Air Carrier Continuing Analysis and Surveillance System (CASS) Understanding Maintenance Regulations, Plain Language, and the Regulatory Process

Objectives Describe Flight Standard’s role in aviation safety Identify the basis of the FAA’s authority to regulate aviation activities Recall that the FAA’s regulations are written and classified for different levels of safety Describe the basics of the regulatory process

Overview Regulation at different levels of safety Classification of regulations in relation to the level of safety Difference between air transportation regulations and other air commerce regulations Use of Risk Management and Safety Management System Plain language and the regulatory process

What is the primary purpose or function of a government?

Flight Standard’s Role Flight Standards’ basic mission is defined at Title 49, United States Code, Section 44701 Flight Standards regulates to the level of safety appropriate to the type of flight operation All of this is based on the level of risk involved in the flight operation

Title 49, USC, Section 44701 This part of § 44701 also requires certain considerations to be taken into account when writing new regulations. They are: The duty of an air carrier to provide the highest degree of safety in the public interest Differences between air transportation and air commerce Appropriate classification of a regulation based on those differences This is the basis for different levels of safety in the regulations. Let’s move on to the rulemaking considerations that come from § 44701. Promoting Safety—The Administrator of the Federal Aviation Administration shall promote safe flight of civil aircraft in air commerce by prescribing: regulations and minimum standards in the interest of safety for maintenance When prescribing a regulation or standard under subsection (a) or (b) of §44701 or any of §44702–44716 of this title, the Administrator shall consider: the duty of an air carrier to provide service with the highest possible degree of safety in the public interest differences between air transportation and other air commerce classifying a regulation or standard appropriate to the differences between air transportation and other air commerce

Rulemaking Considerations When an air carrier gets its certificate, it becomes a maintenance entity, and is required to use a maintenance program, its own maintenance manual, and Part 121 or 135 performance standards Rulemaking Considerations Regulations or standards are classified according to the differences between air transportation and other air commerce Regulatory process takes into account the level of risk that is acceptable to passengers/cargo and persons on the ground Regulations are a risk management system This is where we write different levels of safety into the regulations

The Regulatory Process There are approximately 13 laws and a couple of Presidential Executive Orders (EOs) the Administrator must comply with when writing regulations. These EOs and laws apply to all federal agencies and all rulemaking. The Paperwork Reduction Act (PRA) seeks to reduce the paperwork burden on the public by reducing duplication and requiring government agencies to justify collection and have Office of Management and Budget (OMB) approval to collect information. PRA rulemaking prohibitions: Requiring a certificate holder to make or keep duplicate sets of records is prohibited. Requiring a certificate holder to fill out a form that is not OMB approved is prohibited. FAPA rulemaking prohibitions: Can’t impose a requirement on anyone without notice and opportunity to comment. The Regulatory Process Federal Administrative Procedures Act Notice and Comment Paperwork Reduction Act Collection of information Record-keeping Presidential Executive Order 12866 Requires plain language and performance-based regulations

Plain Language Plain Language text is: clear and reader-friendly accurate, certain, and precise

Risk Risk means “the degree of probability that hurt, injury, or loss will occur over a specific period of time or number of operational cycles.” FAA Order 8900.1, Volume 3, Chapter 44, Section 1, page 3 Risk has two elements: Severity is the degree of harm that would occur if an unsafe event happens. Likelihood is a qualitative expression of the probability that a specific unsafe event will occur.

Goal of Risk Mitigation If the hurt, injury, or loss is high, the likelihood that it will actually happen must be low. Conversely, if the hurt, injury, or loss is low, the likelihood can be high. Goal of Risk Mitigation When evaluating a safety risk, the relationship between the two elements of risk, severity and likelihood, should be inverse.

We are introducing System Safety here because CASS uses a system-safety-based cycle of four activities. We want to make sure everyone knows what that means. System Safety System safety is a management tool that supports risk management. System safety optimizes safety through the application of engineering and management principles, criteria, and techniques. The goal of system safety is to identify safety risks and eliminate or control them through design considerations and/or effective procedures. FAA System Safety Handbook, Chapter 3

CASS and System Safety CASS is a continuous, system-safety-based, closed-loop cycle of surveillance, data collection, analysis, corrective action, and follow-up.

