAA enforcement and other investigative processes
How to investigate and respond to FAA verbal communications and formal Letters of Investigation (LOI)
Understand importance of documenting all communications with FAA personnel
Course Goals and Objectives
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 21
Topics to be Covered
FAA Processes and Procedures
FAA Organization
FAA Roles and Responsibilities
Operator Information
Inspector Job Functions
Surveillance
Investigations
Compliance and Enforcement
Proactive Approaches
ldquoRegulatory Relationsrdquo
Regulatory Affairs Department
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 22
Take Home Knowledge and Skills
Understand FAA Organization
Who to go for what problem
Understand hierarchy of FAA guidance
Whatrsquos more important
USC CFR ADrsquos Orders amp handbooks ACrsquos Notices etc
Understand where to go within FAA information databases to research questions
Tricks to navigating FAAgov and other handy sites
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 23
Take Home Knowledge and Skills
Why are documents so important
Can be both prophylactic and offensive tools
Capture data history is important
Proactive approaches
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 24
FAA Organization amp
FAA Processes and Procedures
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 25 26 26
FAA Organization
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 26
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 27
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 28
29
29
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 29
FAA Organization
FAA Directory
30
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 30
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 31
Roles and Responsibilities Flight Standards (AFS) Division
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 32
Office of Rulemaking
ARM Quality
Integration amp Executive Service
AQS
Office of Air Traffic Oversight
AOV
Aircraft Certification
Service AIR Flight Standards
Service AFS
Office of Aerospace Medicine
AAM
Office of Accident Investigation amp Prevention - AAI
Deputy Associate Admin For
Aviation Safety ndash AVS-2
Associate Admin For Aviation Safety
AVS
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 33
Flight Tech and Procedures
AFS-400
Gen Aviation amp Commercial
AFS-800
Regulatory Support AFS-600
Resources amp Program Mgmt
AFS-100
Flight Standards Service
AFS
Air Transportation AFS-200
Aircraft Maintenance
AFS-300
Civil Aviation Registry AFS-700
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 34
Roles and Responsibilities of CMOFSDO
FSDO Organization
Chart
CMO Organization
Chart
Office hierarchy Responsibilities
Manger Assistant Manager Supervisors Principal Inspectors Assistant PI PPMs APMs CSIs DEPM ORA
MSP FSDO
Contacts
Alaska CMO
Contacts
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 35
Additional Method Employee List FSDOCMO
Northwest Mtn Region
Organizations
FAAgov may not contain all employee directories
You can always use
national employee directory to find someone
How do we get there
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 36
CMOFSDO Field Offices
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 37
Finding Operator Information
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 38
39
39
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 39 40
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 40
Inspector Policies amp Procedures
Flight Standards Information
Management System (FSIMS)
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 41
Inspector Job Functions
1 Surveillance
bull Most ImportantHighest Priority Job Function
1 Investigations
bull Accidents Incidents Occurrences Complaints Enforcement
2 Enforcement ndash Non-compliance is revealed
3 Certification ndash Demand WorkLow Priority
4 Reports ndash Documentation of all activities
FSIMS Table of Contents
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 42
Wherersquos FSIMS
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 43
Inspector Handbook
44
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 44
FAA Order 89001
45
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 45
Volume 1 Chapter 1 Handbook Organization Use and
Revision
Section 1 General Handbook Info
Paragraph 1-3 Standardization amp Coordination
C Conflicts with other FAA Orders
Paragraph 1-5
A Directive Information
B Guidance Information
General Information (FAA Order 89001)
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 46
Volume 1
Chapter 3 Inspector Responsibilities Administration Ethics and Conduct
Section 1 Responsibilities of ASI
Paragraph 1-156
Section 2 Personal Ethics and Conduct
Paragraph 1-176
A Unique Responsibilities of ASI
Inspector Conduct (FAA Order 89001)
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 47
Surveillance
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 48
Surveillance (FAA Order 89001)
Volume 6 Chapter 2 Parts 121 135 and 91 Subpart K
Inspection
Section 1 General Policies and Procedures for Surveillance
Paragraphs
6-165 Introduction
6-166 Objective of Surveillance Programs
6-168 Planning and Executing Surveillance Programs
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 49
Repair Stations Surveillance (FAA Order 89001)
Volume 6
50
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 50
Volume 6
Chapter 13 Enhanced Repair Station Oversight
Section 1 Introduction
Paragraph 6-2871
A Goals B Initiatives D Components
Operator Responsibilities
14 CFR 121363
Repair Station Responsibilities
14 CFR 145205
Repair Stations Surveillance (FAA Order 89001)
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 51
Volume 6
Chapter 2 Inspections (14CFR11959)
Section 3 General Inspection Practices and Procedures
Paragraph 6-214 Conducting an Inspection
