Par 3-4 Page 51 the ERT for that purpose. In addition, the random line checks must be conducted over all geographic areas flown by the certificate holder in accordance with a sampling methodology approved by the ERT for that purpose.
(b) During the random line checks, each person performing duties as a PIC, SIC, 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 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 PIC.
(4) Proficiency Evaluations. For PICs, SICs, flight engineers, and other persons covered by an AQP, a proficiency evaluation must be completed during each evaluation period.
Typically, the proficiency evaluation will occur during a required training session; however, if more than one training session is completed during an evaluation period, the proficiency evaluation may be divided among training sessions or otherwise allocated to one or more such sessions.
f. Extensions. The FAA will consider approving extensions to the duration of continuing qualification cycle and evaluation period if evidence substantiates that the extension will maintain or increase the level of safety for that carrier. To obtain approval, an applicant must be able to show that individuals subject to the AQP are able to maintain their knowledge and skills under the already approved schedules. In addition, it must show that a rational basis exists for believing that no loss of knowledge, skill, or ability, which could compromise safety, will result from an extension. An extension will be allowed to continue, or an additional extension will be granted, if an operator’s data analysis and an independent FAA evaluation verify that the extension is an appropriate means to maintain or increase an individual’s level of competency.
NOTE: A continuing qua lification cycle may be extended up to a maximum of 36 months.
g. Validation. The continuing qualification cycle and evaluation period are subject to continued demonstration of overall effectiveness. The demonstration will be dependent on the data submitted to the FAA by the participant and additional analysis accomplished by the participant. To ensure adequate individual and crew qualification, the participant must demonstrate that its AQP has the capacity to monitor individual proficiency.
h. Dual Qualification. An individual is deemed “dual qualified” if, during the continuing qualification cycle following an AQP proficiency evaluation, the individual performs flightcrew duties in that aircraft type after becoming qualified and operating another aircraft type during that same continuing qualification period. If maintaining qualification in more than one aircraft type in accordance with the definition of “dual qualification” above, the individual will have one aircraft type designated as “primary” and other aircraft types designated as “secondary.”
Page 52 Par 3-4
(1) Training Cycle. A person, who is qualified on more than one aircraft type, or in more than one duty position on different aircraft types, should be simultaneously enrolled in a separate continuing qualification curriculum for each assigned aircraft and duty position. For each aircraft type or duty position in which he/she is maintaining qualification, the individual must accomplish the corresponding AQP continuing qualification curriculum. Those training items that are not “fleet specific” in nature need only be addressed in the “primary” aircraft’s AQP continuing qualification program.
(2) Line Check. In addition, the individual must accomplish at least one line check during the continuing qualification cycle in the “primary” aircraft. The individual should receive a line check on a different aircraft type each successive year so he/she is given a line check on all aircraft types prior to re-accomplishing a line check on a given aircraft type.
(3) Multiple Duty Positions. A person assigned simultaneously as a flight crewmember, instructor, and/or evaluator on the same aircraft, may be enrolled in a continuing qualification curriculum, which combines the activities necessary to maintain skill and proficiency in all duty positions.
3-5. SECONDARY CURRICULUMS. Developing a secondary curriculum entails selecting, revising, and arranging modules (with related proficiency objectives) from all three primary curriculums. In all cases, the TPOs, SPOs, and EOs must include CRM principles and include the use of line operational simulation (LOS) for training and evaluation. Figure 3-6 shows the relationship of primary AQP curriculums to the secondary curriculums.
For Each Trainee Type
(e.g., Pilots, Flight Attendants, Dispatchers
For Each Trainee Type ‘s Instructors/Evaluators
Indoctrination
Qualification
Continuing Qualification
Indoctrination
Qualification
Continuing Qualification
Primary Curriculums
Transition
Requal.*
Upgrade*
Transition
Requal.*
Secondary Curriculums * Depending on previous qualification FIGURE 3-6.
AQP SECONDARY CURRICULUMS
Par 3-5 Page 53
a. Transition Curriculum. This curriculum is applicable for an employee who has been previously trained and qualified in a specific duty position by the certificate holder and is being assigned the same duty position on a different aircraft. Under part 121, the new aircraft must be in the same aircraft group or the qualification curriculum must be used. In a transition curriculum, the same qualification standards apply as found in the qualification curriculum.
