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Aviation Technology Solutions 1 Regulatory Affairs Training FAA Relations

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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

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Page 1: Regulatory Affairs powerpoint_slides 031512

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

Page 2: Regulatory Affairs powerpoint_slides 031512

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

Page 3: Regulatory Affairs powerpoint_slides 031512

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

Page 4: Regulatory Affairs powerpoint_slides 031512

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

Page 5: Regulatory Affairs powerpoint_slides 031512

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

Page 6: Regulatory Affairs powerpoint_slides 031512

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

Page 7: Regulatory Affairs powerpoint_slides 031512

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

Page 8: Regulatory Affairs powerpoint_slides 031512

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

Page 9: Regulatory Affairs powerpoint_slides 031512

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

Page 10: Regulatory Affairs powerpoint_slides 031512

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

Page 11: Regulatory Affairs powerpoint_slides 031512

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

Page 12: Regulatory Affairs powerpoint_slides 031512

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

Page 13: Regulatory Affairs powerpoint_slides 031512

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

Page 14: Regulatory Affairs powerpoint_slides 031512

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

Page 15: Regulatory Affairs powerpoint_slides 031512

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

Page 16: Regulatory Affairs powerpoint_slides 031512

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

Page 17: Regulatory Affairs powerpoint_slides 031512

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

Page 18: Regulatory Affairs powerpoint_slides 031512

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

Page 19: Regulatory Affairs powerpoint_slides 031512

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

Page 20: Regulatory Affairs powerpoint_slides 031512

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

Page 21: Regulatory Affairs powerpoint_slides 031512

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

Page 22: Regulatory Affairs powerpoint_slides 031512

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

Page 23: Regulatory Affairs powerpoint_slides 031512

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

Page 24: Regulatory Affairs powerpoint_slides 031512

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

Page 25: Regulatory Affairs powerpoint_slides 031512

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

Page 26: Regulatory Affairs powerpoint_slides 031512

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

Page 27: Regulatory Affairs powerpoint_slides 031512

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

Page 28: Regulatory Affairs powerpoint_slides 031512

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

Page 29: Regulatory Affairs powerpoint_slides 031512

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

Page 30: Regulatory Affairs powerpoint_slides 031512

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

Page 31: Regulatory Affairs powerpoint_slides 031512

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

Page 32: Regulatory Affairs powerpoint_slides 031512

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

Page 33: Regulatory Affairs powerpoint_slides 031512

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

Page 34: Regulatory Affairs powerpoint_slides 031512

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

Page 35: Regulatory Affairs powerpoint_slides 031512

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

Page 36: Regulatory Affairs powerpoint_slides 031512

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

Page 37: Regulatory Affairs powerpoint_slides 031512

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

Page 38: Regulatory Affairs powerpoint_slides 031512

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

Page 39: Regulatory Affairs powerpoint_slides 031512

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

Page 40: Regulatory Affairs powerpoint_slides 031512

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

Page 41: Regulatory Affairs powerpoint_slides 031512

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

Page 42: Regulatory Affairs powerpoint_slides 031512

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

Page 43: Regulatory Affairs powerpoint_slides 031512

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

Page 44: Regulatory Affairs powerpoint_slides 031512

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

Page 45: Regulatory Affairs powerpoint_slides 031512

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

Page 46: Regulatory Affairs powerpoint_slides 031512

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

Page 47: Regulatory Affairs powerpoint_slides 031512

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

Page 48: Regulatory Affairs powerpoint_slides 031512

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

Page 49: Regulatory Affairs powerpoint_slides 031512

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

Page 50: Regulatory Affairs powerpoint_slides 031512

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

Page 51: Regulatory Affairs powerpoint_slides 031512

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

Page 52: Regulatory Affairs powerpoint_slides 031512

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

Page 53: Regulatory Affairs powerpoint_slides 031512

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

Page 54: Regulatory Affairs powerpoint_slides 031512

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

Page 55: Regulatory Affairs powerpoint_slides 031512

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

Page 56: Regulatory Affairs powerpoint_slides 031512

