[Federal Register: March 30, 2005 (Volume 70, Number 60)]
[Proposed Rules]
[Page 16369-16382]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr30mr05-42]
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Part III
Department of Transportation
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Federal Aviation Administration
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14 CFR Part 61, et al.
Advanced Qualification Program; Proposed Rule
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 61, 63, 65, 121, and 135
[Docket No. FAA-2005-20750; Notice No. 05-04]
RIN 2120-AI59
Advanced Qualification Program
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: The FAA is proposing to codify the requirements of the
Advanced Qualification Program (AQP). The AQP would continue as a
regulatory alternative program to the traditional training program. AQP
would continue to be an alternative for airlines that seek more
flexibility in training than the traditional training program allows.
Currently, the AQP requirements are in a Special Federal Aviation
Regulation that expires on October 2, 2005. The intended effect of this
proposal is to make AQP a permanent, alternative method of complying
with FAA's training requirements for carriers.
DATES: Send your comments on or before April 29, 2005.
ADDRESSES: You may send comments [identified by Docket Number FAA-2005-
20750] using any of the following methods:
DOT Docket Web Site: Go to http://dms.dot.gov and follow
the instructions for sending your comments electronically.
Government-wide Rulemaking Web Site: Go to http://www.regulations.gov
and follow the instructions for sending your
comments electronically.
Mail: Docket Management; U.S. Department of
Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401,
Washington, DC 20590-001.
Fax: 1-202-493-2251.
Hand Delivery: Room PL-401 on the plaza level of the
Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
For more information on the rulemaking process, see the
SUPPLEMENTARY INFORMATION section of this document.
Privacy: We will post all comments we receive, without change, to
http://dms.dot.gov, including any personal information you provide. For
more information, see the Privacy Act discussion in the SUPPLEMENTARY
INFORMATION section of this document.
Docket: To read background documents or comments received, go to
http://dms.dot.gov. You can also go to Room PL-401 on the plaza level
of the Nassif Building, 400 Seventh Street, SW., Washington, DC,
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays.
FOR FURTHER INFORMATION CONTACT: Thomas M. Longridge, AFS-230, Air
Transportation Division, Flight Standards Service, Federal Aviation
Administration, P.O. Box 20027, Dulles International Airport,
Washington, DC 20041-2027; telephone (703) 661-0260; e-mail:
thomas.longridge@faa.gov.
SUPPLEMENTARY INFORMATION:
Comments Invited
The FAA invites interested persons to participate in this
rulemaking by submitting written comments, data, or views. We also
invite comments relating to the economic, environmental, energy, or
federalism impacts that might result from adopting the proposals in
this document. The most helpful comments reference a specific portion
of the proposal, explain the reason for any recommended change, and
include supporting data. We ask that you send us two copies of written
comments.
We will file in the docket all comments we receive, as well as a
report summarizing each substantive public contact with FAA personnel
concerning this proposed rulemaking. The docket is available for public
inspection before and after the comment closing date. If you wish to
review the docket in person, go to the address in the ADDRESSES section
of this preamble between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. You may also review the docket using the
Internet at the Web address in the ADDRESSES section.
Privacy Act: Using the search function of our docket Web site,
anyone can find and read the comments received into any of our dockets.
This includes the name of the individual sending the comment (or
signing the comment on behalf of an association, business, labor union,
etc.). You may review DOT's complete Privacy Act Statement in the
Federal Register published on April 11, 2000 (65 FR 19477-78) or you
may visit http://dms.dot.gov.
Before acting on this proposal, we will consider all comments we
receive on or before the closing date for comments. We will consider
comments filed late if it is possible to do so without incurring
expense or delay. We may change this proposal in light of the comments
we receive.
If you want the FAA to acknowledge receipt of your comments on this
proposal, include with your comments a preaddressed, stamped postcard
on which the docket number appears. We will stamp the date on the
postcard and mail it to you.
Availability of Rulemaking Documents
You can get an electronic copy using the Internet by:
(1) Searching the Department of Transportation's electronic Docket
Management System (DMS) Web page (http://dms.dot.gov/search); (2) Visiting the Office of Rulemaking's Web page at http://www.faa.gov/avr/arm/index.cfm
; or
(3) Accessing the Government Printing Office's Web page at http://www.access.gpo.gov/su_docs/aces/aces140.html
.
You can also get a copy by submitting a request to the Federal
Aviation Administration, Office of Rulemaking, ARM-1, 800 Independence
Avenue SW., Washington, DC 20591, or by calling (202) 267-9680. Make
sure to identify the docket number, notice number, or amendment number
of this rulemaking.
Authority for the Rulemaking
The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. Subtitle I, section 106
describes the authority of the FAA Administrator. Subtitle VII,
Aviation Programs, describes in more detail the scope of the agency's
authority.
This rulemaking is promulgated under the authority described in
subtitle VII, part A, subpart III, section 44701, General requirements.
Under that section, the FAA is charged with promoting the safe flight
of civil aircraft in air commerce by prescribing, in addition to
specified regulations, regulations and minimum standards for other
practices, methods, and procedure the Administrator finds necessary for
safety in air commerce and national security. This regulation is within
the scope of that authority since it permanently codifies the current
requirements and practices of a regulatory compliance option for the
training and qualification of air crew personnel, and represents the
FAA's continuing efforts to promote aviation safety.
Background
In 1975, the FAA began to address two issues in part 121 pilot
training and checking. One issue was the hardware requirements needed
for total simulation. The other issue was the redesign of training
programs to deal with increasingly complex human
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factors problems and to increase the safety benefits gained from the
simulation. At the urging of the air transportation industry, the FAA
addressed the hardware issue first. In 1980, this effort resulted in
the FAA developing the Advanced Simulation Program, in 14 CFR part 121,
appendix H.
Since then, the FAA has continued to pursue approaches for the
redesign of training programs to increase the benefits of Advanced
Simulation and to deal with the increasing complexity of cockpit human
factors.
On August 27, 1987, FAA Administrator McArtor addressed the chief
pilots and certain executives of many air carriers at a meeting held in
Kansas City. One of the issues discussed at the meeting focused on
flight crewmember performance issues. This meeting led to creating a
Joint Government-Industry Task Force on flight crew performance (Joint
Task Force). Representatives from major air carriers and air carrier
associations, flight crewmember associations, commuter air carrier and
regional airline associations, and government organizations took part.
On September 10, 1987, the Joint Task Force met at the Air Transport
Association's headquarters to identify and discuss flight crewmember
performance issues. The Joint Task Force formed working groups in three
major areas: (1) Man/machine interface; (2) flight crewmember training;
and (3) operating environment. Each working group submitted a report
and recommendations to the Joint Task Force. On June 8, 1988, the Joint
Task Force presented its recommendations to Administrator McArtor.
The major recommendations to the Administrator from the flight
crewmember training working group were the following:
(1) Require 14 CFR part 135 commuters whose airplane operations
require two pilots to comply with part 121 training, checking,
qualification, and record keeping requirements;
(2) Provide for a Special Federal Aviation Regulation (SFAR) and
Advisory Circular to permit development of innovative training
programs;
(3) Establish a National Air Carrier Training Program Office that
provides training program oversight at the national level;
(4) Require seconds-in-command to satisfactorily perform their
duties under the supervision of check airmen during operating
experience;
(5) Require all training to be accomplished through a certificate
holder's training program;
(6) Provide for approval of training programs based on course
content and training aids rather than using specific programmed hours;
(7) Require Cockpit Resource Management (CRM) (now called Crew
Resource Management) Training.
The working group listed specific recommendations for regulatory
changes. They separated the recommendations into those changes that
should be incorporated into an SFAR and those that should be
incorporated into an accompanying Advisory Circular.
In June 1988, the National Transportation Safety Board (NTSB)
issued a Safety Recommendation (A-88-71) on the subject of CRM. The
recommendation stemmed from an NTSB accident investigation of a
Northwest Airline crash on August 16, 1987, in which 148 passengers, 6
crewmembers, and 2 people on the ground were killed.
The NTSB noted that both crewmembers had received single-crewmember
training during their last simulator training and proficiency checks.
In addition, the last CRM training they had received was 3.5 hours of
ground school (general) CRM training in 1983. Because of its
investigation, the NTSB recommended that all part 121 carriers review
initial and recurrent flight crew training programs to ensure that they
include simulator or aircraft training exercises which involve cockpit
resource management and active coordination of all crewmember trainees
and which will permit evaluation of crew performance and adherence to
those crew coordination procedures.
In response to the recommendations from the Joint Task Force and
from the NTSB, in October 1990, the FAA published SFAR No. 58, Advanced
Qualification Program (AQP), which addresses all of the recommendations
discussed previously. The FAA also published an Advisory Circular on
AQP that describes an acceptable method by which the terms of the SFAR
may be achieved. Under SFAR No. 58, the FAA provides certificated air
carriers, as well as training centers they employ, with a regulatory
alternative for training, checking, qualifying, and certifying aircrew
personnel subject to the requirements of 14 CFR parts 121 and 135.
