Par 7-1 Page 75 CHAPTER 7. TRANSITION TO AQP
SECTION 1. OVERVIEW
7-1. GENERAL. Most Advanced Qualification Programs (AQP) have been built using one of two approaches. Some applicants have elected to continue training with their traditional program while they developed their AQP. Other applicants have requested an optional exemption to traditional training, commonly called a Single Visit Exemption (SVE).
7-2. ENTERING AQP FROM AN ESTABLISHED TRAINING PROGRAM. Applicants entering AQP may begin with a qualification curriculum or a continuing qualification (CQ) curriculum, or both.
a. Qualification Curriculum. Entering AQP with a qualification curriculum may also require the development of an indoctrination curriculum. Having both curriculums in place allows an applicant to train new hires and provide qualification training for its established crewmembers and other operational personnel (if applicable).
b. CQ Curriculum. If an applicant develops a CQ curriculum using a 12-month training interval, a transition plan must be developed to address the modification of pilots-in-command (PIC), seconds-in-command (SIC) and flight engineers (FE) base months. Participants should transition to a training cycle that puts PICs/SICs/FEs in the same training cycle (annually or more frequently) to maximize simulator resources and to provide effective crew pairing. The transition plan might include:
(1) PICs scheduled for a 6-month flight training session may receive a line check during the 3-month eligibility period in lieu of the training. The AQP CQ will occur during their base month (plus or minus 1 month), 6 months later.
(2) PICs scheduled for a recurrent proficiency check during their base month will receive the AQP CQ.
(3) SICs and FEs (if applicable) scheduled for proficiency checks will receive the AQP CQ.
7-3. TRANSITIONING TO AQP USING THE SVE. The FAA grants an exemption in the public interest and with the assurance that a level of safety equivalent to the regulations from which an exemption is sought will be maintained. The exemption that is issued will contain specific conditions and limitations. It is granted for a 2-year period and may be renewed subject to FAA determination of reasonable progress towards AQP implementation. The SVE allows all fleets to transition to a training cycle that puts PICs, SICs, and FEs in the same training cycle (annually or more frequently). The transition period may require 6 months to place all crewmembers into the Single Visit Training Program (SVTP) and 12 months to complete the training cycle. The SVE applies the following conditions to recurrent training:
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a. A certificate holder must maintain an SVTP for crewmembers, instructors, and evaluators.
The certificate holder must submit revisions to its SVTP through its principal operations inspector (POI) to the FAA manager Voluntary Safety Programs (VSP), AFS-230, for approval prior to the execution of privileges under the exemption. Notification of approval for the certificate holder to implement its SVTP will be approved by the POI.
b. A certificate holder must maintain a master AQP transition schedule for FAA approval, and submit quarterly written progress reports thereafter, in a format approved by the Administrator, to the VSP manager with a copy to the POI. The FAA will monitor the progress of the transition toward AQP in accordance with the certificate holder’s approved schedule.
Maintaining reasonable progress toward the certificate holder’s AQP transition is an explicit condition of the exemption.
c. A certificate holder must conduct a pre-training “first-look” evaluation for all pilots that addresses at least a subset of tasks, maneuvers, or procedures included in appendix F to Title 14 of the Code of Federal Regulations (14 CFR) part 121. The certificate holder must collect firstlook data before the repeated execution of any such first-look item in a flight simulator or flight training device (FTD). First-look maneuvers must not be briefed in advance of the first execution of such maneuvers. The certificate holder may elect to obtain first-look evaluation data by measuring the proficiency of first-look items the first time they occur during normally scheduled recurrent training in a flight simulator or FTD, or by scheduling a special first-look evaluation session for first-look items, or a combination thereof. The list of first-look items must be submitted through the certificate holder’s POI to the VSP manager for approval before its use.
The first-look items will be selected for each type of aircraft and will focus on at least one of the following categories:
(1) The execution of maneuvers, tasks, and/or procedures under degraded modes of operation.
