Regulatory Affairs Training                                FAA RelationsAviation Technology Solutions                   1
Program        1.          Introductions and Expectations        2.          JDA Background        3.          Current Ope...
Introductions and Expectations     Briefly state name and responsibilities     Please share your expectations for course...
Aviation Technology Solutions   4
Current Operating Environment     Lawmakers Outraged by FAA Safety Violations       House Transportation & Infrastructur...
Current and Future                                   Operating Environment Regulatory Compliance Environment Evolution o...
Current and Future                                Operating Environment     Safety Management System (SMS)              ...
Key FAA HQ Management        Michael Huerta        Acting FAA Administrator                                   Peggy Gillig...
Aviation Technology Solutions   9
Aviation Technology Solutions   10
Record Fines                                                      FAA                                       • Already coll...
Significant Proposed Fines 2011 Part 121        Operator                Type         Date        Proposed Fine   Alleged V...
Significant Proposed Fines 2011                                Part 145 and 135 and Manufacturers          Streamline Avia...
Part 121 Fine Data Jan 2007 – Sept 2011                                                                                   ...
Part 121 Fine Data Jan 2007 – Sept 2011                                          Part 121 Cumulative # of Fines         25...
Certificate Revocation                                         All Certificate Holders                                    ...
Part 145 Fine Data Jan 2007 – Sept 2011                                                 Fines Levied                      ...
Part 135 Fine Data Jan 2009 – Sept 2011                                                 Fines Levied                      ...
Course Goals and Objectives       Understand FAA organization, ASI        authority, responsibilities and job        func...
Course Goals and Objectives Be familiar with FAA enforcement and other  investigative processes How to investigate and r...
Topics to be Covered       FAA Processes and Procedures                        FAA Organization                        ...
Take Home Knowledge and Skills     Understand FAA Organization                 Who to go for what problem     Understan...
Take Home Knowledge and Skills             Why are documents so important?                        Can be both prophylact...
FAA Organization                                &                   FAA Processes and ProceduresAviation Technology Soluti...
FAA OrganizationAviation Technology Solutions                                                    26                       ...
Aviation Technology Solutions   26
Aviation Technology Solutions   27
29Aviation Technology Solutions                                      29                                     28
FAA Organization          FAA DirectoryAviation Technology Solutions                                                   30 ...
Aviation Technology Solutions   30
Roles and Responsibilities                                Flight Standards (AFS) DivisionAviation Technology Solutions    ...
Office of         Deputy Associate         Rulemaking               Quality,            Admin. For               ARM      ...
Resources &        Gen Aviation &          Program Mgmt       Air Transportation         Commercial                AFS-100...
Roles and Responsibilities of CMO/FSDO                                            Office hierarchy                       ...
Additional Method                                Employee List FSDO/CMO                                      FAA.gov may ...
CMO/FSDO Field OfficesAviation Technology Solutions                            36
Finding Operator InformationAviation Technology Solutions                        37
39Aviation Technology Solutions   3839
Aviation Technology Solutions                                40                                 39
Inspector                                Policies & Procedures                        Flight Standards Information        ...
Inspector Job Functions    1. Surveillance       • Most Important/Highest Priority Job Function    1. Investigations:     ...
Where’s FSIMS?Aviation Technology Solutions                    42
Inspector HandbookAviation Technology Solutions                                                     44                    ...
FAA Order 8900.1Aviation Technology Solutions                                                   45                        ...
General Information                                 (FAA Order 8900.1)       Volume 1                   Chapter 1: Handb...
Inspector Conduct                                 (FAA Order 8900.1)     Volume 1                Chapter 3: Inspector Re...
SurveillanceAviation Technology Solutions                  47
Surveillance                                (FAA Order 8900.1) Volume 6       Chapter 2: Parts 121, 135, and 91 Subpart ...
Repair Stations Surveillance                                  (FAA Order 8900.1)Volume 6Aviation Technology Solutions     ...
Repair Stations Surveillance                                           (FAA Order 8900.1) Volume 6       Chapter 13: Enh...
Surveillance Conduct                                            (FAA Order 8900.1)       Volume 6                  Chapt...
Air Transportation Oversight System                            ATOS Surveillance                                (FAA Order...