Air carriers can choose to use a traditional training program or to
participate in AQP. Carriers electing not to take part in AQP must
continue to operate under the traditional FAA rules for training and
checking. AQP offers several long-range advantages to participation
such as the flexibility to tailor training and certification activities
to a carrier's particular needs and operational circumstances. AQP
encourages innovation in developing training strategies. It includes
wide latitude in choice of training methods and media. AQP allows the
use of flight training devices for training and checking on many tasks
that historically have been accomplished in airplane simulators. It
provides an approved means for the applicant to replace FAA-mandated
uniform qualification standards with carrier-proposed alternatives
tailored to specific aircraft. It allows the applicant to set up an
annual training and checking schedule for all personnel, including
pilots-in-command, and provide a basis for extending that interval
under certain circumstances.
From an FAA perspective, the overriding advantage of AQP is the
quality of training. AQP provides a systematic basis for matching
technology to training requirements and for approving training program
content based on relevance to operational performance.
The main goal of the AQP SFAR was to improve flight crew
performance by providing alternative means of complying with certain
rules that may inhibit innovative use of modern technology for flight
crewmember training. The SFAR has been successful in encouraging
carriers to become innovative in their approach to training.
The FAA is now proposing to incorporate the requirements of SFAR
No. 58 into 14 CFR part 121. The AQP would continue as an alternative
to the traditional training program. AQP would continue to be an
alternative for airlines that seek more flexibility in training than
the traditional program allows. Thus, this NPRM proposes no new costs
to affected operators.
Section-by-Section Discussion of Subpart Y (Sec. Sec. 121.901-121.925)
This section by section discussion presents the proposed changes to
the AQP. AQP is currently in SFAR No. 58 under part 121. Any
significant, substantive change and the justification for that change
is discussed under the appropriate proposed section below.
Section 121.901 Purpose and Eligibility
The proposed section outlines the purpose and eligibility of the
alternate method of training and qualification, known as ``Advanced
Qualification Program.'' The AQP is an alternative
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method for qualifying, training, certifying, and otherwise ensuring
competency of flight crewmembers, flight attendants, and dispatchers.
Proposed paragraphs (a), (b) and (c) are based on existing language
from SFAR No. 58, section 1.
Section 121.903 General Requirements for Advanced Qualification
Programs
Proposed paragraph (b) states that certificate holders who get
approval of an AQP must comply with its provisions. Proposed paragraph
(b) clarifies that an AQP is an alternative to complying with the
training and qualification requirements for crewmembers, aircraft
dispatchers, instructors, and evaluators in parts 61, 63, 65, 121, and
135. Proposed paragraph (b) also states that each applicable
requirement of parts 61, 63, 65, 121, or 135 that is not specifically
addressed in an AQP curriculum would continue to apply to the
certificate holder and to the individuals being trained and qualified
by the certificate holder. The FAA may accept alternatives for the
practical test requirements of parts 61, 63, and 65, but each
applicable requirement of parts 61, 63, 65, 121, or 135, including but
not limited to practical test requirements, that is not specifically
addressed in an approved AQP curriculum would continue to apply to the
certificate holder. This proposal is based on existing SFAR No. 58,
section 1, paragraph (e), section 8, paragraph (a), and section 10,
paragraph (b)(3). A new sentence in paragraph (b) would add that no
person may be trained under an AQP unless the AQP is currently approved
and the person complies with all of its provisions.
Proposed paragraph (c) states that no certificate holder that
conducts its training program under an AQP may use any person, nor may
any person serve in any duty position, as a required crewmember, an
aircraft dispatcher, a flight instructor, or an evaluator (e.g., a
check airman, check flight attendant, or aircrew program designee
(APD)), unless that person has satisfactorily accomplished the training
and evaluation of proficiency required by the AQP for that type
airplane and duty position. The prohibition against using a person in
operations under this part who has not accomplished the required
training and evaluation would also apply to any person receiving
``special tracking'' training, whose schedule for training and
evaluating may be different from others employed by that certificate
holder.
Proposed paragraph (d) states that all documentation and data
required under this subpart must be submitted in a form and manner
acceptable to the FAA. This proposal is based on existing SFAR No. 58,
section 10, paragraph (b)(1).
Proposed paragraph (e) states that any training or evaluation
required under an AQP that is satisfactorily completed in the calendar
month before or the calendar month after the calendar month in which it
is due is considered to have been completed in the calendar month it
was due. This proposal provides some flexibility in complying with an
AQP and is consistent with the practice of current AQP participants. It
is based on existing SFAR No. 58, section 6, paragraph (b)(3)(ii)(A);
however, in the current SFAR, the provision applies only to on-line
evaluations of pilots-in-command (PIC). The FAA is proposing to broaden
this provision to apply to any training and evaluation deadline for any
duty position.
Section 121.905 Confidential Commercial Information
This proposed section is new and specifies the procedure for a
certificate holder to make a claim that AQP information or data
submitted to the FAA is entitled to confidential treatment under 5
U.S.C 552 (b)(4). The certificate holder must clearly identify its
claim of confidentiality on each submission and must justify that
claim. The FAA office of primary responsibility for the AQP will
evaluate a submitter's claim for confidential treatment of information
or data. The FAA office of primary responsibility for the AQP will make
the determination whether the information submitted is entitled to
protection under 5 U.S.C 552(b)(4), within a reasonable time, and with
review by the Office of the Chief Counsel.
Section 121.907 Definitions
This proposed section contains definitions used throughout proposed
subpart XXX. The proposed definitions of ``evaluator'' and ``variant''
contain language from the existing definition in SFAR No. 58, section
2. The following definitions are new: ``Crew Resource Management
(CRM),'' ``Curriculum outline,'' ``Evaluation of proficiency,'' ``First
Look,'' ``Instructional systems development,'' ``Job task listing,''
``Line operational evaluation (LOE),'' ``Line operational simulation
(LOS),'' ``Planned hours,'' ``Qualification standard,'' ``Qualification
standards document,'' ``Special tracking,'' and ``Training session.''
``Line operational evaluation'' is an evaluation conducted in a
simulated line environment consisting of a complete scenario.
``Instructional systems development'' is defined as ``a systematic
methodology for deriving and maintaining qualification standards and
associated curriculum content based on a documented analysis of the job
tasks, skills, and knowledge required for job proficiency.'' Under
proposed Sec. 121.909 AQP applicants must provide a description of the
methodology they will use for instructional systems development. The
FAA provides guidance in the AQP Advisory Circular.
Section 121.909 Approval of Advanced Qualification Program
Proposed paragraph (a), which outlines the approval process, is
based on existing SFAR No. 58, section 10, paragraph (a). In the
approval process, the certificate holder applies for approval of an AQP
curriculum to the Manager of the Advanced Qualification Program, after
going through the FAA office responsible for approval of the
certificate holder's operations specifications. The existing rule
states that the certificate holder applies for approval to the
certificate holder's FAA Flight Standards District Office. The new
wording reflects existing procedures for the review and approval of AQP
documentation at both a local and a national level.
Proposed paragraph (b), which discusses the application process for
approval of an AQP curriculum, is based on existing SFAR No. 58,
section 3 and section 10, paragraph (b). The introductory text of
paragraph (b) specifies the applicant must have separate curriculums
for indoctrination, qualification, and continuing qualification
(including upgrade, transition, and requalification). The FAA is
proposing new language to describe current requirements concerning the
instructional systems development methodology. This new language would
not impose any additional costs on the operator as we are just
codifying and clarifying the requirements of the AQP. This methodology
would have to incorporate a thorough analysis of the certificate
holder's operations, aircraft, line environment, and job functions. All
AQP qualification and continuing qualification curriculums would have
to integrate the training and evaluation of CRM and technical skills
and knowledge.
Proposed paragraph (b)(1) states the AQP would have to meet all the
requirements of proposed subpart Y. Proposed paragraph (b)(2) adds new
language to describe current curriculum documentation requirements for
indoctrination, qualification, and
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continuing qualification (including upgrade, transition, and
requalification). The documentation for each curriculum would have to
include the initial application for AQP, the initial job task listing,
a description of the instructional systems development methodology, a
qualification standards document, the curriculum outline, and an
implementation and operations plan. Applicants are not required to have
all types of curriculums (e.g., indoctrination, qualification,
continuing qualification). However, for each curriculum they propose,
they must provide the documentation required in paragraphs (b)(2)(i)-
(vi).
AQP participants may propose requirements in addition to, or in
place of, the requirements in part 61, 63, 65, 121, or 135. An approved
AQP serves as an alternative to the requirements in parts 61, 63, 65,
121, and 135. The applicant must justify any differences between parts
61, 63, 65, 121, and 135 and the AQP. The FAA must approve such
differences for that AQP.
Proposed paragraph (b)(3) states that, subject to approval by the
FAA, certificate holders could elect, where appropriate, to consolidate
information about multiple programs within any of the documents
referenced in proposed paragraph (b)(2). For example, if an applicant
has more than one curriculum for different aircraft, the applicant
could provide one document that addresses one or more curriculums.
