[Title 32 CFR 861.3]
[Code of Federal Regulations (annual edition) - July 1, 1997 Edition]
[Title 32 - NATIONAL DEFENSE]
[Subtitle A - Department of Defense (Continued)]
[Chapter VII - DEPARTMENT OF THE AIR FORCE]
[Subchapter F - AIRCRAFT]
[Part 861 - DEPARTMENT OF DEFENSE COMMERCIAL AIR CARRIER QUALITY AND SAFETY REVIEW PROGRAM]
[Sec. 861.3 - DOD commercial air carrier quality and safety requirements.]
[From the U.S. Government Publishing Office]




  32
  NATIONAL DEFENSE
  6
  1997-07-01
  false
  1997-07-01
  
  
  
  
    NATIONAL DEFENSE
    Department of Defense (Continued)
    DEPARTMENT OF THE AIR FORCE
    AIRCRAFT
    DEPARTMENT OF DEFENSE COMMERCIAL AIR CARRIER QUALITY AND SAFETY REVIEW PROGRAM
  


Sec. 861.3  DOD commercial air carrier quality and safety requirements.

    (a) DOD, as a customer of airlift services, expects an air carrier 
or operator soliciting for or doing business with the DOD to engage in 
quality programs and business practices that not only ensure good 
service but enhance the safety, operational, and maintenance standards 
established by the applicable Civil Aviation Agency Regulations (CARs). 
Accordingly, and as required by U.S. Public Law 99-661, the DOD has 
established a set of air carrier quality and safety requirements that 
reflect the type programs and practices the DOD seeks from air carriers 
or operators airlifting DOD resources.
    (b) A DOD survey team will use the following requirements, the 
specifics of the applicable DOD contract or agreement, the CARs, and the 
experienced judgment of DOD personnel to evaluate an air carrier's 
capability to perform for the DOD. The survey will also include, with 
the carrier's coordination, observation of cockpit crew performance, as 
well as ramp inspections of selected company aircraft. A satisfactory 
on-site survey (audit) conducted by DOD personnel is prerequisite to 
participation in the DOD air transportation program. Surveys are 
conducted prior to an air carrier's acceptance into the program; 
thereafter, surveys will be completed on a biennial basis and when 
otherwise required to validate adherence to DOD quality and safety 
requirements. DOD personnel will also assess these quality and safety 
requirements when conducting periodic commercial air carrier table-top 
performance evaluations.
    (c) The size of an air carrier, along with the type and scope of 
operations, will be considered during the on-site survey. For example, 
while an air taxi/FAA part 135 air carrier may not have a formal flight 
control function, such as a 24-hour dispatch organization, that same air 
taxi is expected to demonstrate some kind of effective flight following 
capability. On the other hand, a major carrier/FAA part 121 air carrier 
is expected to have a formal flight control or dispatch function. Both, 
however, will be evaluated based on the effectiveness and quality of 
whatever flight following function they do maintain.
    (d) The air carrier requirements stated in this part provide the 
criteria against which would-be DOD air carrier contractors may be 
subjectively evaluated by the DOD. These requirements are neither all-
inclusive nor are they inflexible in nature. They are not replacements 
for the certification criteria and other regulations established by 
civil aviation agencies; rather, these requirements are customer-
developed and describe enhanced air carrier activities sought by the 
DOD.

    Note: The term ``Civil Aviation Agency (CAA)'' is used throughout 
this part since these requirements are applicable to U.S. and 
international air carriers doing business with DOD. CAA includes the 
United States Federal Aviation Administration.