Understanding Maintenance Regulations Always read the applicability section first Applicability sections sometimes contain exclusions Examples of exclusions are §§ 25.1, 91.401, 119.1, 121.1, 135.1 and 121.361 Be familiar with the definitions sections Read all of the words

Understanding Maintenance Regulations Basics Applicability of Regulations When you actually begin to read the regulations, you need to: Check to see if your part or subpart has an applicability section. Read the applicability section first to see if this is the right section to be reading. Note any exceptions: Headquarters continually receives petitions for exemptions from rules that do not apply to the petitioner through exceptions. You must know the exceptions to apply the rule correctly. For example: § 91.401 excepts Part 121 and Part 135 air carriers from compliance with § 91.411. Keep yourself current with definitions. Section 14 CFR, § 119.3 and § 121.374(b)(4), are examples of definitions sections. Understanding Maintenance Regulations Enabling regulations convey legal power or authority (121.379, 135.437) Prohibitive regulations convey a restraint (119.5(h)) Prescriptive regulations convey specific “how to do it” or “what to have” requirements (121.369) Performance-based regulations describe a functional requirement (objective), but do not outline “how to do it” or “what to have” requirements (121.373, 135.431)

Understanding Maintenance Regulations The meanings of “permitted” and “required” are key and are consistent with the FAPA that we discussed earlier. Unless the regulations prohibit an activity, that activity is permitted. Unless the regulations contain a requirement for an item, activity, etc., it is not required. Understanding Maintenance Regulations 14 CFR, § 1.3: meaning of “includes,” “may,” “shall.” Unless the regulations expressly prohibit an activity, that activity is permitted. Unless the regulations contain a requirement for an item, activity, etc., it is not required. The burden of proof is always on the agency. 14 CFR, §§ 13.223 and 13.224

Classifying Regulations Air Transportation regulations are written to reflect the highest possible degree of safety. 14 CFR, Part 25 14 CFR, Part 119 14 CFR, Part 121 – 14 CFR, Part 135 – 14 CFR, Part 129 – 14 CFR, Part 139

Classifying Regulations Other air commerce regulations do not reflect the highest possible degree of safety. 14 CFR, Part 23 14 CFR, Part 43 14 CFR, Part 65 14 CFR, Part 91 – 14 CFR, Part 133 – 14 CFR, Part 137 – 14 CFR, Part 145 – 14 CFR, Part 147

Primary Regulatory Differences Air transportation regulations require the operator to have full operational control and responsibility Operational control and responsibility extends to the air carrier maintenance program and all maintenance performed Certificate holder’s operational control and responsibility may not be delegated Regulatory compliance by the air carrier ensures the lowest possible risk to the passenger

CFR Structure Title: A broad subject area of regulations Volume refers to the collection of printed documents, and is not used when referencing specific rules in the CFR Chapter: Rules of individual agencies Subchapter Part: Rules on a single program or function Subpart Section: Provisions of program/function rules Paragraphs (up to six levels): Detailed, specific requirements

14 CFR, §1.1, General Definitions “Person” means an individual, firm, partnership, corporation, company, association, joint-stock association, or governmental entity. It includes a trustee, receiver, assignee, or similar representative of any of them.

14 CFR, §1.1, General Definitions “Maintenance” means inspection, overhaul, repair, preservation, and the replacement of parts, but excludes preventive maintenance. “Preventive maintenance” means simple or minor preservation operations and the replacement of small standard parts not involving complex assembly operations.

14 CFR, §43.1, Applicability Except as provided in paragraphs (b) and (d) of this section, this part prescribes rules governing the maintenance, preventive maintenance, rebuilding, and alteration of any aircraft having a U.S. airworthiness certificate and all of its components

14 CFR, §§ 121.1(b)/135.1(a)(2), Applicability This part prescribes rules governing: Each person employed or used by a certificate holder conducting operations under this part, including maintenance, preventive maintenance, and alteration of aircraft.

