Par 3-1 Page 9 CHAPTER 3. FAA PROVISION OF TECHNICAL ASSISTANCE
3-1. GLOBAL AVIATION SAFETY. The FAA provision of technical assistance to foreign countries and/or persons is viewed as not only beneficial to the aviation community worldwide, but also as a significant way to demonstrate the willingness of the FAA and the U.S. Government to contribute to global aviation safety. As one of the world’s largest and most complex aviation industries, and consequently largest CAA, the FAA is perceived as a leader in aviation.
3-2. TECHNOLOGICAL INNOVATION. Aviation has been a pioneer of many modern day innovations and, as such, has developed faster than other fields of everyday technology. The fast pace of technology has, in many cases, hindered the adoption and application of the same or comparable safety checks and balances by CAAs in some countries.
3-3. TECHNICAL REVIEW. When a CAA asks for FAA assistance in developing its safety oversight capabilities, the FAA will first provide technical assistance in the form of a technical review, which will involve an indepth audit of the current CAA oversight system. FAA experience has shown that a baseline is critical in determining the level of work that must be achieved by the CAA in order to meet minimum ICAO standards. The technical review is conducted through a government-to-government agreement and the FAA costs of conducting the technical review are reimbursed by the CAA. The FAA technical review report will contain any recommendations for improvement in each of the ICAO eight critical elements, which can in turn generate a detailed action plan (discussed below).
NOTE: A technical review may not be needed if an FAA IASA has been recently conducted. Once the CAA receives the FAA technical review report, it can determine if it would like further assistance from the FAA. Further FAA assistance at that point would be FAA-CAA joint development of an action plan, which would detail the actions to be taken and the timelines to achieve.
3-4. ACTION PLANNING. FAA development of an action plan for a CAA based on either an IASA or technical review report is a technical assistance activity and requires a reimbursable government-to-government agreement. The action plan provides a guide as to the actions and timelines that the CAA must implement in order to reach compliance with minimum ICAO safety oversight standards within its projected time period.
a. Guide for Technical Assistance Providers. The action plan also provides a guide from which any future technical assistance provider should draw in order to assist the CAA. After the development of an action plan, the CAA will need to determine if it has the resources and expertise itself to address the items in the action plan or if it will ask for technical assistance from the FAA or some other technical assistance provider.
b. Requests for Assistance. Generally speaking, CAA technical assistance requests for assistance in the implementation of the action plan are considered to be long-term technical assistance requests, as they regularly take several years to complete.
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3-5. FAA DETERMINATION TO UNDERTAKE LONG-TERM TECHNICAL ASSISTANCE. The FAA is limited to the number and scope of projects that it can take on, as the demand for technical assistance frequently would require more qualified inspectorate personnel than the number available.
a. FAA Priorities. Requests for long-term technical assistance must be considered against FAA internal and external priorities, and the State’s political will and resources, as outlined in FAA Order VS 1240.1, AVS International Doctrine.
b. FAA Considerations. Some of the items the FAA will consider as to a State’s political will and resources are as follows:
(1) Has an acceptable civil aviation law been enacted by the State’s legislative body or is one moving through the State’s legislative system? This is an important ingredient, considering the amount of time necessary to enact or change laws in any country. Without the necessary legal foundation in place, the remaining technical assistance actions will experience shortcomings, if not complete failures.
(2) What are the goals and objectives of the assistance? (Action plan and agreement.)
(3) Can the technical assistance be performed with available CAA resources
(i.e., qualified inspector personnel)?
(4) Does the country have the political commitment to comply with the requirements of the eight critical elements and address any shortcomings as discussed in Chapter 2? This is probably the most important ingredient in the equation.
(5) Will the country’s action plan delineate firm milestones for both the CAA and the technical assistance provider?
(6) Do the CAA and the State have the resources (i.e., funds and infrastructure) and authority to comply with the action plan?