However, the training received may be abbreviated, based on an analysis of the training/validation/evaluation requirements of the qualification curriculum compared to an assessment of the currency, knowledge, skills, and qualifications of the individual. In most cases, the training received would be from modules extracted from the qualification curriculum for that particular aircraft. For example, if both aircraft used the same Flight Management System (FMS), training may be tailored to be aircraft specific (weights, fuel burn, etc.) and proficiency validated through testing rather than requiring the student to sit through the entire FMS curriculum segment.
b. Upgrade Curriculum. This curriculum is for an employee who has been previously trained and qualified as either a SIC or flight engineer for the certificate holder and is being assigned as either a PIC or SIC, respectively, for the same aircraft type in which he or she was previously trained and qualified. Elements or training modules for this curriculum may be found in all three primary curriculums. In upgrade training, the same qualification standards apply as found in the qualification curriculum. However, the training received may be abbreviated, based on an analysis of the training/validation/evaluation requirements of the qualification and continuing qualification curriculums compared to an assessment of the currency, knowledge, skills, and qualifications of the individual. For example, if the individual is a current first officer instructor/evaluator already type-rated in the aircraft, the training/validation/evaluation requirements of continuing qualification followed by operating experience might be appropriate.
Another example, if the individual is current in the aircraft as an SIC, proficiency in training modules such as systems, FMS, and emergency drills may be validated through testing. Other training such as seat dependent training, command authority, and CRM may be trained and evaluated using a combination of classroom and LOS methodology.
NOTE: Downgrade. Seat-dependent task training is required when a PIC is reassigned as an SIC on the same type aircraft. It may be appropriate to provide modules from several different secondary curriculums (i.e., transition and requalificatio n) if the flight crewmem ber has never served as an SIC on that type aircraft. The trai ning required when the downgrade is from PIC to SIC from one type aircraft to another type aircraft will depend on whether the crewmember was previously qualified as an SIC in that type.
If previously qualified in the duty position and type, a requalification curriculum based on time away is appropriate. If only previously qualified in the duty position, transition is appropriate.
c. Requalification Curriculum. This curriculum is for an individual who has not met the requirements of a continuing qualification curriculum, for whatever reason, and becomes unqualified for the duty position. The individual must be requalified under a secondary curriculum to resume serving in that duty position. An AQP applicant should establish nonqualification duration limits based on a currency analysis beyond which an individual would be
Page 54 Par 3-5 required to repeat some or all of the indoctrination and qualification curriculum in addition to the continuing qualification curriculum to requalify.
d. Refresher. This curriculum is for an individual who has not met the time requirements of consolidation. The individual must be requalified using this secondary curriculum to resume serving in that duty position.
SECTION 2. AIRMAN CERTIFICATION
3-6. GENERAL. AQP regulatory guidance provides an alternative practical means to certificate pilots, flight engineers, flight attendants, and aircraft dispatchers. AQP regulatory guidance also provides for the development of alternative training and evaluation for flight attendants and operations personnel.
3-7. AQP TRAINING AND EVALUATION FOR CERTIFICATION. An applicant for AQP certification must be eligible in accordance with the applicable requirements of parts 61, 63, or 65, except that an operator may develop an alternative training and evaluation strategy, as specified in the qualification standards and approved by the FAA. AQP training and evaluation strategies are used in place of the prescribed practical test requirements of parts 61, 63, and 65.
The AQP training and evaluation proposed by the operator must be an equivalent or better measure of airman competence and operational proficiency than that provided by the practical tests prescribed in parts 61, 63, or 65.
3-8. COMPLETION OF THE QUALIFICATION CURRICULUM. An applicant for FAA airman certification under an AQP must successfully complete the appropriate qualification curriculum and apply for certification on FAA Form 8710-1, Airman Certificate and/or Rating Application.
a. Application. There is a signature requirement for airman certification under AQP on the back of the application form. It is the block entitled “Evaluators Record for Airline Transport Certificate/Rating Only.” Signature in the AQP block constitutes verification, by a competent authority, that all of the requirements under the specific provisions of a certificate holder’s AQP qualification program have been satisfactorily accomplished. In this instance, the competent authority is an aircrew program designee (APD), air transport pilot examiner (ATPE), training center evaluator (TCE) authorized by the FAA, or a qualified FAA inspector.
b. Demonstration of Individual Skills. Applicants for certification and/or qualification, including dispatchers and flight attendants, must show competence in required technical proficiency objectives and CRM/DRM in actual or simulated operational scenarios that assess both types of skills together.