    (1) Quality and Safety Requirements--prior experience. Commercial 
air carriers or operators applying to conduct passenger or cargo 
business for the United States Department of Defense are required to 
possess 12 months of continuous service equivalent to the service sought 
by DoD. The service must have been performed for the 12 continuous 
months immediately prior to applying for DoD business. Prior experience 
must be equivalent in difficulty and complexity in regard to distance, 
weather systems, international or national procedures, similar aircraft, 
schedule demands, aircrew experience, and management required.
    (2) Quality and safety requirements--air carrier management. 
Management has clearly defined safety as the number one company 
priority, and safety is never sacrificed to satisfy passenger concern, 
convenience, or cost. Policies, procedures, and goals that enhance the 
CAA's minimum operations and maintenance standards have been established 
and implemented. A cooperative response to CAA inspections, critiques, 
or comments is demonstrated. Proper support infrastructure, including 
facilities, equipment, parts, and qualified personnel, is provided at 
the certificate holder's primary facility and en route

[[Page 153]]

stations. Personnel with aviation credentials and experience fill key 
management positions. An internal quality audit program or other method 
capable of identifying in-house deficiencies and measuring the company's 
compliance with their stated policies and standards has been 
implemented. Audit results are analyzed in order to determine the cause, 
not just the symptom, of any deficiency. The result of sound fiscal 
policy is evident throughout the company.
    (3) Quality and safety requirements--operations--(i) Flight safety. 
Establish policies that promote flight safety. These policies are 
infused among all aircrew and operational personnel who translate the 
policies into practice. New or revised safety-related data are promptly 
disseminated to affected personnel who understand that deviation from 
any established safety policy is unacceptable. An audit system that 
detects unsafe practices is in place and a feedback structure informs 
management of safety policy results including possible safety problems. 
Management ensures that corrective actions resolve every unsafe 
condition.
    (ii) Flight operations. Established flight operations policies and 
procedures are up-to-date, reflect the current scope of operations, and 
are clearly defined to aviation department employees. These adhered-to 
procedures are further supported by a flow of current, management-
generated safety and operational communications. Managers are in touch 
with mission requirements, supervise crew selection, and ensure the risk 
associated with all flight operations is reduced to the lowest 
acceptable level. Flight crews are free from undue management pressure 
and are comfortable with exercising their professional judgment during 
flight activities, even if such actions do not support the flight 
schedule. Effective lines of communication permit feedback from line 
crews to operations managers. Personnel records are maintained and 
reflect such data as experience, qualifications, and medical status.
    (iii) Flight crew hiring. Established procedures ensure that 
applicants are carefully screened, including a review of the 
individual's health and suitability to perform flight crew duties. 
Consideration is given to the applicant's total aviation background, 
appropriate experience, and the individual's potential to perform 
safely. Freedom from alcohol abuse and illegal drugs is required. If 
new-hire cockpit crewmembers do not meet industry standards for 
experience and qualification, then increased training and management 
attention to properly qualify these personnel are required.
    (iv) Aircrew training. Training, including recurrent training, that 
develops and refines skills designed to eliminate mishaps and improve 
safety is essential to a quality operation. Crew coordination training 
that facilitates full cockpit crews training and interacting together 
using standardized procedures and including the principles of Cockpit 
Resource Management (CRM) is required. Programs involving the use of 
simulators or other devices that can provide realistic training 
scenarios are desired. Captain and first officer training objectives 
cultivate similar levels of proficiency. Appropriate emergency 
procedures training (e.g., evacuation procedures) is provided to flight 
deck and flight attendant personnel as a total crew whenever possible; 
such training focuses on cockpit and cabin crews functioning as a 
coordinated team during emergencies. Crew training--be it pilot, 
engineer, or flight attendant--is appropriate to the level of risk and 
circumstances anticipated for the trainee. Training programs have the 
flexibility to incorporate and resolve recurring problem areas 
associated with day-to-day flight operations. Trainers are highly 
skilled in both subject matter and training techniques. Training 
received is documented, and that documentation is maintained in a 
current status.
    (v) Captain upgrade training. A selection and training process that 
considers proven experience, decision making, cockpit resource 
management, and response to unusual situations, including stress and 
pressure, is required. Also important is emphasis on captain 
responsibility and authority.