Proposed paragraph (b)(4) is similar to existing SFAR No. 58,
section 10, paragraph (b)(3). Under the proposed rule the certificate
holder would have to establish an initial justification and a
continuing process, approved by the FAA, to show how the AQP curriculum
provides an equivalent level of safety for each requirement in parts
61, 63, 65, 121, or 135 that is replaced by an AQP curriculum. The
continuing process is, in effect, a quality assurance process. For each
certificate holder using an AQP, the FAA receives annual reports, data
submissions, and information on the performance of flight instructors
and evaluators. The FAA studies these to make sure the certificate
holder continually evaluates itself to ensure that it continues to meet
the AQP agreement. This expectation of self-monitoring on the part of
certificate holders is not specifically addressed in the current SFAR,
but certificate holders currently using AQPs are using quality
assurance programs. This change would codify that practice.
Proposed paragraph (c) refers only to the requirement in existing
SFAR No. 58, section 10, paragraph (c), for AQP applications to include
a transition plan for moving from an existing program to an AQP
program. The reference in existing SFAR No. 58, section 10(c), to
revisions of an AQP has been moved entirely to proposed paragraph (d).
Proposed paragraph (d) addresses rescissions of approval and
requirements for revisions. It is the same as existing SFAR No. 58,
section 10, paragraph (d) except that it deletes reference to Sec.
135.325, to allow revisions to be approved in accordance with the
applicant's approved AQP and proposed subpart Y. Proposed paragraph (d)
adds to existing language, which states the FAA may require the
certificate holder to submit revisions or to submit and obtain approval
of a transition plan to part 121, subpart N, if the FAA finds the
certificate holder is not meeting the provisions of the certificate
holder's approved AQP. This requirement just codifies current practice
therefore there is no additional costs imposed on the operator. The
proposed paragraph (d) adds to that language the words, ``or if
otherwise warranted''. This additional language would permit approval
to be withdrawn for any reason that the FAA finds to be warranted. This
could include, for example, a determination that compliance with the
approved program is no longer consistent with safety. Also, a new
sentence is added to paragraph (d) that would allow for the use of a
transition plan, approved under proposed subpart Y, as a means for
accomplishing voluntary withdrawal from the AQP, when such withdrawal
is initiated by the certificate holder. The existing SFAR does not
specifically address the use of a transition plan as a means for
voluntary withdrawal.
Proposed paragraph (e) is new language stating that final approval
of an AQP by the FAA would indicate that the FAA has accepted the
justification provided under paragraph (b)(4) and that the applicant's
initial justification and a continuing process establish an equivalent
level of safety for each requirement of parts 61, 63, 65, 121 or 135
that is being replaced.
Section 121.911 Indoctrination Curriculum
The proposed section is based on existing language from SFAR No.
58, section 4. Proposed paragraphs (a), (b), (c), and (d) are the same
as existing SFAR No. 58, section 4, paragraphs (a), (b), (c), and (d),
respectively.
Section 121.913 Qualification Curriculum
The proposed section contains requirements for qualification
curriculums and is based on existing SFAR No. 58, section 5, paragraph
(b). In the proposed Sec. 121.913 introduction, ``qualification'' from
existing SFAR No. 58, section 5, paragraph (b), is changed to
``evaluation,'' because ``evaluation'' is the more specific term in
this context.
Proposed paragraph (a) contains a requirement for documentation of
the certificate holder's planned hours of training, evaluation, and
supervised operating experience. The proposed paragraph is the same as
existing SFAR No. 58, section 5, paragraph (a).
Proposed paragraph (b) contains qualification curriculum
requirements for crewmembers, aircraft dispatchers, and other
operations personnel. Proposed paragraph (b) is based on existing SFAR
No. 58, section 5, paragraph (b)(1). In the proposed paragraph (b)(2)
the term ``qualification standards of each task'' is used instead of
``each maneuver and procedure.'' New language is also added in proposed
(b)(4), stating that each qualification curriculum would have to
include a list of and text describing evaluation/remediation
strategies, provisions for special tracking, and how recency of
experience requirements would be accomplished. This new language is
codifying current practice and would not impose any additional costs on
the operator.
Proposed paragraph (c) is new language and would require
qualification to include an initial operating experience and line check
for flight crewmembers. This new language is current practice and would
not impose any additional costs on the operator as we are just
codifying and clarifying the requirements of the AQP. The language of
paragraph (c) is more specific than under the current SFAR, but this
practice is currently followed by certificate holders under AQP.
Proposed paragraphs (d) and (e) outline qualification curriculum
requirements for flight instructors and evaluators, respectively.
Proposed paragraph (d) is based on existing SFAR No. 58, section 5,
paragraph (b)(2). Proposed paragraph (e) is based on existing SFAR No.
58, section 5, paragraph (b)(3). New language is added to each,
clarifying current requirements to include a list of and text
describing the knowledge requirements, subject materials, job skills,
and qualification standards of each procedure and task to be trained
and evaluated, and a list of and text describing evaluation/remediation
strategies, standardization policies and recency requirements. This new
language would not impose any additional costs on the operator as we
are just codifying and clarifying the requirements of the AQP.
[[Page 16374]]
Section 121.915 Continuing Qualification Curriculum
The proposed section contains program requirements for continuing
qualification curriculums. The introductory paragraph is based on
existing SFAR No. 58, section 6 introduction.
Proposed paragraph (a) is based on existing SFAR No. 58, section 6,
paragraphs (a)(1) and (b). The existing language states that each
person qualified under AQP receives a balanced mix of training and
evaluation to ensure that he or she ``maintains at least the current
minimum proficiency level of knowledge, skills, and attitudes required
for original qualification.'' In the proposed paragraph the
introductory language is changed to state that each person ``maintains
the proficiency level in knowledge, technical skills, and cognitive
skills required for initial qualification.'' The proposed paragraph
revises the current rule to state that this training and evaluation
must be in accordance with: (1) The approved continuing qualification
AQP; (2) evaluation/remediation strategies; and (3) provisions for
special tracking.
Proposed paragraph (a)(1), which discusses continuing qualification
cycle evaluation periods, is based on existing SFAR No. 58, section 6,
paragraph (b)(1). New language is included that defines the continuing
qualification cycle as initially consisting of two or more evaluation
periods of equal duration. This new language would not impose any
additional costs on the operator as we are just codifying current
practice.
Proposed paragraph (a)(2), which outlines continuing qualification
cycle training requirements, is based on existing SFAR No. 58, section
6, paragraph (b)(2). The proposed paragraph revises the requirements to
state that continuing qualification training must be in accordance with
the approved program documentation.
Proposed paragraph (a)(2)(i) is new language codifying current
practice that states that for pilots in command, seconds in command,
and flight engineers, continuing qualification training must include
First Look in accordance with the certificate holder's FAA-approved
program documentation. This new language would not impose any
additional costs on the operator. ``First Look'' is defined in proposed
Sec. 121.907 as the assessment of performance to determine proficiency
on designated flight tasks before any briefing, training, or practice
on those tasks is given in the training session for a continuing
qualification curriculum. The FAA proposes that ``First Look'' be
conducted during an AQP continuing qualification cycle to determine
trends of degraded proficiency, if any, due in part to the length of
the interval between training sessions.
Proposed paragraph (a)(2)(ii) addresses ground training
requirements for continuing qualification and is the same as existing
SFAR No. 58, section 6, paragraph (b)(2)(i).
Proposed paragraph (a)(2)(iii) outlines continuing qualification
proficiency training requirements for crewmembers, flight instructors,
evaluators, and other operational personnel who conduct their duties in
flight. It is based on existing SFAR No. 58, section 6, paragraph
(b)(2)(ii).
Proposed paragraph (a)(2)(iv) outlines continuing qualification
ground training requirements for dispatchers and other operational
personnel who do not conduct their duties in flight, and is based on
existing SFAR No. 58, section 6, paragraph (b)(2)(i). The proposed
paragraph adds a requirement for a line observation program, if
applicable.
Proposed paragraph (a)(2)(v) is based on existing SFAR No. 58,
section 6, paragraph (b)(2)(iii), but with clarifying language to
separately address: (1) Flight instructors and evaluators, in general;
and (2) flight instructors and evaluators who are limited to conducting
their duties in flight simulators and flight training devices.
Continuing qualification for each group must include training in the
type flight training device or the type flight simulator, as
appropriate, regarding training equipment operation and training in
operational flight procedures and maneuvers (normal, abnormal, and
emergency), respectively.
Proposed paragraph (b), which outlines continuing qualification
cycle evaluation requirements, is based on existing SFAR No. 58,
section 6, paragraph (b)(3). The existing language is revised to state
that evaluation of performance for continuing qualification will be
done ``on a sample'' of events and major subjects. Existing SFAR No.
58, section 6(b)(3) states that continuing qualification evaluations
must include all events and major subjects required for original
qualification, and online evaluations for pilots in command and other
eligible flight crewmembers; however, current AQPs use a sample of
events. Under the proposed paragraph (b) requirements, the sample of
events and major subjects used in evaluation would be identified as
diagnostic of competence and approved for that purpose by the FAA.