B Advance Notice of Inspection
D Inspector Conduct
E Concluding inspection
Surveillance Conduct (FAA Order 89001)
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 52
Volume 10
Chapter 1 General
Chapter 2 Procedures for Design and Performance Assessment
Chapter 3 Risk Management Process
Chapter 4 Air Carrier Evaluation Process
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Chapter 6 The Certification Process of 121 Air Carriers
Air Transportation Oversight System ATOS Surveillance
(FAA Order 89001)
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 53
Volume 10
Chapter 5 Off-Hour Surveillance Assessment Decision Aid
Section 1
Paragraph 10-393
A Identifying and Recording Off-Hour Activity
B Necessity for Additional Off-Hour Surveillance
FAA Order 89001 (Formerly ASI Handbook)
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 54
Investigations
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 55
Volume 7 Investigations
56
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 56
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 1 Accident Investigations
Paragraph 7-3A References
FAA order 802011 ndash FAArsquos 9 Responsibilities in Accident Investigations
Paragraph 7-4A Definitions
49 CFR 8302
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 57
Volume 7 Investigations
Chapter 1 Accident amp Incident Investigation amp Reporting
Section 2 Incident Investigations and Occurrences
Paragraph 7-33 Definitions
A BC
Paragraph 7-34 Responsibilities
Paragraph 7-35 Notification
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 58
The FAA Information Highway
Hierarchy of Regulations Roadmap
DocumentsHIERARCHY OF FAA REGULATIONS
ORDERS NOTICES etc[1]doc
ROADMAPdoc
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 59
Compliance and Enforcement
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 60
Chapter 7 Conduct Violation Investigation
Section 1 General
Paragraph 7-223A General Definitions
Admin Legal Airworthy
Paragraph 7-225B Determining Enforceability
Restrictive Permissive amp Types
Volume 7 Investigations (89001)
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 61
Compliance amp Enforcement (89001)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 1 FAA Compliance Philosophy
Paragraph 14-1
A Compliance and Enforcement Differences
B Relating Compliance and Enforcement to Other Work Functions
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 62
Chapter 2 Policy and Objectives
2a FAArsquos Mission and Authority
2b Objective of Compliance and Enforcement Program
Ultimate Goal is to prevent occurrence of violations
First priority of FAA investigative personnel is to correct ongoing noncompliance
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 63
Chapter 2 Continuedhellip
3d Notifying Persons of Potential Violations
Chapter 4 Investigation of Violation
Applying Findings to Regulations Believed Violated
8a Enforceable Regulations
8c Burden and Standard of Proof
8d Relevance and Materiality
Compliance amp Enforcement (21503B)
Legal Comment
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 64
Chapter 4 Continuedhellip
Paragraph 9 Letter of Investigation and Response
9a General
9b Preparation of an LOI
9c Sending the LOI to the Apparent Violator
Sample LOI
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 65
Chapter 4 Continuedhellip
Paragraph 10 Evidence
10c (2) Witness Interviews
10c (3) Conducting Interview
Record of Interview
Record of Telephone Conversation
Compliance amp Enforcement (21503B)
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 66
Compliance amp Enforcement (21503B)
Chapter 5 Actions and Responsibilities of FAA
Paragraph 2 Selection of Enforcement Action
Paragraph 3 Admin Action
3b Warning Notice
3c Letter of Correction
Paragraph 5 Informal Action
Paragraph 6 Re-inspection amp Re-examination
Sample Letter Requesting Reexamination
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 67
Compliance amp Enforcement (21503B)
Appendix F Enforcement Decision Process
1 Introduction
a Purpose
b EDP Worksheet
2 Applying the EDP
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 68
Compliance amp Enforcement (89001)
Applying EDP (continued)
Volume 14
Chapter 1 Introduction to Investigation and Compliance Related Tasks
Section 8 Enforcement Decision Process
EDP worksheet
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 69
Compliance amp Enforcement (21503B)
Chapter 2 CampE Policy and Objectives
Paragraph 4 Responsibility for Determining Legal Enforcement
a General
b Responsibilities of FAA investigative Personnel
Responsibilities
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 70
Compliance amp Enforcement (21503B)
Table of Sanctions Appendix B
Classification of Air carrier
Civil Penalty Ranges
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 71
Compliance amp Enforcement (89001)
Volume 14
Chapter 2 CampE Special Considerations
Section 1
Paragraph 14-158
SNAAP
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 72
Responding to Investigations
How operators should conduct internal investigation
Responding to LOI
When and how to respond to FAA
See files from Appendix B amp D of SOP Manual
SOP ldquoBrdquo
SOP ldquoDrdquo
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 73
FAA Order 89001 (Formerly ASI Handbook)
Volume 1 General Guidance and Information
Chapter 2 FAA and AFS History Organization and Regulatory Responses
Section 2 Title 49 United States Code
Paragraph 1-118 Air Carrier Responsibilities for Public Safety
Section 44702(b) 44709 44713b of 49 USC
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 74
Regulation 11959 Conducting Tests and inspections
Certificate holder must
Regulation 121135 Manual Contents
Manual must contain
Operator Responsibilities 14 CFR 119 amp 121
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 75
14 CFR