(2) The execution of such items under emergency conditions; or
(3) Those maneuvers, tasks, and/or procedures likely to be sensitive to loss of proficiency because of infrequent practice. Unless otherwise authorized by the VSP manager with the concurrence of the POI, first-look items must be maintained therein until this exemption expires. The certificate holder must apply the same measurement methodology and rating criteria to the evaluation of first-look proficiency as that condition specified in paragraph 7-3f below for proficiency evaluations.
d. A certificate holder must ensure all flight crewmembers are trained and evaluated to proficiency at their duty position, except that type-rated first officers may occupy either pilot position for training purposes. This training and evaluation must be conducted during an SVTP that includes at least the following:
• Annual recurrent ground school instruction that includes all 14 CFR part 121-mandated-training requirements and that integrates, where applicable, Crew
Par 7-3 Page 75 Resource Management (CRM) and human factors into recurrent ground school subject lessons.
e. Annual training to proficiency for each flight crewmember in a flight simulator or FTD.
As a minimum, proficiency training must be provided for all tasks, maneuvers, or procedures on which performance is found to be unsatisfactory during the first-look evaluation and must continue until satisfactory performance is observed.
f. Annual recurrent training conducted every 12 months, plus or minus 1 month, in a flight simulator or an FTD approved for its intended use by the POI. This training must be composed of at least two SVTP sessions on 2 separate days, conducted to the maximum extent feasible using a full-crew complement that consists of a captain, first officer, and, where applicable, a second officer. When a full crew is available for training, an SVTP session duration of at least 4 hours per day, including reasonable time for breaks, must be employed, to include line oriented flight training (LOFT), the scenario duration of which must be at least 60 uninterrupted minutes.
Multiple flight segments representative of the certificate holder’s flight operations may be included in the LOFT. When a full-crew complement is not available, the content and duration of the training must be determined in accordance with a crew-pairing decision rule approved by the POI in accordance with the condition spelled out in paragraph 7-3k below, but in no case must the duration of such training be less than 2 hours per day, including a reasonable time for breaks, to include LOFT or Special Purpose Operational Training (SPOT), the scenario duration of which must be at least 60 uninterrupted minutes. Advisory Circular (AC) 120-35, Line Operational Simulations (LOS): Line-Oriented Flight Training, Special Purpose Operational Training, Line Operational Evaluation, as amended, must be used for general guidance with respect to the design and execution of LOFT and SPOT. All LOFT and SPOT scenarios must be approved by the POI for their intended use. SVTP sessions may consist of LOFT, SPOT, line operational evaluation (LOE), support training, and proficiency checks, as well as individual maneuvers or events, as required for training or checking, subject to the conditions specified herein.
g. A certificate holder must ensure all proficiency evaluations consist of maneuvers, tasks, and procedures approved by the Administrator. The certificate holder may elect to propose fixed and variable items to be required on proficiency evaluations, as follows:
(1) Approved fixed items must be included on all proficiency evaluations on a given duty position in a given aircraft for the duration of this exemption, and
(2) Approved variable items may be changed at the discretion of the certificate holder and must be selected based on operational need. Before the execution of this option, the content of fixed and variable items, together with any associated evaluator proficiency assessment rating forms, must be submitted through the POI to the VSP manager, AFS-230, for approval. Any fixed and variable maneuver list proposed by the certificate holder must incorporate specifications of the applicable duty position (e.g., PIC, SIC, or both, and FE) and pilot role (pilot flying, pilot not flying, or both) to be addressed in the proficiency evaluation for each such maneuver.
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h. Proficiency evaluations must be accomplished to the maximum extent feasible in a crew-oriented setting with a PIC and SIC. For all tasks, maneuvers, or procedures to be included on proficiency evaluations, a certificate holder must identify the performance standards to be employed. Where appropriate, current FAA practical flight test advisory materials (FAA-S- 8081-5, Airline Transport Pilot and Aircraft Type Rating Practical Test Standards for Airplane, as revised) and pertinent flight standardization board reports for a given type of aircraft should be used for guidance in developing specifications for performance standards. The specification of performance standards must be submitted through the POI to the VSP manager for approval before implementation of the certificate holder’s proposed SVTP.