Instead of basing curriculums on prescribed generic maneuvers,
procedures and knowledge items, AQP curriculums are based on a detailed
analysis of the specific job tasks, knowledge and skill requirements of
each duty position for the individual airline. The analysis applies the
following factors: Criticality, currency, need for training, applicable
conditions, and applicable standards. The determination of criticality
and currency guides when and how the objective is trained, validated,
or evaluated. To make this determination the applicant and FAA answer a
series of questions about each task to describe its performance
requirements, both on the line and in the training setting. Criticality
is a determination of the relative impact of substandard task
performance on overall safety. It indicates an increased need for
awareness, care, exactness, accuracy, or correctness during task
performance. Critical tasks are proficiency objectives that are
trained, validated, or evaluated more frequently during an AQP
evaluation period. A currency task is a proficiency objective for which
individuals or crews maintain proficiency by repeated performance of
the item in normal line, duty or work operations. Most currency items
are validated during line checks and may be sampled in the Continuing
Qualification Cycle. Tasks that are determined to be critical and not
current are trained, validated, or evaluated each evaluation period.
Tasks that are determined to be neither critical nor current are
trained, validated, or evaluated each continuing qualification cycle.
Proposed paragraph (b)(1), which contains requirements for
evaluations of proficiency, is the same as existing SFAR No.58, section
6, paragraph (b)(3)(i).
Proposed paragraph (b)(2), which discusses line checks, is based on
existing SFAR No. 58, section 6, paragraph (b)(3)(ii) with a few
revisions. The term ``online evaluations'' is changed to ``line
checks'' in the proposed language. Further, proposed paragraph
(b)(2)(i), which addresses line checks for pilots in command, begins
with the qualifying statement ``Except as provided in paragraph
(b)(2)(ii) of this section * * *''
Paragraph (b)(2)(ii) is new language that addresses ``No-notice
Line Checks.'' The proposed language states that with the FAA's
approval, no-notice line checks could be used in place of line checks,
although the certificate holder who elects to exercise this option
would have to ensure that no advance notice of the evaluation is given.
Further, the AQP certificate holder would be required to ensure that
each pilot in
[[Page 16375]]
command receives at least one ``no-notice'' line check every 24 months.
Also, the certificate holder would have to ensure that, at a minimum,
the number of these checks given each calendar year equates to at least
50% of the certificate holder's pilot-in-command workforce, in
accordance with a strategy approved by the FAA for that purpose. Under
this proposed requirement, the line checks would be conducted over all
geographic areas flown by the certificate holder in accordance with a
sampling methodology approved by the FAA for that purpose. This
proposed language is consistent with existing exemptions that have been
granted to some AQP certificate holders in order to allow a longer
period between line checks in exchange for such no-notice line checks.
The no-notice feature of the random line check procedure provides
evaluators with an increased opportunity to observe typical behavior,
and the requirement for conducting such checks over all geographic
routes better assures that such information is representative of
performance over the airline's entire operation.
Proposed paragraph (b)(2)(iii), which further addresses line check
requirements, is the same as existing SFAR No. 58, section 6, paragraph
(b)(3)(ii)(B), except that it codifies the existing requirement in
Sec. 121.440(b)(1) and contains the additional requirement that the
line check evaluator must hold the certificates and ratings required of
the pilot in command for that aircraft.
Proposed paragraph (c), which discusses recency of experience
requirements, is based on existing SFAR No. 58, section 6, paragraphs
(a)(2) and (b)(4). The proposed paragraph expands the existing
application of the recency of experience requirements to include flight
engineers, flight attendants, aircraft dispatchers, instructors, and
evaluators.
Proposed paragraph (d), which addresses duration of cycles and
periods, is based on existing SFAR No. 58, section 6, paragraph (c),
but includes revisions to the existing duration of periods, based on
the FAA's observations of program administration since the original
inception of the AQP in 1990. The proposed changes decrease the maximum
allowable duration of the initial continuing qualification cycle
approved for an AQP from 26 to 24 calendar months. Also, the proposed
requirements would decrease the duration ceiling for the subsequent
continuing qualification cycles from 39 to 36 calendar months in order
to accommodate evaluation period multiples based on 6, 12, or 18
months. This new language would not impose any additional costs on the
operator. The reductions above align the timeframes with current
practice. An AQP participant has never requested the maximum durations.
The language in the existing SFAR that the Administrator may approve
extensions in 3-month increments has been deleted because the FAA has
found this requirement cumbersome and difficult to implement.
Regardless of the length of the continuing qualification cycle, the
grace period allowed in proposed Sec. 121.903(e) would apply.
Proposed paragraph (e), which discusses requalification
requirements, is the same as existing SFAR No. 58, section 6, paragraph
(d).
Section 121.917 Other Requirements.
Proposed Sec. 121.917 is based on existing SFAR No. 58, section 7.
These proposed paragraphs contain additional requirements that must be
included in each AQP qualification and continuing qualification
curriculum.
Proposed paragraph (a) requires each qualification curriculum to
include integrated crew resource management (CRM) or Dispatcher
Resource Management (DRM) ground and flight training applicable to each
position for which training is provided under an AQP. Proposed
paragraph (a) is the same as existing SFAR No. 58, section 7, paragraph
(a), except that ``Approved Cockpit Resource Management Training'' is
changed to ``Integrated Crew Resource Management ground and flight
training'' in the proposed paragraph. Also, the requirement for DRM
training is added to clarify that if dispatchers are included under an
AQP, they must also receive DRM training.
Proposed paragraph (b) would require each qualification curriculum
to include approved training on and evaluation of skills and
proficiency of each person being trained under AQP to use their crew
resource management skills and their technical skills in an actual or
simulated operations scenario. Proposed paragraph (b) is the same as
existing SFAR No. 58, section 7, paragraph (b), except that under the
proposed rule, ``aircraft'' is added to the list of approved devices
for flight crewmembers training and evaluation for certificate holders
who have obtained approval for its use under subpart Y.
Proposed paragraph (c) outlines qualification curriculum data
collection and analysis processes requirements. Proposed paragraph (c)
is based on existing SFAR No. 58, section 7, paragraph (c), but
proposed paragraph (c) is revised to address both data collection and
analysis processes. The FAA proposes to require that the certificate
holder provide the FAA with information on its analysis process to
ensure that the certificate holder is applying an effective methodology
for data driven quality assurance purposes. Further, the proposed
paragraph states that the data will enable both the certificate holder
and the FAA to make determinations about the effectiveness of the
curriculum. This new language would not impose any additional costs on
the operator. This change is consistent with existing AQP practices,
and is made in order to identify the requirement that the certificate
holder employ its own AQP data for curriculum effectiveness
determinations.
Section 121.919 Certification
The proposed introductory paragraph to this section is identical to
existing SFAR No. 58, section 8 introduction.
Proposed paragraph (a) outlines the establishment of a
certification requirement and is based on existing SFAR No. 58, section
8, paragraph (a). Existing SFAR No. 58, section 8, paragraph (a),
states that for certification the Administrator may accept substitutes
for the practical test requirements of parts 61, 63, and 65, as
applicable. Proposed paragraph (a) replaces the word ``substitutes''
with ``alternatives'' to the certification and rating criteria of parts
61, 63, and 65 of this chapter. It also adds further qualifying
language, to the effect that the FAA may approve such alternatives if
it can be demonstrated that the newly established criteria represent an
equivalent or better measure of airman competence, operational
proficiency, and safety. This qualifying language is similar to the
wording of existing SFAR No. 58, section 10(b)(3), to the effect that
the certificate holder must show how the AQP curriculum provides an
equivalent level of safety for each requirement that is replaced.
Proposed paragraph (b) contains the qualification curriculum
completion requirement for certification and is the same as existing
SFAR No. 58, section 8, paragraph (b).
Proposed paragraph (c) contains the knowledge and skill competency
requirements for certification and is the same as existing SFAR No. 58,
section 8, paragraph (c), except that ``cockpit resource management
knowledge and skills'' is changed to ``crew resource management
knowledge and skills,'' including either CRM or DRM, in the proposed
paragraph. In addition, with regard to testing both piloting and CRM
skills in scenarios that test both
[[Page 16376]]
together, proposed paragraph (c) identifies Line Operational Evaluation
(LOE) as the scenario methodology. This new language would not impose
any additional costs on the operator as we are just codifying current
practice.
Proposed paragraph (d) is identical to existing SFAR No. 58,
section 8, paragraph (d).
The FAA is adding paragraph (e) to require the certification
applicant to be trained to proficiency on the certificate holder's
approved AQP qualification standards, and to pass an LOE administered
by an APD or the FAA. This new language should not impose any
additional costs on the operator.
This is current practice and would make clear that the final
evaluation event for certification purposes under an AQP must be
administered by the same level of evaluator as is required for a
traditional part 121 or 135 program.
Section 121.921 Training Devices and Simulators
Proposed paragraph (a) outlines the process for qualification and
approval of flight training devices and simulators and is the same as
existing SFAR No. 58, section 9, paragraph (a). Proposed paragraph (a)
lists potential training device and simulator uses and is the same as
existing SFAR No. 58, section 9, paragraph (a). Proposed paragraph (b),
which contains requirements for the approval of other training devices,
is the same as existing SFAR No. 58, section 9, paragraph (b).
Section 121.923 Approval of Training, Qualification, or Evaluation by a
Person Who Provides Training by Arrangement
Proposed paragraph (a), which discusses AQP training given by an
outside source, referred to as a ``training provider,'' is based on
existing SFAR No. 58, section 11, paragraph (a).
Proposed paragraph (a)(1) would require that a training provider be
a part 119 or part 142 certificate holder.