FAA Order 8900.1                                      (Formerly ASI Handbook) Volume 10      Chapter 5. Off-Hour Surveil...
InvestigationsAviation Technology Solutions                    54
Volume 7: InvestigationsAviation Technology Solutions                                                           56        ...
Volume 7: Investigations Chapter 1 Accident & Incident Investigation &  Reporting       Section 1 Accident Investigation...
Volume 7: Investigations Chapter 1 Accident & Incident Investigation &  Reporting       Section 2 Incident Investigation...
The FAA Information Highway                  Hierarchy of Regulations Roadmap               DocumentsHIERARCHY OF FAA REGU...
Compliance and EnforcementAviation Technology Solutions         59
Volume 7: Investigations                                          (8900.1) Chapter 7 Conduct Violation Investigation     ...
Compliance & Enforcement                                        (8900.1) Volume 14      Chapter 1: Introduction to Inves...
Compliance & Enforcement                                        (2150.3B)     Chapter 2 Policy and Objectives            ...
Compliance & Enforcement                                         (2150.3B)     Chapter 2 Continued…                3d. N...
Compliance & Enforcement                                        (2150.3B) Chapter 4 Continued…      Paragraph 9: Letter ...
Compliance & Enforcement                                         (2150.3B) Chapter 4 Continued…       Paragraph 10: Evid...
Compliance & Enforcement                                         (2150.3B) Chapter 5: Actions and Responsibilities of FAA...
Compliance & Enforcement                                         (2150.3B) Appendix F. Enforcement Decision Process      ...
Compliance & Enforcement                                                  (8900.1) Applying EDP (continued) Volume 14   ...
Compliance & Enforcement                                                 (2150.3B) Chapter 2: C&E Policy and Objectives  ...
Compliance & Enforcement                                        (2150.3B) Table of Sanctions      Appendix B            ...
Compliance & Enforcement                                               (8900.1) Volume 14      Chapter 2: C&E Special Co...
Responding to Investigations     How operators should conduct internal      investigation     Responding to LOI     Whe...
FAA Order 8900.1                                      (Formerly ASI Handbook) Volume 1 General Guidance and Information  ...
Operator Responsibilities                                    14 CFR 119 & 121   Regulation 119.59 Conducting Tests and   ...
Operator Responsibilities                                    Operations Specifications 14 CFR          119.43 - Certific...
Non-Compliance Resolutions         Threat of Enforcement via OPSPECS                    119.51 Amending Operations Speci...
Pro-Active SolutionsAviation Technology Solutions                          77
Regulatory Relations                                 WHO is doing,                                 WHAT & WHY?Aviation Tec...
Share Your Worst FAA Inspector                                 ExperienceAviation Technology Solutions                    ...
Reasons not to attack FAA     Analyze, Learn and GET OVER IT     Constant state of angst, anxiety and anger      WILL no...
Reasons not to attack FAA Public perception Individuals, with whom you are dealing, may  not accept concept, but regulat...
Reasons not to attack FAA In your best interest to have relationship that is:                                Positive,  ...
Positive Regulatory Relationship Key attributes for person(s) assigned to be FAA POC:                  Easy to work with...
Who is your FAA Inspector?                                 Maybe experienced veteran                                  Li...
Who is your FAA Inspector?       Post CSI strict constructionist       Aware of Oberstar hearings where FAA        was e...
Who is your FAA Inspector?       FAA “administrative ease of        enforcement/tracking” is actually valid        criter...
No truth that FAA recruits only from:Aviation Technology Solutions                      87
Encounter with FAA person              Who?              Where from?              Why here?              What is agend...
Encounter with FAA person Who            First meeting with him/her?                        Get biz card or ask name an...
Encounter with FAA Person       Who Continued 1st meeting                  Understand his/her authority and interest    ...
More Who Items       HARD HEADED          Document it, but do it          Assign right people          Keep detailed l...
Encounter with FAA Person       Who – had previous meeting                   Review previous notes                   To...
Encounter with FAA Person       Where from                   If you do not know where from, ask                   Remem...
Why Here/What is Agenda?         IMMEDIATELY assess agenda         Is there enforcement investigation open?             ...
What can I do to help       Positive, responsive attitude buys GOODWILL                   It helps to have “salesperson’...