i. A line check that consists of at least one flight segment and that incorporates both a technical and CRM debriefing facilitated by a line check airman must be conducted for all PICs not more than 6 months, plus or minus 1 month, following the PIC proficiency check.
j. For first-look evaluations, proficiency evaluations, and line checks, a certificate holder must develop and implement the following:
(1) A proficiency rating scale methodology (e.g., Unsatisfactory = 1; Repeated (Once Only) = 2; Debriefed (No Repeats) = 3; Satisfactory = 4; and Outstanding = 5), and
(2) A reason categorization system for use by evaluators to categorize the principal reason for below satisfactory performance (e.g., system knowledge, procedural knowledge, execution, communication/coordination, situation awareness, flight management/flight guidance system operation, and teamwork). A certificate holder must submit its proposed rating scale methodology and reason categorization system through its POI to the FAA AQP manager for approval before the implementation of its SVTP.
k. Notwithstanding any other condition of this exemption, a certificate holder must ensure that each person serving as a required flight crewmember on more than one airplane type complies with the provisions of part 121, sections 121.433(c)(1)(i) and 121.440(a).
l. Any certificate holder PIC who fails a proficiency check must:
(1) Receive additional training to proficiency,
(2) Demonstrate within-standards performance on a subsequent proficiency check before returning to flight duty,
(3) Satisfactorily complete an additional line check not more than 3 months following an unsatisfactory proficiency check, and
(4) Satisfactorily complete an additional proficiency check not more than 6 months following an unsatisfactory proficiency check.
NOTE: The provisions of this condition must not establish a new anniversary date for training or checking.
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m. A certificate holder must ensure every flight crewmember who fails to complete any training or evaluation satisfactorily under this exemption does not serve as a required flight crewmember until such deficiencies have been corrected and the crewmember has been retrained or satisfactorily reevaluated as appropriate on those items.
n. Training to be accomplished under the exemption must specifically include CRM conducted in a flight simulator. Certificate holders must refer to AC 120-51, Crew Resource Management Training, as revised, for general guidance in the development of CRM training plans and programs.
o. Before implementation, a certificate holder must submit a documented methodology for developing and administering LOS scenarios (LOFT, SPOT, or LOE) through its POI to the FAA AQP manager for approval. That methodology must ensure that identical LOFT/LOE scenarios are not employed in two successive training sessions for a given crew, and pilots are not exposed to identical LOFT/LOE scenarios in 2 successive years.
p. A certificate holder must ensure that first-look, LOS, and proficiency evaluations are accomplished in a flight simulator meeting the requirements of appendix H to part 121 and are approved for its intended use by its POI. Notwithstanding the provisions of this exemption, if a proficiency evaluation required by this exemption is not accomplished in a level B (phase I) or higher flight simulator, then two landings must be accomplished in the appropriate aircraft in accordance with the provisions of part 121, section 121.441(e). This requirement must be accomplished within the eligibility period for the proficiency evaluation involved.
q. Data on pilot performance conducted under the provisions of this exemption must be collected by the certificate holder and reported to the FAA, as specified in paragraph 7-3v below, beginning on implementation of its SVTP, unless otherwise authorized by the Manager, Air Transportation Division, AFS-200. Performance evaluation and data reporting must be accomplished in accordance with the following categories and the provisions of the condition in paragraph 7-3f above:
(1) By aircraft make, to include separate categorization by series and variant if, according to the criteria specified in AC 120-53, Crew Qualification and Pilot Type Rating Requirements for Transport Category Aircraft Operated Under FAR Part 121, as revised, significant operational differences exist.
(2) By crew position (PIC, SIC, and/or FE) and SVTP flight simulator sessions. Each crewmember’s data must be reported as a single identifiable electronic record, with appropriate identifiers to distinguish crew position to permit tracking individual performance, where possible, from first-look evaluation through proficiency training and evaluation. The certificate holder must report additional training sessions beyond normally programmed training for any crewmember. The certificate holder must report the occurrence of seat position substitution by an instructor or other qualified pilot, or crewmembers in training who are occupying other than their normal seat position.