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

Page 57: Regulatory Affairs powerpoint_slides 031512

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

Page 58: Regulatory Affairs powerpoint_slides 031512

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

Page 59: Regulatory Affairs powerpoint_slides 031512

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

Page 60: Regulatory Affairs powerpoint_slides 031512

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

Page 61: Regulatory Affairs powerpoint_slides 031512

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

Page 62: Regulatory Affairs powerpoint_slides 031512

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

Page 63: Regulatory Affairs powerpoint_slides 031512

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

Page 64: Regulatory Affairs powerpoint_slides 031512

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

Page 65: Regulatory Affairs powerpoint_slides 031512

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

Page 66: Regulatory Affairs powerpoint_slides 031512

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

Page 67: Regulatory Affairs powerpoint_slides 031512

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

Page 68: Regulatory Affairs powerpoint_slides 031512

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

Page 69: Regulatory Affairs powerpoint_slides 031512

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

Page 70: Regulatory Affairs powerpoint_slides 031512

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

Page 71: Regulatory Affairs powerpoint_slides 031512

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

Page 72: Regulatory Affairs powerpoint_slides 031512

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

Page 73: Regulatory Affairs powerpoint_slides 031512

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

Page 74: Regulatory Affairs powerpoint_slides 031512

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

Page 75: Regulatory Affairs powerpoint_slides 031512

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

Page 76: Regulatory Affairs powerpoint_slides 031512

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

Page 77: Regulatory Affairs powerpoint_slides 031512

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

Page 78: Regulatory Affairs powerpoint_slides 031512

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

Page 79: Regulatory Affairs powerpoint_slides 031512

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

Page 80: Regulatory Affairs powerpoint_slides 031512

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

Page 81: Regulatory Affairs powerpoint_slides 031512

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

Page 82: Regulatory Affairs powerpoint_slides 031512

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

Page 83: Regulatory Affairs powerpoint_slides 031512

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

Page 84: Regulatory Affairs powerpoint_slides 031512

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

Page 85: Regulatory Affairs powerpoint_slides 031512

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

Page 86: Regulatory Affairs powerpoint_slides 031512

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

Page 87: Regulatory Affairs powerpoint_slides 031512

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

Page 88: Regulatory Affairs powerpoint_slides 031512

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

Page 89: Regulatory Affairs powerpoint_slides 031512

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

Page 90: Regulatory Affairs powerpoint_slides 031512

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

Page 91: Regulatory Affairs powerpoint_slides 031512

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

Page 92: Regulatory Affairs powerpoint_slides 031512

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

Page 93: Regulatory Affairs powerpoint_slides 031512

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

Page 94: Regulatory Affairs powerpoint_slides 031512

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

Page 95: Regulatory Affairs powerpoint_slides 031512

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

Page 96: Regulatory Affairs powerpoint_slides 031512

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

Page 97: Regulatory Affairs powerpoint_slides 031512

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

Page 98: Regulatory Affairs powerpoint_slides 031512

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

Page 99: Regulatory Affairs powerpoint_slides 031512

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

Page 100: Regulatory Affairs powerpoint_slides 031512

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

Page 101: Regulatory Affairs powerpoint_slides 031512

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

Page 102: Regulatory Affairs powerpoint_slides 031512

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

Page 103: Regulatory Affairs powerpoint_slides 031512

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

Page 104: Regulatory Affairs powerpoint_slides 031512

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

Page 105: Regulatory Affairs powerpoint_slides 031512

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

Page 106: Regulatory Affairs powerpoint_slides 031512

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

Page 107: Regulatory Affairs powerpoint_slides 031512

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

Page 108: Regulatory Affairs powerpoint_slides 031512

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

Page 109: Regulatory Affairs powerpoint_slides 031512

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

Page 110: Regulatory Affairs powerpoint_slides 031512

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

Page 111: Regulatory Affairs powerpoint_slides 031512

Aviation Technology Solutions 111

Evaluation Forms and Certificates

Aviation Technology Solutions 112

4720 Montgomery Lane Suite 950

Bethesda MD 20814 wwwjdasolutionsaero

301-941-1460

Page 112: Regulatory Affairs powerpoint_slides 031512

Aviation Technology Solutions 112

4720 Montgomery Lane Suite 950

Bethesda MD 20814 wwwjdasolutionsaero

301-941-1460