Par 4-1 Page 55 CHAPTER 4. AQP APPROVAL AND DOCUMENTATION
SECTION 1. DOCUMENTATION REVIEW AND APPROVAL
4-1. OVERVIEW. This section establishes how the FAA reviews and grants approval, or withdraws approval, for all or part of an Advanced Qualification Program (AQP). Specific document content is discussed in Chapter 2.
a. Approval Authority. Except for the three items listed below, notification of approval for AQP documents and their revisions is a joint signature responsibility of the FAA Manager of Voluntary Safety Programs (VSP) and the principal operations inspector (POI), based on recommendations from the FAA Extended Review Team (ERT). The exceptions are:
(1) Application – VSP manager.
(2) Line operational simulation (LOS) scenario content -- POI signature approval.
(3) Phase V curriculum outline revisions -- POI signature approval.
b. Approval Process. All AQP documents and subsequent revisions are reviewed by the ERT. The ERT reports to the VSP manager and to the POI with its recommendations. Based on the acceptance of the ERT recommendations, the VSP manager will originate, sign, and forward electronically a response letter to the POI for signature and delivery to the operator. The operator will ensure that the VSP manager and the POI receive copies of the approved material.
4-2. REVIEW PROCESS. Chapter 1 of this Advisory Circular (AC) discusses the roles and responsibility of the ERT personnel involved with AQP. The ERT prefers to interact closely with applicants as AQP documentation is developed. Experience has shown that is more efficient for the ERT to discuss plans and review drafts of document sections early in the development process.
4-3. APPROVAL PROCESS. Applicants develop, implement, and operate the AQP in five sequential phases. FAA approval of each phase marks the completion of that phase and entry into the next. Developing and implementing an AQP requires a commitment of resources for both the FAA and a certificate holder. The FAA and the certificate holder must use their resources in an effective and efficient manner. The FAA has established a transition time criterion in order to provide a clear delineation of FAA expectations regarding reasonable progress towards AQP implementation. Accordingly, continuation in AQP for applicants who do not initiate phase IV within the 30th month of phase I approval, as indicated in figure 4-1, will be subject to a review and analysis of their progression towards completing AQP. If circumstances do not warrant an extension, AQP and the Single Visit Training Program Plan approval (if applicable) may be withdrawn.
Page 56 Par 4-3 FIGURE 4-1.
FIVE PHASES OF AQP REVIEW AND APPROVAL
4-4. PHASE APPROVALS. After concluding a joint meeting with the potential applicant, the VSP manager and the POI/training center program manager (TCPM) will form the core ERT.
The purpose of forming the ERT prior to accepting the phase I application is to have FAA resources available to help the applicant during the development process. In reviewing all phases of AQP development, the ERT will:
• Evaluate documents based on the guidelines in chapters 2 and 3 (see appendix 3)
• Provide suggestions for improvement, if appropriate
• Make recommendations to the VSP manager/POI/TCPM regarding approval
a. Phase I -- Initial Application. Approval of the initial application marks the certificate holder’s formal entry into the AQP. The steps for the applicant are:
Phase I Application Application Approved Program Review Phase II Curriculum Development Program Review By ERT Job Task Analysis Qualification Standards Instructional Systems Development Methodology Curriculum Outline I&O Plan All Are Approved Phase III Curriculum Implementation Program Review By ERT Small Group Tryout Approved Initial Operations Phase IV Program Review By ERT
Data Collection & Curriculum Maintenance Approved Continuing Operations
Annual AQP Report Maintenance of AQP Documents Phase V
3 0
M O N T H S
Par 4-4 Page 57
• Simultaneously submit the application electronically to the POI/TCPM and to the VSP manager
• Address comments and recommendations of the ERT
After determining that the applicant’s submittal is satisfactory, the FAA Manager of Voluntary Safety Programs, in collaboration with the POI/TCPM, will approve the application. This approval will permit the applicant to proceed to phase II.
b. Phase II -- Curriculum Development. Curriculum development follows a sequential order of program development and submission: job task analysis, qualification standards, instructional systems development methodology, curriculum outlines, and Implementation and Operations Plan (I&O Plan). After all phase II-required documents have been reviewed by the ERT, the VSP manager and the POI/TCPM will issue a joint letter of approval to the applicant, with permission to begin phase III development.
c. Phase III -- Small Group Tryout. In this phase, the applicant will implement the AQP on a limited scale as defined in the I&O Plan. The applicant should provide the ERT a schedule of phase III activities at least 30 days before starting the events.