11943 - Certificate holderrsquos duty to maintain operations specifications
11949 ndash Contents of operations specifications
Volume 3 General Technical Admin
Chapter 18 Operations Specifications
Section 1 Background Information
Paragraph 3-679 3-681 Availability of OPSPECS to Crew members and other employee personnel
Operator Responsibilities Operations Specifications
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 76
Non-Compliance Resolutions
Threat of Enforcement via OPSPECS
11951 Amending Operations Specifications
Best Practice
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 77
Pro-Active Solutions
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 78
Regulatory Relations
WHO is doing WHAT amp WHY
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 79
Share Your Worst FAA Inspector Experience
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 80
Reasons not to attack FAA
Analyze Learn and GET OVER IT
Constant state of angst anxiety and anger WILL not allow you to do your job
FAA gets 51 of vote and is 800lb Gorilla
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 81
Reasons not to attack FAA
Public perception
Individuals with whom you are dealing may not accept concept but regulatory process can be cooperative
Your objective ndash move to positive relationship
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 82
Reasons not to attack FAA
In your best interest to have relationship that is
Positive
Proactive
Preventative
Cooperative
ldquoIrsquom OK Yoursquore OKrdquo Relationship
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Positive Regulatory Relationship
Key attributes for person(s) assigned to be FAA POC
Easy to work with
Positive attitude
Polite
Has ready smile
Listens to learn
Cool under pressure maybe having quiet confidence
Has firm handshake
Makes comfortable eye contact
Remembers names
Arrives early
Follows up consistently thoughtfully and aggressively
84
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 84
Maybe experienced veteran
Listen attentively and learn
More likely to exercise judgment
More likely
Recent graduate of FAA Oklahoma City Academy
Has read CFRs at least once
Insecure yet infallible
Who is your FAA Inspector
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Post CSI strict constructionist
Aware of Oberstar hearings where FAA was excoriated
Principals or manager may not be able to control herhim
Whistle blower protection
Not worried at all about what it costs you or whether it makes good operational sense
Who is your FAA Inspector
86
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
FAA ldquoadministrative ease of enforcementtrackingrdquo is actually valid criteria
Truly believes that what they want is solely safety driven
Not evil person wants to do hisher best
Understand their agenda
Who is your FAA Inspector
87
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 87
No truth that FAA recruits only from
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Encounter with FAA person
Who
Where from
Why here
What is agenda
What can I do to help
What can I learn from this encounter
89
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Encounter with FAA person
Who
First meeting with himher
Get biz card or ask name and write it down
Ask for credentials ndash ldquoshow me your badgerdquo
Try to ldquodeflaterdquo situation
Ask informal questions (howrsquos Wx at home how was your flight how many kids do you have)
Make it clear that you are not anxious
Move meeting to your turf quiet place
Offer to get coffee water or soda
90
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Encounter with FAA Person
Who Continued 1st meeting
Understand hisher authority and interest
Inquire why the visit
If enforcement remember all of ldquorulesrdquo that you learned during class
If not listen carefully to what FAA person is trying to accomplish and LEARN
Take good notes
At end of meeting get concurrence
Action items and IOUs
Set response dates Meet or exceed them
91
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
More Who Items
HARD HEADED
Document it but do it
Assign right people
Keep detailed log
Make considered decision when to go for the ldquocoup de gracerdquo
My Boss made me do it
May not just be excuse
Create legitimate reasons to meet with boss
Meet bossrsquo agenda
Work to reduce friction
92
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Encounter with FAA Person
Who ndash had previous meeting
Review previous notes
Touch on any personal relationships established
Kids sports interests work experience
Be CERTAIN to reintroduce whatever agenda (office or personal) that you identified before
Mention any actions that you have taken or have initiated along that agenda
Follow all ROE mentioned in first encounter
93
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Encounter with FAA Person
Where from
If you do not know where from ask
Remember organizational chart lessons
If from DC (AVS AFSAIR etc)
Person has specific job scope (ask)
Inquiry is VERY likely to be on policy
If from your region or another region
Ask about job scopefocus
May be special inquiryinvestigation If it is should have called for appointment ndash mentionask
If from your CMOFSDO Could be routine
Ask
94
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Why HereWhat is Agenda
IMMEDIATELY assess agenda
Is there enforcement investigation open
If answer is YES then
Questions you should ask yourselfhellip
BE CAREFUL WHAT YOU SAY
Take comprehensive notes
If answer is NO
Opportunity to refineimprove relationship
Know their agenda and specific hot buttons
95
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
What can I do to help
Positive responsive attitude buys GOODWILL
It helps to have ldquosalespersonrsquosrdquo skill set
Seemingly stupid questions do not necessarily mean
FAA bad attitude may just reflect lack of knowledge