What Can I Do To Help           If FAA person makes 1st suggestion, you will            have to “argue” away from that po...
What Can I Learn From Encounter?       One approach does not fit all       Document, Document, Document                 ...
What Can I Learn From This Encounter?       Specific Reactions                  May be headache to adjust               ...
What Can I Learn From This Encounter?       Review/ Revise Regulatory Action Plan        based on each encounter       S...
What Can I Learn From This Encounter?        FOLLOW UP; convey that FAA agenda is          matter of importance to company...
Positive Regulatory Relations         Set own FAA agenda – proactive not          reactive                    Improve re...
Positive Regulatory Relations, p.2     Conduct regular Meetings with FAA                Meet with FSDO or CMO manager mo...
Positive Regulatory Relations, p3   Get intelligence on FAA trends/issues from your Washington    Office, Trade Associati...
Refresh your Regulatory Relations                 Not static plan                 Periodically review relationships, goa...
Establish Regulatory Affairs Group                 Centralize Reg. Affairs activity                 Locate office for FA...
Establish Positive Relationship                 Make FAA Agenda Your Priorities                 Pay attention to FAA loc...
Improve Your Regulatory Knowledge             Use tools from course                               Go Beyond FAR         ...
Outcome         Proactive business approach not reactive         Standard approach for FAA interface         Fewer fine...
After the Course         Questions about Course Material?                    Contact instructors by email or phone      ...
Summary and FeedbackAviation Technology Solutions                          110
Evaluation Forms and CertificatesAviation Technology Solutions              111
4720 Montgomery Lane                                      Suite 950                                 Bethesda, MD 20814    ...
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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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  1. 1. Regulatory Affairs Training FAA RelationsAviation Technology Solutions 1
  2. 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 FeedbackAviation Technology Solutions 2
  3. 3. Introductions and Expectations  Briefly state name and responsibilities  Please share your expectations for course  Please share example of FAA interface/confrontation  Additional “war stories” during course welcome – limit to 2 minutes pleaseAviation Technology Solutions 3
  4. 4. Aviation Technology Solutions 4
  5. 5. Current Operating Environment  Lawmakers Outraged by FAA Safety Violations  House Transportation & Infrastructure Hearing  April 3, 2008  Operators are no longer FAA customers  Whistleblowers are heroes  New Office under Chief Counsel (AAE)  CMO/FSDO Standardization - GAO Report  “Informal” Field Station Visit ResultsAviation Technology Solutions 5
  6. 6. Current and Future Operating Environment Regulatory Compliance Environment Evolution of Surveillance/Oversight Process  Air Transportation Oversight System (ATOS)  Part 121  System Approach for Safety Oversight (SASO)  Parts 121, 135, 145  Deploy in 2103Aviation Technology Solutions 6
  7. 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 “SAS” Safety Assurance SystemAviation Technology Solutions 7
  8. 8. Key FAA HQ Management Michael Huerta Acting FAA Administrator Peggy Gilligan Associate Administrator for Aviation Safety John Allen Director Flight Standards ServiceAviation Technology Solutions 8
  9. 9. Aviation Technology Solutions 9
  10. 10. Aviation Technology Solutions 10
  11. 11. Record Fines FAA • Already collected twice as much in fines then in final two years of Bush presidency. • Fines are weighing on carriers that recently reported first collective profit in 2 1/2 years. “The pendulum has swung pretty hard.’’ •Levied $4.77 million in penalties since Obama took office, 84% percent jump from 2007-2008. • Proposed $77.4 million in fines 9/09 – 9/10 up 66 percent from 9/07-9/08.Aviation Technology Solutions 11