(1) Review and Surveillance. ERT activities in this phase will consist of observing, monitoring and participating in the AQP training programs. Particular emphasis will be placed on:
(a) Instructor/evaluator training and observation.
(b) Training scenarios.
(c) Validation.
(d) Line operational evaluation (LOE).
(2) Program Operation. Proficiency data, maintenance plan, quality assurance, data collection, analysis, and reporting will be evaluated for consistency and accuracy.
(3) I&O Plan Review. Once phase III is concluded, the applicant will provide the ERT with an updated I&O Plan. Based on the recommendations of the ERT, the VSP manager and the POI will approve the completion of phase III. Initial approval permits the applicant to execute the updated I&O Plan through one complete cycle of the continuing qualification cycle (usually 24 months). See chapter 2, section 5, paragraph 2-16 for the qualification and indoctrination curriculums (phase IV period).
NOTE: The POI and certificate ho lder must add an AQP entry (A034) into the automated operations specifications (OpSpecs).
d. Phase IV -- Initial Operations. In this phase, the applicant will implement the AQP as defined in the updated I&O Plan through one complete cycle of the curriculum.
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(1) Review and Surveillance. ERT activities in this phase will consist of surveillance of AQP operations and analysis of data collection results. Joint ERT and applicant reviews will be conducted periodically. These meetings will provide both parties the chance to analyze results and discuss program concerns. At the midpoint in phase IV, the first annual report will be submitted to the ERT. A final joint review and annual report will be accomplished prior to phase IV Initial Approval expiration (usually 24 months). Focus areas for these reviews are (see Appendix 3):
(a) Data Management:
1 Collection.
2 Analysis.
3 Standardization.
4 Observations.
5 Additional training.
6 First-look.
7 Program feedback.
(b) Recordkeeping.
(c) Adherence to I&O Plan.
(d) Modifications to the program.
(e) Qualification standards that are reliable and valid.
(f) Maintenance of the AQP.
(g) Currency of the program audit database.
(h) Instructor/evaluator program.
(i) Special tracking.
(j) Transition to AQP (non-AQP fleets)
(2) Once the final joint review has been completed, the applicant will update the I&O Plan to include the changes recommended by the ERT. The successful completion of this phase, and approval of the commensurate revisions to the approved AQP documents and reports, will
Par 4-4 Page 59 qualify an applicant for entry into the final phase of the AQP process: phase V, Continuing Operations. Based on the recommendations of the ERT, the VSP manager and the POI will approve the completion of phase IV. The POI and the carrier will then modify the previously issued OpSpec paragraph A034 to include the phase V approval date.
e. Phase V -- Continuing Operations. In this phase, FAA oversight of the AQP is maintained under an FAA surveillance program. The certificate holder will maintain the AQP through documentation changes, program revisions, data analysis, and will continue to submit monthly data and an annual AQP report.
4-5. METHOD OF GRANTING APPROVAL.
a. Initial (Phase IV) or Provisional (Phase III). The VSP manager and the POI will grant initial phase IV AQP approval by a joint signature letter. For Title 14 of the Code of Federal Regulations (14 CFR) part 142 training centers, the VSP manager and the TCPM will grant provisional phase III AQP approval by a joint signature letter. Copies of the approved curriculum documentation and the approval letter are maintained by the POI at the certificate holding district office (CHDO) and the VSP manager. Copies of a training center’s provisionally approved curriculum material is maintained by the TCPM, the VSP manager, and the participating air carriers’ Flight Standards District Office (FSDO). The approval letter will include at least the following information:
(1) The specific identification of the curriculums for an AQP air carrier or training center curriculum segments, initially or provisionally approved, including a list of effective pages (LOEP) and revision control dates (date of revision for any page).
(2) A statement that initial or provisional approval is granted, and for initial approval, the effective and expiration dates.
(3) Any specific conditions affecting the approval.
(4) A requirement that the applicant provide the FAA with advanced notice of scheduled activities so evaluations may be planned.
b. Final Approval. Based on the results of evaluations accomplished during phase IV, the period of initial approval, the VSP manager and the POI will grant or deny final approval of an AQP. Final approval is accomplished with a joint signature approval letter and by stamped endorsement by the POI of the AQP document’s LOEP. Copies of the approved curriculum documentation and the approval letter are maintained by the POI at the CHDO, the VSP manager, and at the location designated by the participant as its principal training site.