Proposed paragraph (a)(2), which contains the requirements for
provisional approval, is the same as existing SFAR No. 58, section 11,
paragraph (a)(1), except that the application for provisional approval,
under the proposed rule, would be made through the FAA office directly
responsible for oversight of the training center, to the Manager of the
Advanced Qualification Program. This change should not impose any
additional costs on the operator. Proposed paragraphs (a)(3), (b),
(b)(1), (b)(2), (b)(3), (c), (c)(1), and (c)(2), which contain
requirements for the approval of training, qualification, or evaluation
by a person who provides training by arrangement, are the same as
existing SFAR No. 58, section 11, paragraphs (a)(2), (b), (b)(1),
(b)(2), (b)(3), (c), (c)(1), and (c)(2), respectively.
Section 121.925 Recordkeeping requirements
This proposed section, which contains recordkeeping requirements,
is based on existing SFAR No. 58, section 12, with no substantive
changes.
Individual recordkeeping by certificate holders is needed to show
whether each crewmember, aircraft dispatcher, or other operations
personnel is in compliance with the AQP and subpart Y. The
recordkeeping requirement of Sec. 121.925 is a separate function from
the data collected and analyzed under the requirements of proposed
Sec. 121.917(c), which must be submitted to the FAA for analysis and
validation without names or other elements that would identify an
individual or group of individuals. The data collected under Sec.
121.917 is analyzed to monitor the effectiveness of AQP training, to
determine the validity of requests for extensions of training intervals
and cycles, and to monitor the effectiveness of CRM training.
Paperwork Reduction Act
This proposal contains the following new information collection
requirements. As required by the Paperwork Reduction Act of 1995 (44
U.S.C. 3507(d)), the FAA has submitted the information requirements
associated with this proposal to the Office of Management and Budget
for its review.
Title: Advanced Qualification Program.
Summary: AQP is an existing rule and the data currently required is
being submitted. Data collection and analysis of data is a fundamental
part of AQP. AQP is continuously validated through the collection and
analysis of trainee performance. Data collection and analysis processes
ensure that the certificate holder provides performance information on
its crewmembers, flight instructors, and evaluators that will enable
the certificate holder and the FAA to determine whether the forma and
content of training and evaluation activities are satisfactorily
accomplishing the overall objectives of the curriculum.
Use of: The Voluntary Safety Programs Branch, AFS-230, receives the
AQP data monthly in order to monitor program compliance, effectiveness,
and efficiency. AFS-230 processes the information for errors and
omissions then analyzes the data. The FAA principal operations
inspector (POI) responsible for oversight of the certificate holder
reviews the analyzed data. The POI and his staff make use of this
information to monitor training trends, to identify areas in need of
corrective action, to plan targeted surveillance of curricula, and to
verify that corrective action is effective. In general, this
information is used to provide an improved basis for curriculum
approval and monitoring, as well as agency decisions concerning air
carrier training regulation and policy.
Respondents (Including Number of): The likely respondents to this
proposed data collection requirement are 16 airlines and 2
manufacturers.
Frequency: The frequency of data collection is monthly.
Annual Burden Estimate: This proposal would result in an annual
recordkeeping and reporting burden as follows:
Number of respondents with approved AQPs: 18.
Frequency of response per respondent: Monthly.
Estimated number of hours per respondent to prepare
information to be submitted to the FAA: 2.0.
Estimated annual hour burden per respondent: 24.
Total estimated hours of industry burden: 432.
The estimated 2-hour burden is the time required to transform the
data already produced monthly by the certificate holder as part of an
approved AQP into the appropriate form for use by the FAA.
Currently sixteen airlines and two manufacturers have established
AQP programs. However, not all of the participants' aircraft fleet
types (personnel) are covered by an AQP. Based on a cost benefit study
from certificate holders with existing AQP programs, the average cost
of an AQP analyst is $60 per hour. Therefore, the maximum cost of this
burden is:
Industry per annum (432 hours) $25,920.
Each participant per annum (24 hours) $1440.
The agency is soliciting comments to--
(1) Evaluate whether the proposed information requirement is
necessary for the proper performance of the functions of the agency,
including whether the information will have practical utility;
(2) evaluate the accuracy of the agency's estimate of the burden;
(3) enhance the quality, utility, and clarity of the information to
be collected; and
(4) minimize the burden of the collection of information on those
who are to respond, including through the use of appropriate automated,
[[Page 16377]]
electronic, mechanical, or other technological collection techniques or
other forms of information technology.
Individuals and organizations may submit comments on the
information collection requirement by April 29, 2005, and should direct
them to the address listed in the ADDRESSES section of this document.
According to the 1995 amendments to the Paperwork Reduction Act (5
CFR 1320.8(b)(2)(vi)), an agency may not collect or sponsor the
collection of information, nor may it impose an information collection
requirement unless it displays a currently valid OMB control number.
The OMB control number for this information collection will be
published in the Federal Register, after the Office of Management and
Budget approves it.
International Compatibility
In keeping with U.S. obligations under the Convention on
International Civil Aviation, it is FAA policy to comply with
International Civil Aviation Organization (ICAO) Standards and
Recommended Practices to the maximum extent practicable. The FAA has
determined that there are no ICAO Standards and Recommended Practices
that correspond to these proposed regulations.
Executive Order 12866 and DOT Regulatory Policies and Procedures
Proposed changes to Federal Regulations must undergo several
economic analyses. First, Executive Order 12866 directs that each
Federal agency propose or adopt a regulation only upon a reasoned
determination that the benefits of the intended regulation justify the
costs. Second, the Regulatory Flexibility Act of 1980 requires agencies
to analyze the economic impact of regulatory changes on small entities.
Third, the Trade Agreements Act (19 U.S.C. 2531-2533) prohibits
agencies from setting standards that create unnecessary obstacles to
the foreign commerce of the United States. In developing U.S.
standards, this Trade Act requires agencies to consider international
standards and, where appropriate, that they be the basis for U.S.
standards. Fourth, the Unfunded Mandates Reform Act of 1995 (Pub. L.
104-4) requires agencies to prepare a written assessment of the costs,
benefits, and other effects of proposed or final rules that include a
Federal mandate likely to result in the expenditure by State, local, or
tribal governments, in the aggregate, or by the private sector, or $100
million or more annually (adjusted for inflation).
Department of Transportation Order DOT 2100.5 prescribes policies
and procedures for simplification, analysis, and review of regulations.
If it is determined that the expected impact is so minimal that the
proposal does not warrant a full evaluation, a statement to that effect
and the basis for it is included in the proposed regulation.
This NPRM proposes to make permanent an existing temporary
regulatory alternative for operators to comply with carrier training
requirements. We have not prepared a ``regulatory evaluation,'' which
is the written cost/benefit analysis ordinarily required for all
rulemaking under the DOT Regulatory Policies and Procedures, because
such an evaluation is not required where the economic impact of a rule
is minimal. The FAA requests comments with supporting justification
regarding the FAA determination of minimal impact.
In conducting these analyses, the FAA has determined this rule (1)
has minimal costs, is not a ``significant regulatory action'' as
defined in section 3(f) of Executive Order 12866, and is not
``significant'' as defined in DOT's Regulatory Policies and Procedures;
(2) will not have a significant economic impact on a substantial number
of small entities; (3) will not reduce barriers to international trade;
and (4) does not impose an unfunded mandate on state, local, or tribal
governments, or on the private sector.
Regulatory Flexibility Determination
The Regulatory Flexibility Act of 1980 (RFA) establishes ``as a
principle of regulatory issuance that agencies shall endeavor,
consistent with the objective of the rule and of applicable statutes,
to fit regulatory and informational requirements to the scale of the
business, organizations, and governmental jurisdictions subject to
regulation.'' To achieve that principle, the RFA requires agencies to
solicit and consider regulatory proposals and to explain the rationale
for their actions. The RFA covers a wide-range of small entities,
including small businesses, not-for-profit organizations, and small
governmental jurisdictions.
Agencies must perform a review to determine whether a proposed or
final rule will have a significant economic impact on a substantial
number of small entities. If the agency determines that it will, the
agency must prepare a regulatory flexibility analysis as described in
the RFA.
However, if the agency determines that a proposed or final rule is
not expected to have a significant economic impact on a substantial
number of small entities, section 605(b) of the RFA provides that the
head of the agency may so certify and a regulatory flexibility analysis
is not required. The certification must include a statement providing
the factual basis for this determination, and the reasoning should be
clear.
Because we are proposing to make permanent an existing temporary
regulatory alternative for operators to comply with carrier training
requirements, we certify that this action will not have a significant
economic impact on a substantial number of small entities. We solicit
comments on this determination.
International Trade Impact Assessment
The Trade Agreement Act of 1979 prohibits Federal agencies from
establishing any standards or engaging in related activities that
create unnecessary obstacles to the foreign commerce of the United
States. Legitimate domestic objectives, such as safety, are not
considered unnecessary obstacles. The statute also requires
consideration of international standards and, where appropriate, that
they be the basis for U.S. standards. The FAA has assessed the
potential effect of this proposed rule and has determined that it would
have only a domestic impact and therefore no effect on any trade-
sensitive activity.