3-6. IF THE FAA AGREES TO UNDERTAKE LONG-TERM TECHNICAL ASSISTANCE. If the FAA is able to provide long-term technical assistance, it will enter into a reimbursable government-to-government agreement. The FAA will assign a technical assistance team to the project and the team will make periodic visits to the CAA to advise in the implementation of the action plan.
a. Action Plan Modifications. The action plan will undergo mutually agreed-upon modifications by both the FAA and the CAA as the technical assistance progresses. The action plan is and must always be a live document that serves as a road map to guide both the State and the technical assistance provider as to where they are and where they need to be. As the FAA makes periodic technical assistance visits, it will generate a status report for each visit. Reports generated after technical assistance visits may contain additional recommendations to be considered as part of an action plan. Each new recommendation will be described in detail and categorized as to what part or parts of the eight critical elements it belongs to, and will thus
Par 3-6 Page 11 (and 12) supplement the action plan. Such recommendations will be reviewed by the requesting CAA.
Once coordinated, appropriate changes will be made to the action plan document.
b. Model Recommendations. As discussed in Chapter 2, ICAO Document 9734, Part A, contains the eight critical elements that any effective CAA must have in order to be an effective authority. The ICAO Document 9734, Part A, is used by the FAA as the keystone of the technical assistance project in order to preclude any notion that the FAA is trying to impose its system, rather than one based on an ICAO model, on the CAA requesting technical assistance.
For those countries that have no existing infrastructure, the ICAO MCARs will frequently be recommended for implementation. The CAA must agree during the initial stages of the technical agreement and action planning as to how they wish to model their own aviation regulatory system.
3-7. IF THE FAA CANNOT COMMIT TO PROVIDING LONG-TERM TECHNICAL ASSISTANCE. If the FAA cannot commit to providing long-term technical assistance, the CAA may wish to consider other sources for technical assistance.
a. Other Governmental Sources. Technical assistance is available from other sources for those States seeking to correct any outstanding issues related to safety oversight. ICAO, through its Technical Co-operation Bureau (TCB), offers significant technical services to those countries seeking to become compliant. Other CAAs may provide technical assistance as well.
b. Commercial Service Providers. There are several businesses and individuals that provide technical assistance on a for-profit basis. It is important to note that the FAA does not and will not formally “designate” or “approve” the activities of a commercial particular provider/group. The FAA can provide guidance to CAAs related to the selection of a commercial technical assistance provider. Such guidance is contained in Chapter 4.
Par 4-1 Page 13 CHAPTER 4. SELECTING A COMMERCIAL TECHNICAL ASSISTANCE PROVIDER
4-1. STATEMENT OF WORK (SOW). Before a CAA begins a search for a commercial service provider described in subparagraph 3-7b, it is strongly recommended that it develop an SOW document describing the scope of work and other details required to complete a specific project. In many CAAs, a formal bid process for soliciting outside services, often referred to as a request for proposal (RFP), is required. As the SOW often accompanies an RFP, the SOW introduction and background is necessary for bidding vendors to familiarize their organizations with the project.
a. SOW for Professional Services. While the contents of an SOW might vary depending upon a State’s legal requirements, the following items typically appear in an SOW:
• Introduction and background,
• Project scope with deliverables and dates,
• Period of performance,
• CAA project manager,
• Title (procurement number),
• Physical location,
• Supplies and equipment,
• Payment rate,
• Total contract not to exceed,
• Payment terms,
• Employee-vendor relationship, and/or
• Workers’ citizenship.
NOTE: Additional areas that may be included are transmittal/ delivery/accessibility provisions, security requirements, or other requirements specific to the program. Attachments, if any, should follow the last section.
b. SOW Agreement. The SOW must be agreed upon by all parties involved. In order to be effective, the SOW must contain an appropriate level of detail so all parties clearly understand what work is required, the duration of the work involved, what the deliverables are, and what is acceptable.