(1) Stamped Approval Endorsement or Acceptable Substitute. For initial and final approval, and revisions thereafter, the original LOEP of all AQP Program Audit Database (PADB) documents are stamp-approved, dated, and signed by the POI. The approval stamp should be a duplicate of the following:
Page 60 Par 4-5
FAA FINAL APPROVAL OFFICE DESIGNATOR:
EFFECTIVE DATE:
NAME:
SIGNATURE:
NOTE: As approved changes are ma de to AQP PADB documents, the “Final Approval” endorsement will be re-accomplished on each LOEP.
(2) Approval Letter. All letters of final approval will be a joint signature letter usually initiated by AFS-230 and signed by the VSP manager and the POI. The letter will specifically identify the subject curriculums, contain a statement that “final approval is granted,” and provide the effective date of approval. The final approval does not expire.
4-6. REVISION CONTROL PROCESS. The development and maintenance of an AQP necessitates revisions to documents. Due to the composition and geographic location of the ERT, it is imperative that a systematic revision process be followed.
a. Revisions. AQP document revisions are submitted to the VSP manager and the POI. In phases II through IV, the revision is reviewed by the ERT and approved using the notification process for the curriculum phase identified in Figure 4-1. The process is identical in phase V, except that review and approval of revisions to the curriculum outline are made directly by the POI. Copies of all revisions in all phases, including the curriculum outline, will be provided to both the VSP manager and the POI. Each revision must indicate which AQP documents are being revised, and must include the following items:
(1) A brief synopsis of each change and what pages/items are affected.
(2) Change bars or acceptable substitute identifying the text/chart that has been changed.
(3) The date of the revision and revision number on each page or graphic.
(4) The LOEP.
NOTE: If an operator chooses to integrate the required AQP documents into an established manual structure, each document’s location must be identified and each revision request must identi fy the AQP document that is being revised and which manual contains the document.
b. Implementation. A revision to an approved portion (initial or final) of the AQP cannot be implemented until the applicant receives FAA approval.
Par 4-7 Page 61 (and 62) SECTION 2. WITHDRAWAL OF APPROVAL
4-7. GENERAL. The FAA may withdraw initial, provisional, or final approval at any time the AQP is not in regulatory compliance, does not provide for safe operations, does not effectively prepare personnel to meet qualification objectives, or when the required data is not being provided or maintained. Before withdrawing approval, the FAA will make reasonable efforts to convince an applicant to correct the deficiencies.
4-8. INITIAL OR PROVISIONAL. The FAA will withdraw initial or provisional approval by letter. The letter will identify the affected curriculums, state the reasons for the withdrawal, and state the effective date of the withdrawal. An applicant who receives a letter of withdrawal may revise or refine the curriculum and resubmit it for initial or provisional approval.
4-9. FINAL APPROVAL. The FAA will withdraw approval by letter. The letter will identify the affected curriculums, state the reasons for the withdrawal, and state the effective date of the withdrawal (except in an emergency, not less than 7 days after receipt of the letter). The letter will advise the certificate holder that withdrawal may be appealed and provide instructions on how to appeal.
4-10. APPEAL WITHDRAWAL OF FINAL APPROVAL. An operator should petition the Director of Flight Standards Service (AFS-1) for reconsideration within 30 days after receiving withdrawal notification. The petition should be in writing and should explain in detail why the operator believes the withdrawal should not occur.
a. Denial of Appeal. The Director may immediately deny the petition after considering all relevant information presented if the Director believes that an emergency exists that directly affects aviation safety. In this case, the Director will inform the operator, by letter, of the decision to deny the appeal due to the existence of an emergency. The letter will state that an emergency exists and describe the deficiencies and the actions necessary to correct them.
b. Stay of Withdrawal. If the Director does not believe that an emergency exists, the Director shall carefully consider both the operator’s petition for appeal and the FAA’s reason for withdrawal of approval. In this case, the operator’s petition, provided it goes out within 30 days, stays withdrawn, and the operator may continue to use the AQP curriculum pending the decision of the Director. The Director may find it necessary to conduct additional evaluations of the operator’s AQP.
c. Director’s Final Decision. In any case, the Director will make a final decision within 60 days of receiving the operator’s petition. The Director may rescind or modify the letter of withdrawal or uphold the withdrawal. If the decision is to modify or uphold the withdrawal, the operator will be notified by letter. The letter will contain the reasons for denying all or part of the petition.