Unfunded Mandates Assessment
The Unfunded Mandates Reform Act of 1995 (the Act) is intended,
among other things, to curb the practice of imposing unfunded Federal
mandates on State, local, and tribal governments. Title II of the Act
requires each Federal agency to prepare a written statement assessing
the effects of any Federal mandate in a proposed or final agency rule
that may result in an expenditure of $100 million or more (adjusted
annually for inflation) in any one year by State, local, and tribal
governments, in the aggregate, or by the private sector; such a mandate
is deemed to be a ``significant regulatory action.'' The FAA currently
uses an inflation-adjusted value of $120.7 million in lieu of $100
million.
This NPRM does not contain such a mandate. The requirements of
Title II of the Act, therefore, do not apply.
Executive Order 13132, Federalism
The FAA has analyzed this proposed rule under the principles and
criteria of Executive Order 13132, Federalism. We determined that this
action would not have a substantial direct effect on the States, on the
relationship between the national Government and the States, or
[[Page 16378]]
on the distribution of power and responsibilities among the various
levels of government, and therefore would not have federalism
implications.
Environmental Analysis
FAA Order 1050.1E identifies FAA actions that are categorically
excluded from preparation of an environmental assessment or
environmental impact statement under the National Environmental Policy
Act in the absence of extraordinary circumstances. The FAA has
determined this proposed rulemaking action qualifies for the
categorical exclusion identified in paragraph 312f and involves no
extraordinary circumstances.
Regulations That Significantly Affect Energy Supply, Distribution, or
Use
The FAA has analyzed this NPRM under Executive Order 13211, Actions
Concerning Regulations that Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). We have determined that it is not
a ``significant energy action'' under the executive order because it is
not a ``significant regulatory action'' under Executive Order 12866,
and it is not likely to have a significant adverse effect on the
supply, distribution, or use of energy.
List of Subjects
14 CFR Part 61
Air safety, Air transportation, Aviation safety, Safety.
14 CFR Part 63
Air safety, Air transportation, Airmen, Aviation safety, Safety,
Transportation.
14 CFR Part 65
Airmen, Aviation safety, Air transportation, Aircraft.
14 CFR Part 121
Aircraft pilots, Airmen, Aviation safety, Pilots, Safety.
14 CFR Part 135
Air carriers, Air transportation, Airmen, Aviation safety, Safety,
Pilots.
The Proposed Amendment
The Federal Aviation Administration proposes to amend parts 61, 63,
65, 121, and 135 of Title 14, Code of Federal Regulations (14 CFR parts
61, 63, 65, 121 and 135) as follows:
PART 61--CERTIFICATION: PILOTS, FLIGHT INSTRUCTORS, AND GROUND
INSTRUCTORS
1. The authority citation for part 61 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44703, 44707, 44709-
44711, 45102-45103, 45301-45302.
SFAR No. 58 [Removed]
2. Remove SFAR No. 58 from part 61.
3. Amend 61.58(b) by removing ``SFAR 58'' and adding ``subpart Y of
part 121 of this chapter'' in its place.
PART 63--CERTIFICATION: FLIGHT CREWMEMBERS OTHER THAN PILOTS
4. The authority citation for part 63 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40108, 40113, 44701-44703, 44710,
44712, 44714, 44716, 44717, 44722, 45303.
SFAR No. 58 [Removed]
5. Remove SFAR No. 58 from part 63.
PART 65--CERTIFICATION: AIRMEN OTHER THAN FLIGHT CREWMEMBERS
6. The authority citation for part 65 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44703, 44707, 44709-
44711, 45102-45103, 45301-45302.
SFAR No. 58 [Removed]
7. Remove SFAR No. 58 from part 65.
PART 121--OPERATING REQUIREMENTS: DOMESTIC, FLAG, AND SUPPLEMENTAL
OPERATIONS
8.-9. The authority citation for part 121 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40113, 40119, 41706, 44101, 44701-
44702, 44705, 44709-44711, 44713, 44716-44717, 44722, 44901, 44903-
44904, 44912, 45101-45105, 46105, 46301.
SFAR No. 58 [Removed]
10. Remove Special Federal Aviation Regulation (SFAR) No. 58.--
Advanced Qualification Program from part 121.
11. Add subpart Y to read as follows:
Subpart Y--Advanced Qualification Program
Sec.
121.901 Purpose and eligibility.
121.903 General requirements for Advanced Qualification Programs.
121.905 Confidential commercial information.
121.907 Definitions.
121.909 Approval of Advanced Qualification Program.
121.911 Indoctrination curriculum.
121.913 Qualification curriculum.
121.915 Continuing qualification curriculum.
121.917 Other requirements.
121.919 Certification.
121.921 Training devices and simulators.
121.923 Approval of training, qualification, or evaluation by a
person who provides training by arrangement.
121.925 Recordkeeping requirements.
Sec. 121.901 Purpose and eligibility.
(a) Notwithstanding the provisions of parts 61, 63, 65, 121, 135,
and 142 of this chapter, this subpart provides for approval of an
alternative method (known as ``Advanced Qualification Program'' or
``AQP'') for qualifying, training, certifying, and otherwise ensuring
competency of crewmembers, aircraft dispatchers, other operations
personnel, flight instructors, and evaluators who are required to be
trained under parts 121 and 135 of this chapter.
(b) A certificate holder is eligible under this subpart if the
certificate holder is required or elects to have an approved training
program under Sec. Sec. 121.401, 135.3(c), or 135.341 of this chapter.
(c) A certificate holder obtains approval of each proposed
curriculum under this AQP as specified in Sec. 121.909.
Sec. 121.903 General requirements for Advanced Qualification
Programs.
(a) A curriculum approved under an AQP may include elements of
existing training programs under part 121 and part 135 of this chapter.
Each curriculum must specify the make, model, series or variant of
aircraft and each crewmember position or other positions to be covered
by that curriculum. Positions to be covered by the AQP must include all
flight crewmember positions, flight instructors, and evaluators and may
include other positions, such as flight attendants, aircraft
dispatchers, and other operations personnel.
(b) Each certificate holder that obtains approval of an AQP under
this subpart must comply with all of the requirements of the AQP and
this subpart instead of the corresponding provisions of parts 61, 63,
65, 121, or 135 of this chapter. However, each applicable requirement
of parts 61, 63, 65, 121, or 135 of this chapter, including but not
limited to practical test requirements, that is not specifically
addressed in the AQP continues to apply to the certificate holder and
to the individuals being trained and qualified by the certificate
holder. No person may be trained under an AQP unless that AQP has been
approved by the FAA and the person complies with all of the
requirements of the AQP and this subpart.
(c) No certificate holder that conducts its training program under
this subpart may use any person nor may any person
[[Page 16379]]
serve in any duty position as a required crewmember, an aircraft
dispatcher, a flight instructor, or an evaluator, unless that person
has satisfactorily accomplished, in a training program approved under
this subpart for the certificate holder, the training and evaluation of
proficiency required by the AQP for that type airplane and duty
position.
(d) All documentation and data required under this subpart must be
submitted in a form and manner acceptable to the FAA.
(e) Any training or evaluation required under an AQP that is
satisfactorily completed in the calendar month before or the calendar
month after the calendar month in which it is due is considered to have
been completed in the calendar month it was due.
Sec. 121.905 Confidential commercial information.
(a) Each certificate holder that claims that AQP information or
data it is submitting to the FAA is entitled to confidential treatment
under 5 U.S.C. 552(b)(4) because it constitutes confidential commercial
information as described in 5 U.S.C. 552(b)(4), and should be withheld
from public disclosure, must include its request for confidentiality
with each submission.
(b) When requesting confidentiality for submitted information or
data, the certificate holder must:
(1) If the information or data is transmitted electronically, embed
the claim of confidentiality within the electronic record so that the
portions claimed to be confidential are readily apparent when received
and reviewed.
(2) If the information or data is submitted in paper format, place
the word ``CONFIDENTIAL'' on the top of each page containing
information or data claimed to be confidential.
(3) Justify the basis for a claim of confidentiality under 5 U.S.C.
552(b)(4).
Sec. 121.907 Definitions.
The following definitions apply to this subpart:
Crew Resource Management (CRM) means the effective use of all of
the resources available to crewmembers, including each other, in order
to achieve a safe and efficient flight.
Curriculum outline means a listing of each segment, module, lesson,
and lesson element in a curriculum, or an equivalent listing acceptable
to the FAA.
Evaluation of proficiency means a Line Operational Evaluation (LOE)
or an equivalent evaluation under an AQP acceptable to the FAA.
Evaluator means a person who assesses or judges the performance of
crewmembers, flight instructors, other evaluators, aircraft
dispatchers, or other operations personnel.
First Look means the assessment of performance to determine
proficiency on designated flight tasks before any briefing, training,
or practice on those tasks is given in the training session for a
continuing qualification curriculum. First Look is conducted during an
AQP continuing qualification cycle to determine trends of degraded
proficiency, if any, due in part to the length of the interval between
training sessions.
Instructional systems development means a systematic methodology
for developing or modifying qualification standards and associated
curriculum content based on a documented analysis of the job tasks,
skills, and knowledge required for job proficiency.
Job task listing means a listing of all tasks, subtasks, knowledge,
and skills required for the accomplishment of the operational job.
Line Operational Evaluation (LOE) means a simulated line
environment, the scenario content of which is designed to test the
integration of technical and CRM skills.