4-2. COMMERCIAL TECHNICAL ASSISTANCE PROVIDER APPLICATION.
a. Qualifications/Experience. As a part of the CAA’s procurement process, it is suggested that a technical assistance provider submit a formal letter to the CAA describing the services to be provided and be accompanied by the documents or statements listed below, which are helpful to determine eligibility to provide services:
(1) Names, Titles, and Signed Resumes of the Personnel to Be Used in Technical Assistance, Including All Operations and Airworthiness Employees. Operations personnel should have regulatory experience in flight operations as it relates to the applicable portions of the ICAO Annexes for the assistance work to be conducted. Likewise, airworthiness personnel
Par 4-2 Page 14 should have regulatory experience in maintenance as it relates to the applicable portions of the ICAO Annexes for the assistance work to be conducted. Past history of successful technical assistance projects indicates that resumes for operations and airworthiness personnel should include information that documents:
(a) A Minimum of Seven Years or Equivalent Experience. Operations and airworthiness personnel should have a minimum of seven years documented experience as an aviation safety regulator, or equivalent experience that qualifies them to assist CAAs in the establishment of a system of safety oversight for operations or airworthiness. Technical expertise in each of these areas, as applicable, is necessary to help CAAs design, document, and implement a system of safety oversight that can undergo a successful assessment under the FAA’s IASA program or the ICAO ICVM audit.
(b) Five Years Experience Working With a CAA Technical Assistance Process.
The technical assistance process presents unique challenges that many CAA personnel have never encountered. Individuals have spent their entire careers in aviation regulatory duties and have never been involved in international technical assistance activities. It is rare to find CAA personnel who have had extensive experience in the establishment and sustainment of ICAO-compliant CAAs. Often, the high level of professionalism and specific experience that CAA personnel possess is simply not sufficient to understand all the interrelated and complex oversight systems to adequately design, document, and implement a system of safety oversight compliant with ICAO standards.
(2) A Documented Method to Design, Document, and Audit its Technical Assistance Process for Safety Oversight. This requirement comprises two very important documents developed for the technical assistance package:
(a) First, the consultant must have a written process that will capture and document how the applicant intends to accomplish its technical assistance processes. The content of this submission must show a method to document how the people, facilities, hardware, software, etc.
would be utilized in a technical assistance project. The complexity and interrelationships within a CAA must be understood before process design and documentation begins.
(b) Second, the consultant must have a quality assurance (QA) process to perform audits of the work it performs and determine if such work meets the CAA’s requirements for an ICAO-compliant system of safety oversight.
(3) Signed Statement. A signed statement from the technical assistance consultant applicant that, to the best of its knowledge and belief, the persons serving as management of the organization have not been convicted of or had a civil or administrative finding rendered against them for any of the following:
• Commission of fraud,
• Embezzlement,
• Theft,
• Forgery,
• Bribery,
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• Falsification,
• Destruction of records,
• Making false statements, or
• Receiving stolen property.
(4) References, Past Experience, and Successes. The technical assistance provider the CAA considers selecting should be able to provide a description of their past experiences and success in providing technical assistance to other CAAs, along with references regarding their past performance. One of the general indicators of successful technical assistance could be the provider’s assistance to a CAA that resulted in the CAA’s effective implementation of standards under a previous ICAO USOAP or ICVM audit, or receiving an IASA Category 1 rating after an FAA IASA program assessment.
b. Contractor Knowledge, Skills, and Abilities.
(1) Familiarity With the Technical Assistance Process as to What is Needed to Establish an ICAO-Compliant System of Safety Oversight. A commercial technical assistance provider provides services to a CAA to improve its system of safety oversight. The technical assistance process for CAAs is complex, and the success of the assistance depends on the quality of the information and materials offered by the provider. Consequently, a commercial technical assistance provider should be familiar enough with the technical assistance process to understand what is required to establish an ICAO-compliant system of aviation safety oversight.
(2) Ability to Act in an Objective and Unbiased Manner. Personnel conducting technical assistance must always act in an objective and unbiased manner. Although opinions have merit, they are just opinions, and although of value, they have their time and place.
(a) There will be times when the inspector(s) conducting technical assistance will find themselves in the untenable position of having to defend their actions. This is why it is extremely important that during the implementation of any regulation, procedure, guidance, etc., it be done in keeping with the terms of the agreement and action plan.
(b) Once technical assistance progresses, there will come a time when the CAA will most likely challenge the provider, as in all good academic situations. As such, the provider must be ready to defend what he or she has taught and why it should be that way. The provider should not only teach the methodology but the “why” as well. All persons will evolve their own way of thinking and develop their own techniques and hopefully a more effective way of working.