about real world of operators
Take initiative suggest solutions that BOTH Make good operational sense
Meets FAA office and personrsquos agenda
YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH
OPTIONS
96
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
What Can I Do To Help
If FAA person makes 1st suggestion you will
have to ldquoarguerdquo away from that point
Set deadlines at least meet them hopefully
exceed them
Try to say ldquoNOrdquo in positive response such as
Irsquod like to get you those documents but letrsquos
consider two options
Someone from my shop will make copies and have them ready by 3pm in two work days
I can have books available for you to copy by 4pm
today
96
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
One approach does not fit all
Document Document Document
Sloppy inaccurate records = blood in water for investigators
Maintained well organized records lead to inspector boredom and case closure
The ultimate in FAA ldquoadministrative easerdquo
Make their job easy and
What Can I Learn From Encounter
98
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
What Can I Learn From This Encounter
Specific Reactions
May be headache to adjust
Need to do calculusndash short term pain v long term peace
Do NOT compromise PRINCIPLES
99
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
What Can I Learn From This Encounter
Review Revise Regulatory Action Plan based on each encounter
Soon after encounter
Write report about substance and person(s) involved
Soon afterwards is important
Subtle messagessigns will be FRESH and mean more
Facial expression may hint whether request is demand or nice-
to-have
Place specific request in context of entire conversation
Brief your management
Send actionsIOUs and report to FAA for confirmation
100
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
What Can I Learn From This Encounter
FOLLOW UP convey that FAA agenda is matter of importance to company
101
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Positive Regulatory Relations
Set own FAA agenda ndash proactive not reactive
Improve recordssystems
Incorporate specific hot buttons
Tell PMI or POI about scheduled company enhancements of non-regulatory systems
Share with FAA future commercial developments
Create reasons to bolster relations with FSDO region HQ leaders
102
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Positive Regulatory Relations p2
Conduct regular Meetings with FAA
Meet with FSDO or CMO manager monthly
Exchange infondash LISTEN and LEARN
Follow whatrsquos going on in their world and be
sensitive
FAA budget likely to be cut
Fed pay likely to be frozen
Congressional hearings
103
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions
Positive Regulatory Relations p3
Get intelligence on FAA trendsissues from your Washington Office Trade Association or legal counsel
Interpret what appointments mean
Use as reasons to keep in contact with FAA senior leadership
Create ldquosafety netrdquo for when bad things happen
Too late to create positive relationship when major problem is announced
Every bit as importantas preventative maintenance
Use valid reason as predicates for meetings
Ask your Washington officetrade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)
104
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 104
Refresh your Regulatory Relations
Not static plan
Periodically review relationships goals and
plans
Do not get overconfident
Equal weight to other operational plans
Choose staff with the right skills
Make position to be predicate to future promotion
within organization
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 105
Establish Regulatory Affairs Group
Centralize Reg Affairs activity Locate office for FAA convenienceaccess Put under Safety maybe legal Head by MD SOP Train staff Processes procedures forms Collect data Coordinate responses as focal point
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 106
Establish Positive Relationship
Make FAA Agenda Your Priorities Pay attention to FAA local agenda Donrsquot compromise if your are rock solid certain Look for opportunities to involve FAA early Non-crisis meetings Have regular meetings or CCs Know your PI Learn their Goals and Objectives Go beyond local FAA but keep local in loop
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 107
Improve Your Regulatory Knowledge
Use tools from course Go Beyond FAR
Preamble NPRM and FR comments ACsrsquo 89001 ADrsquos and associated references Contact FAA POCauthor
Raising the Bar Keep it generic ndash no dispute Keep records of research calls - details
FAA Buddy System Control access have sign in Escort Document visit documents copied questions Document visit and actions SOP with all line stations Follow up emailcall confirming actionsdates
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 108
Outcome
Proactive business approach not reactive
Standard approach for FAA interface Fewer fines and LOIs Improved FAA relationships Positive impact on corporatesafety culture Improved record keeping Less crisis management Lower operating costs
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 109
After the Course
Questions about Course Material Contact instructors by email or phone
Need Support with FAA Issue or LOI JDA monthly subscription service or on
demandby the drink Tailored to company size Former FAA assigned as repassist Lessons learned Call JDA at 301-941-1460 ext 140 for details or email JDA at infojdasolutionsaero
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 110
Summary and Feedback
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 111
Evaluation Forms and Certificates
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460
Aviation Technology Solutions 112
4720 Montgomery Lane Suite 950
Bethesda MD 20814 wwwjdasolutionsaero
301-941-1460