  12. 12. Significant Proposed Fines 2011 Part 121 Operator Type Date Proposed Fine Alleged Violation Horizon Air 121 12/09/11 $777,000 Maintenance non compliance Evergreen Air 121 11/11/11 $180,000 Operations non Compliance Skywest 121 10/21/11 $160,000 Maintenance non compliance Pinnacle 121 10/21/11 $1,000,000 Maintenance non compliance Colgan Airlines 121 09/15/11 $1,892,000 Operations non Compliance Alaska Airlines 121 09/09/11 $590,000 Maintenance non compliance Capital Cargo 121 08/29/11 $298,500 Maintenance non compliance American Eagle 121 08/10/11 $155,000 Operations non Compliance American Eagle 121 07/11/11 $77,500 Maintenance non compliance Atlantic Southeast 121 07/11/11 $132,000 Maintenance non compliance Federal Express 121 07/08/11 $689,800 Operations non Compliance Air Tran 121 06/23/11 $250,000 Maintenance non compliance United Airlines 121 06/17/11 $584,375 Operations non Compliance Atlantic Southeast 121 06/16/11 $425,000 Maintenance non compliance Lynx Aviation 121 04/08/11 $350,000 Maintenance non compliance Executive Airlines 121 03/30/11 $550,000 Maintenance non compliance Skywest 121 01/18/11 $359,000 Ops and Maint non Compliance Total Proposed 121 $8,470,175Aviation Technology Solutions 12
  13. 13. Significant Proposed Fines 2011 Part 145 and 135 and Manufacturers Streamline Aviation 145 10/21/11 $241,200 Maintenance non compliance Aviaton Technical Services 145 09/12/11 $1,100,000 Maintenance non compliance Aviation Specialities 145 07/11/11 $77,000 Maintenance non compliance Jet Aircraft Miami 145 07/11/11 $66,000 Maintenance non compliance Pemco World Aviation Svcs 145 01/21/11 $170,000 Operations non Compliance San Antonio Aerospace 145 01/20/11 $1,025,000 Operations non Compliance Total Proposed 145 $2,679,200 Parachute Center 135 08/29/11 $269,000 Maintenance non compliance Ameriflight 135 08/26/11 $262,000 Operations Non Compliance Liberty Jet 135 07/11/11 $75,000 Operations Non Compliance Apollo Aviation 135 07/11/11 $77,300 Maintenance non compliance Jet Smart 135 07/11/11 $133,900 Maintenance non compliance 26 North Aviation 135 07/11/11 $81,000 Maintenance non compliance Bimini Island Air 135 07/11/11 Certificate Revocation Regulatory Violation ERA Helicopters 135 07/08/11 $194,249 Operations Non Compliance Corporate Air 135 02/17/11 $585,275 Maintenance non compliance Heli-Dudes* 135 01/06/11 $330,000 Regulatory Violation Total Proposed 135 $2,007,724 Cessna Manufacturer 09/22/11 $2,400,000 Manufacturing Process Boeing Manufacturer 06/27/11 $1,050,000 Regulatory Violation Total Proposed Mfg $3,450,000Aviation Technology Solutions 13
  14. 14. Part 121 Fine Data Jan 2007 – Sept 2011 Fines Levied Part 121 Cumulative Fines in $ $14,000,000.00 $12,000,000.00 $10,000,000.00 $8,000,000.00 $6,000,000.00 $4,000,000.00 $2,000,000.00 $- Jul. 2007 Jul. 2008 Jul. 2009 Jul. 2010 Jul. 2011 Apr. 2007 Apr. 2008 Apr. 2009 Apr. 2010 Apr. 2011 Jan. 2007 Jan. 2008 Jan. 2009 Jan. 2010 Jan. 2011 Oct. 2007 Oct. 2008 Oct. 2009 Oct. 2010Aviation Technology Solutions 15
  15. 15. Part 121 Fine Data Jan 2007 – Sept 2011 Part 121 Cumulative # of Fines 250 200 150 100 50 0 Jan-07 Aug-07 Mar-08 Oct-08 May-09 Dec-09 Jul-10 Feb-11 Sep-11Aviation Technology Solutions 16
  16. 16. Certificate Revocation All Certificate Holders # of Revocations 40 35 30 25 20 15 10 5 0 2007 2008 2009 2010 2011Aviation Technology Solutions 17
  17. 17. Part 145 Fine Data Jan 2007 – Sept 2011 Fines Levied Part 145 Fines in $ $1,000,000.00 $900,000.00 $800,000.00 $700,000.00 $600,000.00 $500,000.00 $400,000.00 $300,000.00 $200,000.00 $100,000.00 $- Jan-07 Sep-07 May-08 Jan-09 Sep-09 May-10 Jan-11 Sep-11Aviation Technology Solutions 18
  18. 18. Part 135 Fine Data Jan 2009 – Sept 2011 Fines Levied Part 135 Fines $ 1,600,000 1,400,000 1,200,000 1,000,000 2009 - 119 Actions 800,000 2010 - 107 Actions 600,000 2011 - 91 Actions 400,000 200,000 0 Jan-09 Jul-09 Jan-10 Jul-10 Jan-11 Jul-11Aviation Technology Solutions 19
  19. 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 FAA.govAviation Technology Solutions 19
  20. 20. Course Goals and Objectives 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.Aviation Technology Solutions 20