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(3) By individual task, maneuver, or procedure, as applicable.
r. First-Look. Rating scale and reason code data must be obtained on the first occurrence of appendix F to part 121 subset maneuvers in accordance with the provisions of conditions in paragraphs 7-3c and 7-3f above.
s. Proficiency Training. Data must be obtained on the number of maneuver repetitions required during training to proficiency on first-look items on which initial performance is below standard.
t. Proficiency Evaluation. Rating scale data must be obtained for each repetition of a proficiency evaluation maneuver, task, or procedure to include reason codes for each occurrence of performance below standard, in accordance with the provisions of the condition in paragraph 7-3f above. Proficiency must be measured against the specifications for performance standards developed in accordance with the provisions of paragraph 7-3j above. Certificate holder must report unsatisfactory proficiency evaluations.
u. Line Check. Line checks must employ the same evaluation methodology as specified under this exemption for proficiency checks, with the exception that such data will be limited to the PIC tasks, maneuvers, and procedures that occur during the flight segments observed, in accordance with the provisions of the condition in paragraph 7-3e above. The certificate holder must report unsatisfactory line checks.
v. The certificate holder must provide the FAA with de-identified raw data (i.e., individual pilot performance assessment data on which name identification has been removed) on a monthly basis, in accordance with the categorization requirements specified in the condition in paragraph 7-3m above. For this purpose, the certificate holder must convey these data via IBM-compatible diskettes or electronic media. The data format, together with a written description of the electronic record structure (to include database file relationships and data record field definitions), should be forwarded directly to the FAA AQP for approval. The certificate holder must obtain approval for any subsequent changes thereto, not less than 30 days before the implementation of any such changes.
w. In addition to any other reporting requirements specified herein, the certificate holder must submit an annual SVTP report documenting training and checking effectiveness to the certificate holder’s POI using a method and format acceptable to the Administrator. These reports must:
• Document the certificate holder’s own analysis of data acquired under this exemption
• Identify any trends, common problem areas, or potential deficiencies
• Include a description of any corrective steps taken or warranted
During the second year of the exemption, the reports must incorporate comparisons of data between equivalent periods in the preceding year.
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x. SVTP review meetings must be scheduled to occur on an annual basis, unless sooner requested by the FAA or by the certificate holder, to be attended by representatives of the certificate holder, the certificate holder’s POI, and AFS-230 at a location and on a date to be determined by the POI. The purpose will be to review:
(1) Compliance with the terms and conditions of this exemption.
(2) Data collection issues.
(3) Data results including, in particular, the identification of trends, as well as any associated action taken or warranted.
(4) The status of the certificate holder’s progress toward transitioning its aircraft fleets out of this SVE into AQP.
SECTION 2. THE PETITION FOR EXEMPTION
7-4. GENERAL. The petition for exemption to allow transition to AQP is made in accordance with 14 CFR part 11, section 11.25. Figure 7-1 illustrates sequence of events for obtaining and applying the SVE.
FIGURE 7-1.
SINGLE VISIT EXEMPTION PROCESS (SVE)
Submit AQP Application
Develop Petition for SVE Develop Single Visit Training Plan
AQP Application Approved
SVE Issued SVTP Approved
Implement SVTP
Submit Performance/ Proficiency Data Monthly
Analyze Data
Quarterly Progress Reports
Annual SVTP Review
7-5. THE PETITION PROCESS. Any interested person may petition the Administrator to issue, amend, or repeal a rule. Each petitioner must submit, unless good cause is shown, the petition at least 120 days before the proposed effective date of the exemption. Each petition
Page 80 Par 7-5 must be submitted in duplicate to the FAA at the Rules Docket (AGC-10), Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591. Electronic versions may be submitted via the Docket Management System Web site: http://dms.dot.gov/.
NOTE: A generic model of a Single Vi sit petition is available on the AQP Web site or by requesting a copy from the VSP manager. It is recommended that AQP applicants forward a draft copy of their exemption to the VSP manager office for review before submission to the Rules Docket, AGC-10.