(c) This in no way means that a new idea about how to do things is unacceptable, unless the CAA inspector knows already due to experience. A good provider encourages new ideas and is willing to experiment with them. New ideas should be given a tryout if feasible, but must stay within the confines of the country’s laws and regulations.
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c. Familiarity with the FAA IASA Program and FAA Technical Assistance Action Planning Process. It is very desirable for the provider to be able to describe:
• Their knowledge of the FAA’s IASA program; and
• Their knowledge of the FAA’s technical assistance action planning process.
d. Knowledge of ICAO, ICAO Annexes, and Documents Related to Safety Oversight.
A commercial technical assistance should be able to:
(1) Describe their knowledge of the ICAO;
(2) Describe their knowledge of the Chicago Convention and the 19 related ICAO Annexes containing standards and recommended practices; and
(3) Describe their knowledge of the associated ICAO guidance documents relating to the safety oversight assistance being provided.
e. Experience in Implementing Technical Assistance Programs Within a CAA. The commercial technical assistance provider should be able to provide you information on their specialized qualifications to conduct the technical assistance in the following general areas:
(1) Describe and explain the size and scope of their organization and facility, including an organization chart or structure;
(2) Describe their organization’s process for designing and documenting an action plan appropriate for the work to be conducted;
(3) Describe how they ensure that all applicable safety oversight requirements for a CAA are met;
(4) Describe the method they use to audit a technical assistance project and how audit results are used to improve the services provided;
(5) Describe their organization’s automation capabilities, including word processing, spreadsheets, database use, and presentation; and
(6) If applicable to work to be conducted, describe their organization’s automation capabilities, including the use of Web-based automation systems compatible with large organizations/governments.
4-3. FAA RELATIONSHIP WITH COMMERCIAL TECHNICAL ASSISTANCE PROVIDERS. Before selecting a commercial technical assistance provider, it is important to understand that the FAA does not and will not formally “designate” or “approve” the activities of a particular provider/group. However, commercial services providers are able to take the same classroom training courses at the FAA Academy (AMA) that are taken by FAA inspectors who provide technical assistance to CAAs. These training courses are:
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• FAA Course 21000039, International Civil Aviation for Inspectors, 24 hours in duration;
• FAA Course 18700, ICAO Endorsed Government Aviation Safety Inspector - Operations, 104 hours in duration;
• FAA Course 18701, ICAO Endorsed Government Aviation Safety Inspector - Airworthiness, 112 hours duration;
• FAA Course 18710, ICAO Endorsed Government Aviation Safety Inspector - Personnel Licensing, 96 hours duration; and
• FAA Course 18718, ICAO Endorsed Government Aviation Safety Inspector - Approved Training Organization Certification, 120 hours duration.
a. Relationship with the FAA. The participation in such training is not intended to be, nor must it be construed as, a designation, partnership, corporation, or other business arrangement with the FAA. Course schedules and tuition rates are available on the FAA Web site. Enrollment information may be obtained from the FAA at email address 9-awa-aia-intl-training@faa.gov.
b. Provider Briefing. After a commercial service provider has been retained by the CAA, at the CAA’s request, the FAA may provide a briefing to the provider regarding the FAA’s focus areas for safety oversight improvement.
NOTE: It should be recognized that the FAA may limit technical assistance provider services in some cases when privileged government-to-government discussions take place. It should also be mentioned that the technical assistance provider the CAA chooses has no bearing on the outcome of an FAA IASA. The IASA is an independent event that creates a snapshot in time as to what existed at the time of the assessment.
Par 5-1 Page 19 (and 20) CHAPTER 5. ADDITIONAL INFORMATION
5-1. WHERE YOU CAN FIND THIS AC. You can find this AC on the FAA’s Web site at http://www.faa.gov/regulations_policies/advisory_circulars.
5-2. ADDITIONAL INFORMATION. Additional information that may be helpful on the FAA IASA process and technical assistance tools is available on the FAA’s Web site at http://www.faa.gov/about/initiatives/IASA.