  21. 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  “Regulatory Relations”  Regulatory Affairs DepartmentAviation Technology Solutions 21
  22. 22. Take Home Knowledge and Skills  Understand FAA Organization  Who to go for what problem  Understand hierarchy of FAA guidance  What’s more important?  USC, CFR, AD’s, Orders & handbooks, AC’s, Notices etc. ???  Understand where to go within FAA information databases to research questions  Tricks to navigating FAA.gov and other handy sitesAviation Technology Solutions 22
  23. 23. Take Home Knowledge and Skills  Why are documents so important? Can be both prophylactic and offensive tools Capture data, history is important  Proactive approachesAviation Technology Solutions 23
  24. 24. FAA Organization & FAA Processes and ProceduresAviation Technology Solutions 24
  25. 25. FAA OrganizationAviation Technology Solutions 26 26 25
  26. 26. Aviation Technology Solutions 26
  27. 27. Aviation Technology Solutions 27
  28. 28. 29Aviation Technology Solutions 29 28
  29. 29. FAA Organization FAA DirectoryAviation Technology Solutions 30 29
  30. 30. Aviation Technology Solutions 30
  31. 31. Roles and Responsibilities Flight Standards (AFS) DivisionAviation Technology Solutions 31
  32. 32. Office of Deputy Associate Rulemaking Quality, Admin. For ARM Integration & Aviation Safety – Executive Service AVS-2 AQS Office of Accident Office of Air Investigation & Associate Admin. Traffic Oversight Prevention - AAI For Aviation Safety AOV AVS Aircraft Office of Aerospace Certification Medicine Service AAM Flight Standards AIR Service AFSAviation Technology Solutions 32
  33. 33. Resources & Gen Aviation & Program Mgmt Air Transportation Commercial AFS-100 AFS-200 AFS-800 Civil Aviation Aircraft Registry Maintenance AFS-700 Flight Standards AFS-300 Service AFS Regulatory Flight Tech and Support Procedures AFS-600 AFS-400Aviation Technology Solutions 33
  34. 34. Roles and Responsibilities of CMO/FSDO  Office hierarchy Alaska  Responsibilities CMO CMO Manger Organization Chart Assistant Manager Contacts Supervisors Principal Inspectors Assistant PI MSP PPMs FSDO FSDO APMs Organization Chart CSIs Contacts DEPM ORAAviation Technology Solutions 34
  35. 35. Additional Method Employee List FSDO/CMO  FAA.gov may not contain Northwest Mtn. all employee directories Region Organizations  You can always use national employee directory to find someone  How do we get there?Aviation Technology Solutions 35
  36. 36. CMO/FSDO Field OfficesAviation Technology Solutions 36
  37. 37. Finding Operator InformationAviation Technology Solutions 37
  38. 38. 39Aviation Technology Solutions 3839
  39. 39. Aviation Technology Solutions 40 39
  40. 40. Inspector Policies & Procedures Flight Standards Information Management System (FSIMS)Aviation Technology Solutions 40
  41. 41. Inspector Job Functions 1. Surveillance • Most Important/Highest Priority Job Function 1. Investigations: • Accidents, Incidents, Occurrences, Complaints, Enforcement 2. Enforcement – Non-compliance is revealed 3. Certification – Demand Work/Low Priority 4. Reports – Documentation of all activities. FSIMS Table of ContentsAviation Technology Solutions 41
  42. 42. Where’s FSIMS?Aviation Technology Solutions 42
  43. 43. Inspector HandbookAviation Technology Solutions 44 43
  44. 44. FAA Order 8900.1Aviation Technology Solutions 45 44
  45. 45. General Information (FAA Order 8900.1)  Volume 1  Chapter 1: Handbook Organization, Use, and Revision Section 1 : General Handbook Info Paragraph 1-3: Standardization & Coordination C. Conflicts with other FAA Orders Paragraph 1-5 A. Directive Information B. Guidance InformationAviation Technology Solutions 45
  46. 46. Inspector Conduct (FAA Order 8900.1)  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 ASIAviation Technology Solutions 46
  47. 47. SurveillanceAviation Technology Solutions 47
  48. 48. Surveillance (FAA Order 8900.1) 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 ProgramsAviation Technology Solutions 48
  49. 49. Repair Stations Surveillance (FAA Order 8900.1)Volume 6Aviation Technology Solutions 50 49