7-6. THE PETITION. The petition should include a citation of each rule from which relief is requested, and a brief description of the general nature of the relief requested. In addition to identifying the regulation, the petition must explain in detail the interest of the petitioner in seeking the exemption. It must show why granting the exemption would be in the public interest and how safety will not be compromised. Finally, this information must be summarized in a format that may be published in the Federal Register. For the SVE, the applicable regulations are:
• Section 121.433(c)(1)(iii)
• Section 121.441(a)(1)
• Section 121.441(b)(1), appendix F
• Section 121.440(a) (when petitioning for “random” line check authority)
a. Interest of the Petitioner. The petition must explain the interests of the petitioner in the action requested, the nature and extent of the relief, and a description of each aircraft or person to be covered by the exemption.
b. Public Interest. The petition must present information, views, or arguments to support the action sought and the reasons why the granting of the request would be in the public interest.
c. Safety Considerations. The petitioner should state the reason(s) why the exemption would not adversely affect safety.
d. Safety Equivalency. Explain why the action taken would provide a level of safety equal to that provided by the rule from which the exemption is sought.
7-7. GRANTING OF THE PETITION. Upon being granted the petition through issuance of the exemption and with FAA approval of the SVTP plan, the applicant may transition specific fleets or all fleets of aircraft to the SVTP. The applicant will stipulate which fleets in the SVTP plan. See Figure 7-1 for an overview of this process. The process time expected for standard (generic) petitions is 90 days. Deviations from the standard single visit training petitions are not recommended.
NOTE: Deviations from the standard SVE petition may entail a lengthy process time. Therefore, the petition er may want to consider submitting a separate petition for such deviations.
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7-8. RENEWAL REQUIREMENTS FOR THE SVE.
a. The exemption is issued for an initial 24-month period. The FAA expects that the applicant will be ready to enter phase IV of the AQP between 24 and 30 months. If the applicant knows that any fleet will not be ready to enter phase IV before the exemption expires, they may submit a petition for renewal. The renewal petition should be submitted no later than 180 days prior to exemption expiration. The following statements should be included in petitioner’s renewal request:
• The petitioner should state the exemption number and request an extension for 2 years from the original expiration date.
• If applicable, the petitioner should state that all of the conditions that existed in the original petition are still in effect, and will remain so for the entire period of the extension.
• The petitioner should state that the request is in the public interest because the petitioner’s approved SVTP will continue to maintain an equivalent or better level of safety to the training programs it replaced.
b. The FAA decision towards renewal will be based on a review and analysis of the applicant’s reasonable progression towards completing AQP. Once the applicant has entered phase IV on all its fleets, the exemption will be allowed to expire unless it includes the random line check. In that case it will be necessary to renew every 2 years or petition for the Random Line Check Exemption separately.
SECTION 3. SVTP
7-9. OVERVIEW. The SVE requires that the applicant develop an SVTP that complies with each of the conditions and limitations of the exemption. The SVTP serves as a blueprint of the steps and procedures that an AQP applicant will implement to transition from a traditional training program to a program as authorized in the exemption. The applicant must submit the initial SVTP and any subsequent revisions through its POI to the VSP manager for approval prior to the execution of training under its SVTP or its revisions.
7-10. CONTENTS. The conditions and limitations set forth in the grant of exemption will specify the requirements and provide the details necessary to conduct an SVTP. An example of a generic grant of exemption and SVTP is available on the AQP Web site or by requesting a copy from the VSP manager.
7-11. SVTP PROFICIENCY CHECK. In accordance with the SVE grant, a proficiency check must be conducted at least every 12 months, plus or minus 1 month, for each crewmember in a flight simulator or in an aircraft, approved for its intended use by the POI. The applicant must ensure that all proficiency checks consist of maneuvers, tasks, and procedures approved by the Administrator. In lieu of a traditional proficiency check, as allowed by the grant, the applicant may propose a check ride consisting of fixed and variable maneuvers.
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a. Maneuvers: Fixed and Variable.
(1) Fixed Maneuvers. These are a subset of appendix F flight maneuvers that are identified by the applicant as being critical to evaluating the proficiency of each pilot. Any fixed maneuver items proposed by the applicant will specify applicable duty position (PIC, SIC, or both, and where applicable, FE), and pilot-flying role (pilot-flying (PF) or pilot-not-flying (PM)) to be addressed in proficiency checks for each maneuver. A typical proficiency check should include four to six fixed maneuvers for the PIC and three to four fixed maneuvers for the SIC.