14 CFR, §119.1, Applicability (a) This part applies to each person operating or intending to operate civil aircraft— (1) As an air carrier or commercial operator, or both, … (c) Persons subject to this part must comply with the other requirements of this chapter, except where those requirements are modified by or where additional requirements are imposed by Part 119, 121, 125, or 135 of this chapter.

Authority ties in with an operator’s ability to decide what maintenance to do, when to do it, how to do it, and if it was done properly. Authority is a system safety attribute that is written into air transport regulations. Authority “Authority” is a permission coupled with autonomous power to accomplish certain acts or order others to act. “Authority” means the power to design or change fundamental policy or procedures without having to seek higher level approval. One person may grant authority to another to act, such as an employer to an employee, a corporation to its officers, or a governmental empowerment to perform certain functions.

14 CFR, §121.379, Authority to perform and approve maintenance This regulation along with § 43.3(f) and 43.7(e) grant authority to the air carrier to perform maintenance and issue an approval for return to service. 14 CFR, §121.379, Authority to perform and approve maintenance (a) A certificate holder may perform, or it may make arrangements with other persons to perform, maintenance, preventive maintenance, and alterations ... (b) A certificate holder may approve any aircraft, airframe, aircraft engine, propeller, or appliance for return to service after maintenance, preventive maintenance, or alterations that are performed under paragraph (a) of this section.

“Responsibility” is an ordinary word that is used in its usual dictionary meaning. It is, therefore, not defined in Part 1. Responsibility “Responsibility” means the obligation to ensure that a task or function is successfully carried out. “Responsibility” includes accountability for that task or function.

14 CFR, §121.363, Responsibility for airworthiness This regulation conveys primary responsibility to the air carrier. 14 CFR, §121.363, Responsibility for airworthiness (a) Each certificate holder is primarily responsible for: (1) The airworthiness of its aircraft… (2) The performance of the maintenance, preventive maintenance, and alteration of its aircraft, including airframes, aircraft engines, propellers, appliances, emergency equipment, and parts thereof, in accordance with its manual and the regulations of this chapter.

14 CFR, §121.363, Responsibility for airworthiness This is the part of the regulations that leads to CASS. If an air carrier has the primary responsibility for the actual performance of maintenance on its airplanes, the air carrier must have some means to decide what maintenance to do, when to do it, how to do it, and if it was done properly. CASS is that means. 14 CFR, §121.363, Responsibility for airworthiness (b) A certificate holder may make arrangements with another person for the performance of any maintenance, preventive maintenance, or alterations. However, this does not relieve the certificate holder of the responsibility specified in paragraph (a) of this section.

14 CFR, §135.413, Responsibility for airworthiness (a) Each certificate holder is primarily responsible for: (1) The airworthiness of its aircraft . . . ; and shall have its aircraft maintained under this chapter. (b) Each certificate holder who maintains its aircraft under §135.411(a)(2) shall: (1) Perform the maintenance …under its manual and this chapter; or (2) Make arrangements with another person for the performance of maintenance, preventive maintenance, or alteration. However, the certificate holder shall ensure that any maintenance, preventive maintenance, or alteration that is performed by another person is performed under the certificate holder's manual and this chapter.

FAA Regulations Promote Safety Every recent air carrier fatal accident has had regulatory noncompliance as the primary or contributing factor in the probable cause A nonfunctional CASS was a contributing factor in all of them

Regulatory Knowledge References E-CFR’S: http://ecfr.gpoaccess.gov/ AGC INTERPRETATIONS: http://www.faa.gov/about/office_org/headquarters_offices/agc/pol_adjudication/agc200/Interpretations/

Practice Exercise 34

Summary Regulation at different levels of safety Classification of regulations in relation to the level of safety Difference between air transportation regulations and other air commerce regulations Use of Risk Management and System Safety Plain language and the regulatory process 35

Objectives Describe Flight Standard’s role in aviation safety Identify the basis of the FAA’s authority to regulate aviation activities Recall that the FAA’s regulations are written and classified for different levels of safety Describe the basics of the regulatory process

QUESTIONS?