  50. 50. Repair Stations Surveillance (FAA Order 8900.1) Volume 6 Chapter 13: Enhanced Repair Station Oversight Section 1: Introduction Paragraph 6-2871  A. Goals, B. Initiatives, D. Components Operator Responsibilities 14 CFR 121.363 Repair Station Responsibilities 14 CFR 145.205 Aviation Technology Solutions 50
  51. 51. Surveillance Conduct (FAA Order 8900.1)  Volume 6 Chapter 2 Inspections, (14CFR119.59)  Section 3 General Inspection Practices and Procedures. Paragraph 6-214: Conducting an Inspection  B. Advance Notice of Inspection  D. Inspector Conduct  E. Concluding inspectionAviation Technology Solutions 51
  52. 52. Air Transportation Oversight System ATOS Surveillance (FAA Order 8900.1) 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 CarriersAviation Technology Solutions 52
  53. 53. FAA Order 8900.1 (Formerly ASI Handbook) 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 SurveillanceAviation Technology Solutions 53
  54. 54. InvestigationsAviation Technology Solutions 54
  55. 55. Volume 7: InvestigationsAviation Technology Solutions 56 55
  56. 56. Volume 7: Investigations Chapter 1 Accident & Incident Investigation & Reporting Section 1 Accident Investigations Paragraph 7-3A: References FAA order 8020.11 – FAA’s 9 Responsibilities in Accident Investigations Paragraph 7-4A: Definitions 49 CFR 830.2 Aviation Technology Solutions 56
  57. 57. Volume 7: Investigations Chapter 1 Accident & Incident Investigation & Reporting Section 2 Incident Investigations and Occurrences Paragraph 7-33: Definitions A, B,C Paragraph 7-34: Responsibilities Paragraph 7-35: Notification Aviation Technology Solutions 57
  58. 58. The FAA Information Highway Hierarchy of Regulations Roadmap DocumentsHIERARCHY OF FAA REGULATIONS, ORDERS, NOTICES, etc[1]..doc ROADMAP.docAviation Technology Solutions 58
  59. 59. Compliance and EnforcementAviation Technology Solutions 59
  60. 60. Volume 7: Investigations (8900.1) Chapter 7 Conduct Violation Investigation Section 1 General Paragraph 7-223A: General Definitions Admin, Legal, Airworthy Paragraph 7-225B: Determining Enforceability Restrictive, Permissive & Types Aviation Technology Solutions 60
  61. 61. Compliance & Enforcement (8900.1) 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 61
  62. 62. Compliance & Enforcement (2150.3B)  Chapter 2 Policy and Objectives 2a. FAA’s 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.Aviation Technology Solutions 62
  63. 63. Compliance & Enforcement (2150.3B)  Chapter 2 Continued… 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 Legal CommentAviation Technology Solutions 63
  64. 64. Compliance & Enforcement (2150.3B) Chapter 4 Continued… Paragraph 9: Letter of Investigation and Response 9a. General 9b. Preparation of an LOI 9c. Sending the LOI to the Apparent Violator Sample LOIAviation Technology Solutions 64
  65. 65. Compliance & Enforcement (2150.3B) Chapter 4 Continued… Paragraph 10: Evidence 10c (2): Witness Interviews 10c (3): Conducting Interview Record of Interview Record of Telephone Conversation Aviation Technology Solutions 65
  66. 66. Compliance & Enforcement (2150.3B) 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 & Re-examination Sample Letter Requesting Reexamination Aviation Technology Solutions 66
  67. 67. Compliance & Enforcement (2150.3B) Appendix F. Enforcement Decision Process 1. Introduction a. Purpose b. EDP Worksheet 2. Applying the EDP Aviation Technology Solutions 67
  68. 68. Compliance & Enforcement (8900.1) Applying EDP (continued) Volume 14 Chapter 1: Introduction to Investigation and Compliance Related Tasks Section 8: Enforcement Decision Process EDP worksheet Aviation Technology Solutions 68
  69. 69. Compliance & Enforcement (2150.3B) Chapter 2: C&E Policy and Objectives Paragraph 4: Responsibility for Determining Legal Enforcement a. General b. Responsibilities of FAA investigative Personnel Responsibilities Aviation Technology Solutions 69
  70. 70. Compliance & Enforcement (2150.3B) Table of Sanctions Appendix B  Classification of Air carrier  Civil Penalty RangesAviation Technology Solutions 70
  71. 71. Compliance & Enforcement (8900.1) Volume 14 Chapter 2: C&E Special Considerations Section 1 Paragraph 14-158: SNAAPAviation Technology Solutions 71