[[Page 154]]

    (vi) Aircrew scheduling. A closely monitored system that evaluates 
operational risks, experience levels of crewmembers, and ensures the 
proper pairing of aircrews on all flights is required. New captains are 
scheduled with highly experienced first officers, and new or low-time 
first officers are scheduled with experienced captains. Except for 
aircraft new to the company, captains and first officers assigned to DOD 
charter passenger missions possess at least 250 hours combined 
experience in the type aircraft being operated. The scheduling system 
involves an established flight duty time program for aircrews, including 
flight attendants, carefully managed so as to ensure proper crew rest 
and considers quality-of-life factors. Attention is given to the stress 
on aircrews during strikes, mergers, or periods of labor-management 
difficulties.
    (vii) In-flight performance. Aircrews, including flight attendants, 
are fit for flight duties and trained to handle normal, abnormal, and 
emergency situations. They demonstrate crew discipline and a knowledge 
of aviation rules; use company-developed standardized procedures; adhere 
to checklists; and emphasize safety, including security considerations, 
throughout all preflight, in-flight, and postflight operations. 
Qualified company personnel evaluate aircrews and analyze results; known 
performance deficiencies are eliminated. Evaluations ensure aircrews 
demonstrate aircraft proficiency in accordance with company established 
standards. Flight crews are able to determine an aircraft's maintenance 
condition prior to flight and use standardized methods to accurately 
report aircraft deficiencies to the maintenance activity.
    (viii) Operational control/support. Effective mission control 
includes communications with aircrews and the capability to respond to 
irregularities or difficulties. Clear written procedures for mission 
preparation and flight following aircraft and aircrews are provided. 
There is access to weather, flight planning, and aircraft maintenance 
data. There are personnel available who are knowledgeable in aircraft 
performance and mission requirements and that can correctly respond to 
emergency situations. There is close interface between operations and 
maintenance, ensuring a mutual awareness of aircraft operational and 
maintenance status. Procedures to notify DOD in case of an accident or 
serious incident have been established. Flight crews involved in such 
accidents or incidents report the situation to company personnel who, in 
turn, have procedures to evaluate the flight crew's capability to 
continue the mission. Aircraft involved in accidents or incidents are 
inspected in accordance with Civil Aviation Regulations and a 
determination made as to whether or not the aircraft is safe from 
continued operations.
    (ix) DOD charter procedures. Detailed procedures addressing military 
charter requirements are expected. The level of risk associated with DOD 
charter missions does not exceed the risk inherent in the carrier's non-
DOD daily flight operations. Complete route planning and airport 
analyses are accomplished, and actual passenger and cargo weights are 
used in computing aircraft weight and balance.
    (4) Quality and safety requirements--maintenance. Maintenance 
supervisors ensure all personnel understand that in spite of scheduling 
pressure, peer pressure, supervisory pressure, or other factors, the 
airplane must be airworthy prior to flight. Passenger and employee 
safety is a paramount management concern. Quality, completeness, and 
integrity of work are trademarks of the maintenance manager and 
maintenance department. Nonconformance to established maintenance 
practices is not tolerated. Management ensures that contracted 
maintenance, including repair and overhaul facilities, is performed by 
maintenance organizations acceptable to the CAA.
    (i) Maintenance personnel. Air carriers are expected to hire and 
train the number of employees required to safely maintain the company 
aircraft and support the scope of the maintenance operation both at home 
station (the company's primary facility) and at en route locations. 
These personnel ensure that all maintenance tasks, including required 
inspections and airworthiness

[[Page 155]]