Figure 7-2 contains a sample of fixed maneuvers.
(2) Variable Maneuvers. These are appendix F flight maneuvers or other maneuvers that are identified by the applicant as being fundamental to their operations. A typical proficiency check would include two or more variable maneuvers for each pilot. There are two approaches for determining how variable maneuvers will be used. The first approach is to identify the variable maneuvers that each pilot will be evaluated on during a period (1 year) and gather data on these maneuvers. A second approach is to have a list of variable maneuvers that can be sampled evenly throughout the period. The advantage of the second method, particularly for an applicant with a large number of pilots, is that more maneuvers can be sampled and a more accurate picture of the overall proficiency of the flightcrews can be obtained. Another advantage to sampling variable maneuvers is that it allows company check airman the flexibility to adjust proficiency checks based on company needs. The use of sampled variable maneuvers requires tight control in the scheduling of these events to ensure that each maneuver is sampled evenly and that each pilot is administered the same number of maneuvers. Figure 7-2 contains a sample of variable maneuvers for an operator that uses a sampling methodology.
b. Proficiency Check Administration. Proficiency checks must be accomplished to the maximum extent feasible in a crew-oriented setting with a PIC, SIC, and where applicable, an FE. The applicant must identify the performance standards to be employed on all tasks, maneuvers, and procedures. Where appropriate, current FAA practical flight test advisory materials (FAA-S-8081-5, Airline Transport Pilot and Type Rating Test Standards, as revised), and pertinent flight standardization board reports for a given type aircraft must be used for guidance in developing specifications for performance standards. The specification of performance standards must be submitted, through the POI, to the VSP manager for approval prior to implementation of the applicant’s proposed SVTP.
7-12. APPROVAL OF THE SVTP. Upon acceptance by the FAA, the VSP manager and the POI will issue a joint letter of approval to the applicant. The POI will amend the operation specifications (OpSpecs) to include the SVE and notify the applicant to implement the SVTP.
NOTE: It is the responsibility of the POI to approve all LOFT scenarios.
7-13. REVISIONS. Changes to the program (adding different aircraft) and any revisions to the documents must coincide with the conditions set forth in the exemption and must have an acceptable revision control methodology. Revisions submitted should include:
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a. A brief synopsis of each change and what pages/items are affected.
b. Change bars, or acceptable substitute, identifying the text/chart that has been changed.
c. The date of the revision and revision number on each page or graphic.
d. The List of Effective Pages.
7-14. IMPLEMENTATION OF THE SVTP. On the implementation date, the flight crewmember transition should proceed as follows:
a. PICs scheduled for a 6-month flight training session may receive a line check during the 3-month eligibility period in lieu of the training. The single visit training sessions will occur during their base month (plus or minus 1 month), 6 months later.
b. PICs scheduled for a recurrent proficiency check during their base month will receive the single visit training sessions.
c. SICs and FEs (if applicable) scheduled for proficiency checks will receive the single visit training sessions.
NOTE: The pairing of flight crewmembers into training cycles is one of the required features of the SVTP and may necessitate changing the base month for some individuals.
7-15. DATA SUBMISSION AND REPORTING REQUIREMENTS. The monthly submission of performance/proficiency data, a quarterly progress report towards AQP, and annual SVTP report are conditions of the SVE. The annual SVTP report will:
a. Document training and checking effectiveness through analysis of data acquired.
b. Incorporate comparisons of data between equivalent periods in the preceding year.
c. Identify any trends, common problem areas; or potential deficiencies.
d. Include a description of any corrective steps taken or warranted.
7-16. SVTP REVIEW MEETING. This annual meeting is called by the POI, who specifies the time and location. Attendees include: AFS-230, the applicant, and other FAA personnel responsible for SVTP oversight. Agenda items include:
• Compliance with terms and conditions of the exemption
• Data collection and analysis
• Data results, including the identification of trends, as well as any associated action taken or warranted