  72. 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 & D of SOP Manual SOP “B” SOP “D”Aviation Technology Solutions 72
  73. 73. FAA Order 8900.1 (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 U.S.CAviation Technology Solutions 73
  74. 74. Operator Responsibilities 14 CFR 119 & 121  Regulation 119.59 Conducting Tests and inspections Certificate holder must  Regulation 121.135 Manual Contents Manual must containAviation Technology Solutions 74
  75. 75. Operator Responsibilities Operations Specifications 14 CFR 119.43 - Certificate holder’s duty to maintain operations specifications 119.49 – 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.Aviation Technology Solutions 75
  76. 76. Non-Compliance Resolutions  Threat of Enforcement via OPSPECS 119.51 Amending Operations Specifications Best Practice!Aviation Technology Solutions 76
  77. 77. Pro-Active SolutionsAviation Technology Solutions 77
  78. 78. Regulatory Relations WHO is doing, WHAT & WHY?Aviation Technology Solutions 78
  79. 79. Share Your Worst FAA Inspector ExperienceAviation Technology Solutions 79
  80. 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 GorillaAviation Technology Solutions 80
  81. 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 – move to positive relationshipAviation Technology Solutions 81
  82. 82. Reasons not to attack FAA In your best interest to have relationship that is: Positive, Proactive, Preventative Cooperative “I’m OK, You’re OK” RelationshipAviation Technology Solutions 82
  83. 83. 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 aggressivelyAviation Technology Solutions 84
  84. 84. Who is your FAA Inspector?  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 infallibleAviation Technology Solutions 84
  85. 85. Who is your FAA Inspector?  Post CSI strict constructionist  Aware of Oberstar hearings where FAA was excoriated  Principals or manager may not be able to control her/him  Whistle blower protection  Not worried at all about what it costs you or whether it makes good operational sense 86Aviation Technology Solutions
  86. 86. Who is your FAA Inspector?  FAA “administrative ease of enforcement/tracking” is actually valid criteria  Truly believes that what they want is solely safety driven  Not evil person, wants to do his/her best  Understand their agenda 87Aviation Technology Solutions
  87. 87. No truth that FAA recruits only from:Aviation Technology Solutions 87
  88. 88. 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? 89Aviation Technology Solutions
  89. 89. Encounter with FAA person Who First meeting with him/her? Get biz card or ask name and write it down Ask for credentials – “show me your badge” Try to “deflate” situation Ask informal questions (how’s 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 90Aviation Technology Solutions
  90. 90. Encounter with FAA Person  Who Continued 1st meeting Understand his/her authority and interest Inquire why the visit If enforcement, remember all of “rules” 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 91Aviation Technology Solutions
  91. 91. More Who Items  HARD HEADED  Document it, but do it  Assign right people  Keep detailed log  Make considered decision when to go for the “coup de grace”  My Boss made me do it  May not just be excuse  Create legitimate reasons to meet with boss  Meet boss’ agenda  Work to reduce frictionAviation Technology Solutions 92
  92. 92. Encounter with FAA Person  Who – 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 encounterAviation Technology Solutions 93
  93. 93. Encounter with FAA Person  Where from  If you do not know where from, ask  Remember organizational chart lessons: If from DC (AVS, AFS,AIR, 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 scope/focus  May be special inquiry/investigation  If it is, should have called for appointment – mention/ask  If from your CMO/FSDO  Could be routine  Ask!!!Aviation Technology Solutions 94
  94. 94. Why Here/What is Agenda?  IMMEDIATELY assess agenda  Is there enforcement investigation open?  If answer is YES, then Questions you should ask yourself… BE CAREFUL WHAT YOU SAY Take comprehensive notes  If answer is NO, Opportunity to refine/improve relationship Know their agenda and specific hot buttonsAviation Technology Solutions 95