Line Operational Simulation (LOS) means a training or evaluation
session, as applicable, that is conducted in a simulated line
environment using equipment qualified and approved for its intended
purpose in an AQP.
Planned hours means the estimated amount of time (as specified in a
curriculum outline) that it takes a typical student to complete a
segment of instruction (to include all instruction, demonstration,
practice, and evaluation, as appropriate, to reach proficiency).
Qualification standard means a statement of a minimum required
performance, applicable parameters, criteria, applicable flight
conditions, evaluation strategy, evaluation media, and applicable
document references.
Qualification standards document means a single document containing
all of the qualification standards for an AQP together with a prologue
that provides a detailed description of all facets of the evaluation
process.
Special tracking means the assignment of a person to an augmented
schedule of training, checking, or both.
Training session means a contiguously scheduled period devoted to
training activities at a facility accepted by the FAA for that purpose.
Variant means a specifically configured aircraft for which the FAA
has identified training and qualifications that are significantly
different from those applicable to other aircraft of the same make,
model, and series.
Sec. 121.909 Approval of Advanced Qualification Program.
(a) Approval process. Application for approval of an AQP curriculum
under this subpart is made, through the FAA office responsible for
approval of the certificate holder's operations specifications, to the
Manager of the Advanced Qualification Program.
(b) Approval criteria. Each AQP must have separate curriculums for
indoctrination, qualification, and continuing qualification (including
upgrade, transition, and requalification), as specified in Sec. Sec.
121.911, 121.913, and 121.915. All AQP curriculums must be based on an
instructional systems development methodology. This methodology must
incorporate a thorough analysis of the certificate holder's operations,
aircraft, line environment and job functions. All AQP qualification and
continuing qualification curriculums must integrate the training and
evaluation of CRM and technical skills and knowledge. An application
for approval of an AQP curriculum may be approved if the program meets
the following requirements:
(1) The program must meet all of the requirements of this subpart.
(2) Each indoctrination, qualification, and continuing
qualification AQP, and derivatives must include the following
documentation:
(i) Initial application for AQP.
(ii) Initial job task listing.
(iii) Instructional systems development methodology.
(iv) Qualification standards document.
(v) Curriculum outline.
(vi) Implementation and operations plan.
(3) Subject to approval by the FAA, certificate holders may elect,
where appropriate, to consolidate information regarding multiple
programs within any of the documents referenced in paragraph (b)(2) of
this section.
(4) The Qualification Standards Document must indicate specifically
the requirements of the parts 61, 63, 65, 121, or 135 of this chapter,
as applicable, that would be replaced by an AQP curriculum. If a
practical test requirement of parts 61, 63, 65, 121, or 135 of this
chapter is replaced by an AQP curriculum, the certificate holder must
establish an initial justification and a continuing process approved by
the FAA to show how the AQP curriculum provides an equivalent level of
safety for each requirement that is to be replaced.
[[Page 16380]]
(c) Application and transition. Each certificate holder that
applies for one or more advanced qualification curriculums must include
as part of its application a proposed transition plan (containing a
calendar of events) for moving from its present approved training to
the advanced qualification program training.
(d) Advanced Qualification Program revisions or rescissions of
approval. If after a certificate holder begins training and
qualification under an AQP, the FAA finds that the certificate holder
is not meeting the provisions of its approved AQP, the FAA may require
the certificate holder, pursuant to Sec. 121.405(e), to make
revisions. Or if otherwise warranted, the FAA may withdraw AQP approval
and require the certificate holder to submit and obtain approval for a
plan (containing a schedule of events) that the certificate holder must
comply with and use to transition to an approved training program under
subpart N of this part or under subpart H of part 135 of this chapter,
as appropriate. The certificate holder may also voluntarily submit and
obtain approval for a plan (containing a schedule of events) to
transition to an approved training program under subpart N of this part
or under subpart H of part 135 of this chapter, as appropriate.
(e) Approval by the FAA. Final approval of an AQP by the FAA
indicates that the FAA has accepted the justification provided under
paragraph (b)(4) of this section and that the applicant's initial
justification and continuing process establish an equivalent level of
safety for each requirement of parts 61, 63, 65, 121, and 135 of this
chapter that is being replaced.
Sec. 121.911 Indoctrination curriculum.
Each indoctrination curriculum must include the following:
(a) For newly hired persons being trained under an AQP: The
certificate holder's policies and operating practices and general
operational knowledge.
(b) For newly hired crewmembers and aircraft dispatchers: General
aeronautical knowledge appropriate to the duty position.
(c) For flight instructors: The fundamental principles of the
teaching and learning process; methods and theories of instruction; and
the knowledge necessary to use aircraft, flight training devices,
flight simulators, and other training equipment in advanced
qualification curriculums.
(d) For evaluators: General evaluation requirements of the AQP;
methods of evaluating crewmembers and aircraft dispatchers and other
operations personnel; and policies and practices used to conduct the
kinds of evaluations particular to an AQP (e.g., LOE).
Sec. 121.913 Qualification curriculum.
Each qualification curriculum must contain training, evaluation,
and certification activities, as applicable for specific positions
subject to the AQP, as follows:
(a) The certificate holder's planned hours of training, evaluation,
and supervised operating experience.
(b) For crewmembers, aircraft dispatchers, and other operations
personnel, the following:
(1) Training, evaluation, and certification activities that are
aircraft- and equipment-specific to qualify a person for a particular
duty position on, or duties related to the operation of, a specific
make, model, series, or variant aircraft.
(2) A list of and text describing the knowledge requirements,
subject materials, job skills, and qualification standards of each task
to be trained and evaluated.
(3) The requirements of the certificate holder's approved AQP
program that are in addition to or in place of, the requirements of
parts 61, 63, 65, 121 or 135 of this chapter, including any applicable
practical test requirements.
(4) A list of and text describing operating experience, evaluation/
remediation strategies, provisions for special tracking, and how
recency of experience requirements will be accomplished.
(c) For flight crewmembers: initial operating experience and line
check.
(d) For flight instructors, the following:
(1) Training and evaluation activities to qualify a person to
conduct instruction on how to operate, or on how to ensure the safe
operation of a particular make, model, and series aircraft (or
variant).
(2) A list of and text describing the knowledge requirements,
subject materials, job skills, and qualification standards of each
procedure and task to be trained and evaluated.
(3) A list of and text describing evaluation/remediation
strategies, standardization policies and recency requirements.
(e) For evaluators: The requirements of paragraph (d)(1) of this
section plus the following:
(1) Training and evaluation activities that are aircraft and
equipment specific to qualify a person to assess the performance of
persons who operate or who ensure the safe operation of, a particular
make, model, and series aircraft (or variant).
(2) A list of and text describing the knowledge requirements,
subject materials, job skills, and qualification standards of each
procedure and task to be trained and evaluated.
(3) A list of and text describing evaluation/remediation
strategies, standardization policies and recency requirements.
Sec. 121.915 Continuing qualification curriculum.
Each continuing qualification curriculum must contain training and
evaluation activities, as applicable for specific positions subject to
the AQP, as follows:
(a) Continuing qualification cycle. A continuing qualification
cycle that ensures that during each cycle each person qualified under
an AQP, including flight instructors and evaluators, will receive a mix
that will ensure training and evaluation on all events and subjects
necessary to ensure that each person maintains proficiency in
knowledge, technical skills, and cognitive skills required for initial
qualification in accordance with the approved continuing qualification
AQP, evaluation/remediation strategies, and provisions for special
tracking. Each continuing qualification cycle must include at least the
following:
(1) Evaluation period. Initially the continuing qualification cycle
is comprised of two or more evaluation periods of equal duration. Each
person qualified under an AQP must receive ground training and flight
training and an evaluation of proficiency during each evaluation period
at a training facility. The number and frequency of training sessions
must be approved by the FAA.
(2) Training. Continuing qualification must include training in all
tasks, procedures and subjects required in accordance with the approved
program documentation, as follows:
(i) For pilots in command, seconds in command, and flight
engineers, First Look in accordance with the certificate holder's FAA-
approved program documentation.
(ii) For pilots in command, seconds in command, flight engineers,
flight attendants, flight instructors and evaluators: Ground training
including a general review of knowledge and skills covered in
qualification training, updated information on newly developed
procedures, and safety information.
(iii) For crewmembers, flight instructors, evaluators, and other
operational personnel who conduct their duties in flight: proficiency
training in an aircraft, flight training device, flight simulator, or
other
[[Page 16381]]
equipment, as appropriate, on normal, abnormal, and emergency flight
procedures and maneuvers.
(iv) For dispatchers and other operational personnel who do not
conduct their duties in flight: ground training including a general
review of knowledge and skills covered in qualification training,
updated information on newly developed procedures, safety related
information, and, if applicable, a line observation program.
(v) For flight instructors and evaluators: Proficiency training in
the type flight training device or the type flight simulator, as
appropriate, regarding training equipment operation. For flight
instructors and evaluators who are limited to conducting their duties
in flight simulators or flight training devices: training in
operational flight procedures and maneuvers (normal, abnormal, and
emergency).
(b) Evaluation of performance. Continuing qualification must
include evaluation of performance on a sample of those events and major
subjects identified as diagnostic of competence and approved for that
purpose by the FAA. The following evaluation requirements apply:
(1) Evaluation of proficiency as follows:
(i) For pilots in command, seconds in command, and flight
engineers: An evaluation of proficiency, portions of which may be
conducted in an aircraft, flight simulator, or flight training device
as approved in the certificate holder's curriculum that must be
completed during each evaluation period.
(ii) For any other persons covered by an AQP, a means to evaluate
their proficiency in the performance of their duties in their assigned
tasks in an operational setting.
(2) Line checks as follows:
(i) Except as provided in paragraph (b)(2)(ii) of this section, for
pilots in command: A line check conducted in an aircraft during actual
flight operations under part 121 or part 135 of this chapter or during
operationally (line) oriented flights, such as ferry flights or proving
flights. A line check must be completed in the calendar month at the
mid-point of the evaluation period.
(ii) With the FAA's approval, a no-notice line check strategy may
be used in lieu of the line check required by paragraph (b)(2)(i) of
this section. The certificate holder who elects to exercise this option
must ensure that the ``no-notice'' line checks are administered so that
the flight crewmembers are not notified in advance of the evaluation.
In addition, the AQP certificate holder must ensure that each pilot in
command receives at least one ``no-notice'' line check every 24 months.
As a minimum, the number of ``no-notice'' line checks administered each
calendar year must equal at least 50% of the certificate holder's
pilot-in-command workforce in accordance with a strategy approved by
the FAA for that purpose. In addition, the line checks to be conducted
under this paragraph must be conducted over all geographic areas flown
by the certificate holder in accordance with a sampling methodology
approved by the FAA for that purpose.
(iii) During the line checks required under paragraph (b)(2)(i) and
(ii) of this section, each person performing duties as a pilot in
command, second in command, or flight engineer for that flight, must be
individually evaluated to determine whether the person remains
adequately trained and currently proficient with respect to the
particular aircraft, crew position, and type of operation in which he
or she serves; and that the person has sufficient knowledge and skills
to operate effectively as part of a crew. The evaluator must be a check
airman, an APD, or an FAA inspector and must hold the certificates and
ratings required of the pilot in command.
(c) Recency of experience. For pilots in command, seconds in
command, flight engineers, aircraft dispatchers, flight instructors,
evaluators, and flight attendants, approved recency of experience
requirements appropriate to the duty position.
(d) Duration of cycles and periods. Initially, the continuing
qualification cycle approved for an AQP must not exceed 24 calendar
months in duration, and must include two or more evaluation periods of
equal duration. Thereafter, upon demonstration by a certificate holder
that an extension is warranted, the FAA may approve an extension of the
continuing qualification cycle to a maximum of 36 calendar months in
duration.
(e) Requalification. Each continuing qualification curriculum must
include a curriculum segment that covers the requirements for
requalifying a crewmember, aircraft dispatcher, other operations
personnel, flight instructor, or evaluator who has not maintained
continuing qualification.
Sec. 121.917 Other requirements.
In addition to the requirements of Sec. Sec. 121.913 and 121.915,
each AQP qualification and continuing curriculum must include the
following requirements:
(a) Integrated Crew Resource Management (CRM) or Dispatcher
Resource Management (DRM) ground and flight training applicable to each
position for which training is provided under an AQP.
(b) Approved training on and evaluation of skills and proficiency
of each person being trained under AQP to use his or her crew resource
management skills and his or her technical (piloting or other) skills
in an actual or simulated operations scenario. For flight crewmembers
this training and evaluation must be conducted in an approved flight
training device, flight simulator, or, if approved under this subpart,
in an aircraft.
(c) Data collection and analysis processes acceptable to the FAA
that will ensure that the certificate holder provides performance
information on its crewmembers, flight instructors, and evaluators that
will enable the certificate holder and the FAA to determine whether the
form and content of training and evaluation activities are
satisfactorily accomplishing the overall objectives of the curriculum.
Sec. 121.919 Certification.
A person subject to an AQP is eligible to receive a commercial or
airline transport pilot, flight engineer, or aircraft dispatcher
certificate or appropriate rating based on the successful completion of
training and evaluation events accomplished under that program if the
following requirements are met:
(a) Training and evaluation of required knowledge and skills under
the AQP must meet minimum certification and rating criteria established
by the FAA in parts 61, 63, or 65 of this chapter. The FAA may approve
alternatives to the certification and rating criteria of parts 61, 63,
or 65 of this chapter, including practical test requirements, if it can
be demonstrated that the newly established criteria or requirements
represent an equivalent or better measure of airman competence,
operational proficiency, and safety.
(b) The applicant satisfactorily completes the appropriate
qualification curriculum.
(c) The applicant shows competence in required technical knowledge
and skills (e.g., piloting) and crew resource management (e.g., CRM or
DRM) knowledge and skills in scenarios (i.e., LOE) that test both types
of knowledge and skills together.
(d) The applicant is otherwise eligible under the applicable
requirements of part 61, 63, or 65 of this chapter.
(e) The applicant has been trained to proficiency on the
certificate holder's approved AQP Qualification Standards as witnessed
by a flight instructor, check airman, or APD and has passed a
[[Page 16382]]
LOE administered by an APD or the FAA.
Sec. 121.921 Training devices and simulators.
(a) Each flight training device or airplane simulator that will be
used in an AQP for one of the following purposes must be evaluated by
the FAA for assignment of a flight training device or flight simulator
qualification level:
(1) Required evaluation of individual or crew proficiency.
(2) Training to proficiency or training activities that determine
if an individual or crew is ready for an evaluation of proficiency.
(3) Activities used to meet recency of experience requirements.
(4) Line Operational Simulations (LOS).
(b) Approval of other training equipment.
(1) Any training equipment that is intended to be used in an AQP
for purposes other than those set forth in paragraph (a) of this
section must be approved by the FAA for its intended use.
(2) An applicant for approval of training equipment under this
paragraph must identify the device by its nomenclature and describe its
intended use.
(3) Each training device approved for use in an AQP must be part of
a continuing program to provide for its serviceability and fitness to
perform its intended function as approved by the FAA.
Sec. 121.923 Approval of training, qualification, or evaluation by a
person who provides training by arrangement.
(a) A certificate holder operating under part 121 or part 135 of
this chapter may arrange to have AQP training, qualification,
evaluation, or certification functions performed by another person (a
``training provider'') if the following requirements are met:
(1) The training provider is certificated under part 119 or 142 of
this chapter.
(2) The training provider's AQP training and qualification
curriculums, curriculum segments, or portions of curriculum segments
must be provisionally approved by the FAA. A training provider may
apply for provisional approval independently or in conjunction with a
certificate holder's application for AQP approval. Application for
provisional approval must be made, through the FAA office directly
responsible for oversight of the training provider, to the Manager of
the Advanced Qualification Program.
(3) The specific use of provisionally approved curriculums,
curriculum segments, or portions of curriculum segments in a
certificate holder's AQP must be approved by the FAA as set forth in
Sec. 121.909.
(b) An applicant for provisional approval of a curriculum,
curriculum segment, or portion of a curriculum segment under this
paragraph must show that the following requirements are met:
(1) The applicant must have a curriculum for the qualification and
continuing qualification of each flight instructor and evaluator used
by the applicant.
(2) The applicant's facilities must be found by the FAA to be
adequate for any planned training, qualification, or evaluation for a
certificate holder operating under part 121 or part 135 of this
chapter.
(3) Except for indoctrination curriculums, the curriculum,
curriculum segment, or portion of a curriculum segment must identify
the specific make, model, and series aircraft (or variant) and
crewmember or other positions for which it is designed.
(c) A certificate holder who wants approval to use a training
provider's provisionally approved curriculum, curriculum segment, or
portion of a curriculum segment in its AQP, must show that the
following requirements are met:
(1) Each flight instructor or evaluator used by the training
provider must meet all of the qualification and continuing
qualification requirements that apply to employees of the certificate
holder that has arranged for the training, including knowledge of the
certificate holder's operations.
(2) Each provisionally-approved curriculum, curriculum segment, or
portion of a curriculum segment must be approved by the FAA for use in
the certificate holder's AQP. The FAA will either provide approval or
require modifications to ensure that each curriculum, curriculum
segment, or portion of a curriculum segment is applicable to the
certificate holder's AQP.
Sec. 121.925 Recordkeeping requirements.
Each certificate holder conducting an approved AQP must establish
and maintain records in sufficient detail to demonstrate that the
certificate holder is in compliance with all of the requirements of the
AQP and this subpart.
PART 135--OPERATING REQUIREMENTS: COMMUTER AND ON DEMAND OPERATIONS
AND RULES GOVERNING PERSONS ABOARD SUCH AIRCRAFT
12. The authority citation for part 135 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40113, 44701-44702, 44705, 44709,
44711-44713, 44715-44717, 44722.
SFAR No. 58 [Removed]
13. Remove SFAR No. 58 from part 135.
14. Amend Sec. 135.1(a)(4) by removing ``SFAR No. 58'' and adding
``subpart Y of part 121 of this chapter'' in its place each place it
appears.
Issued in Washington, DC on March 23, 2005.
John M. Allen,
Director, Flight Standards Service.
[FR Doc. 05-6141 Filed 3-29-05; 8:45 am]
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