  95. 95. What can I do to help  Positive, responsive attitude buys GOODWILL  It helps to have “salesperson’s” 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 person’s agenda  YOU ARE INFINITELY MORE LIKELY TO DISCERN SUCH OPTIONSAviation Technology Solutions 96
  96. 96. What Can I Do To Help  If FAA person makes 1st suggestion, you will have to “argue” away from that point  Set deadlines, at least meet them; hopefully exceed them  Try to say “NO” in positive response such as, I’d like to get you those documents, but let’s 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?Aviation Technology Solutions 96
  97. 97. What Can I Learn From Encounter?  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 “administrative ease”  Make their job easy and...Aviation Technology Solutions 98
  98. 98. What Can I Learn From This Encounter?  Specific Reactions May be headache to adjust Need to do calculus– short term pain v. long term peace Do NOT compromise PRINCIPLESAviation Technology Solutions 99
  99. 99. 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 messages/signs 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 actions/IOUs and report to FAA for confirmationAviation Technology Solutions 100
  100. 100. What Can I Learn From This Encounter? FOLLOW UP; convey that FAA agenda is matter of importance to companyAviation Technology Solutions 101
  101. 101. Positive Regulatory Relations  Set own FAA agenda – proactive not reactive Improve records/systems 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 leadersAviation Technology Solutions 102
  102. 102. Positive Regulatory Relations, p.2  Conduct regular Meetings with FAA Meet with FSDO or CMO manager monthly Exchange info– LISTEN and LEARN  Follow what’s going on in their world and be sensitive FAA budget likely to be cut Fed pay likely to be frozen Congressional hearingsAviation Technology Solutions 103
  103. 103. Positive Regulatory Relations, p3  Get intelligence on FAA trends/issues 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 “safety net” 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 office/trade group to include you in meetings with Hill staff (members only if your staff says it is a great idea)Aviation Technology Solutions 104
  104. 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 organizationAviation Technology Solutions 104
  105. 105. Establish Regulatory Affairs Group  Centralize Reg. Affairs activity  Locate office for FAA convenience/access  Put under Safety maybe legal  Head by MD  SOP  Train staff  Processes, procedures, forms  Collect data  Coordinate responses as focal pointAviation Technology Solutions 105
  106. 106. Establish Positive Relationship  Make FAA Agenda Your Priorities  Pay attention to FAA local agenda  Don’t 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 loopAviation Technology Solutions 106
  107. 107. Improve Your Regulatory Knowledge  Use tools from course  Go Beyond FAR  Preamble, NPRM and FR comments  ACs’, 8900.1, AD’s and associated references  Contact FAA POC/author  Raising the Bar  Keep it generic – 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 email/call confirming actions/datesAviation Technology Solutions 107
  108. 108. Outcome  Proactive business approach not reactive  Standard approach for FAA interface  Fewer fines and LOIs  Improved FAA relationships  Positive impact on corporate/safety culture  Improved record keeping  Less crisis management  Lower operating costsAviation Technology Solutions 108
  109. 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 demand/by the drink  Tailored to company size  Former FAA assigned as rep/assist  Lessons learned  Call JDA at 301-941-1460 ext 140 for details or email JDA at info@jdasolutions.aeroAviation Technology Solutions 109
  110. 110. Summary and FeedbackAviation Technology Solutions 110
  111. 111. Evaluation Forms and CertificatesAviation Technology Solutions 111
  112. 112. 4720 Montgomery Lane Suite 950 Bethesda, MD 20814 www.jdasolutions.aero 301-941-1460Aviation Technology Solutions 112

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