directives, are performed; that maintenance actions are properly 
documented; and that the discrepancies identified between inspections 
are corrected. Mechanics are fit for duty, properly certificated, the 
company verifies certification, and these personnel possess the 
knowledge and the necessary aircraft-specific experience to accomplish 
the maintenance tasks. Noncertified and inexperienced personnel receive 
proper supervision. Freedom from alcohol abuse and illegal drugs is 
required.
    (ii) Quality assurance (continuing analysis and surveillance 
program). A system that continuously analyzes the performance and 
effectiveness of maintenance activities and maintenance inspection 
programs is required. This system evaluates such functions as 
reliability reports, audits, component tear-down reports, inspection 
procedures and results, tool calibration program, real-time aircraft 
maintenance actions, warranty programs, and other maintenance functions. 
The extent of this program is directly related to the air carrier's size 
and scope of operation. The cause of any recurring discrepancy or 
negative trend is researched and eliminated. Action is taken to prevent 
recurrence to these discrepancies and preventive actions are monitored 
to ensure effectiveness. The results of preventive actions are provided 
to appropriate maintenance technicians.
    (iii) Maintenance inspection activity. A process to ensure required 
aircraft inspections are completed and the results properly documented 
is required. Also required is a system to evaluate contract vendors, 
suppliers, and their products. Inspection personnel are identified, 
trained (initial and recurrent), and provided guidance regarding 
inspector responsibility and authority. The inspection activity is 
normally a separate entity within the maintenance department.
    (iv) Maintenance training. Training is conducted commensurate with 
the size and type of maintenance function being performed. Continuing 
education and progressive experience are provided for all maintenance 
personnel. Orientation, familiarization, on-the-job, and appropriate 
recurrent training for all full- and part-time personnel is expected. 
The use of such training aids as mockups, simulators, and computer-based 
training enhances maintenance training efforts and is desired. Training 
documentation is required; it is current, complete, well-maintained, and 
correctly identifies any special authorizations such as inspection and 
airworthiness release. Trainers are fully qualified in the subject 
matter.
    (v) Maintenance control. A method to control maintenance activities 
and track aircraft status is required. Qualified personnel monitor 
maintenance preplanning, ensure completion of maintenance actions, and 
track deferred discrepancies. Deferred maintenance actions are 
identified to supervisory personnel and corrected in accordance with the 
criteria provided by the manufacturer or regulatory agency. Constant and 
effective communications between maintenance and flight operations 
ensure an exchange of critical information.
    (vi) Aircraft maintenance program. Aircraft are properly certified 
and maintained in a manner that ensures they are airworthy and safe. The 
program includes the use of manufacturer's and CAA information, as well 
as company policies and procedures. Airworthiness directives are 
complied with in the prescribed time frame, and service bulletins are 
evaluated for applicable action. Approved reliability programs are 
proactive, providing management with visibility on the effectiveness of 
the maintenance program; attention is given to initial component and 
older aircraft inspection intervals and to deferred maintenance actions. 
Special tools and equipment are calibrated.
    (vii) Maintenance records. Maintenance actions are well documented 
and provide a complete record of maintenance accomplished and, for 
repetitive actions, maintenance required. Such records as aircraft log 
books and maintenance documentation are legibly prepared, dated, clean, 
readily identifiable, and maintained in an orderly fashion. Inspection 
compliance, airworthiness release, and maintenance release records, 
etc., are complete and signed by approved personnel.
    (viii) Aircraft appearance (in-service aircraft). Aircraft 
exteriors, including

[[Page 156]]

all visible surfaces and components, are clean and well maintained. 
Interiors are also clean and orderly. Required safety equipment and 
systems are available and operable.
    (ix) Fueling and servicing. Aircraft fuel is free from 
contamination, and company fuel facilities (farms) are inspected and 
results documented. Procedures and instructions pertaining to servicing, 
handling, and storing fuel and oil meet established safety standards. 
Procedures for monitoring and verifying vendor servicing practices are 
included in this program.
    (x) Maintenance manuals. Company policy manuals and manufacturer's 
maintenance manuals are current, available, clear, complete, and adhered 
to by maintenance personnel. These manuals provide maintenance personnel 
with standardized procedures for maintaining company aircraft. 
Management policies, lines of authority, and company maintenance 
procedures are documented in company manuals and kept in a current 
status.
    (xi) Maintenance facilities. Well maintained, clean maintenance 
facilities adequate for the level of aircraft repair authorized in the 
company's CAA certificate are expected. Safety equipment is available in 
hangars, shops, etc., and is serviceable. Shipping, receiving, and 
stores areas are likewise clean and orderly. Parts are correctly 
packaged, tagged, segregated, and shelf life properly monitored.
    (5) Quality and safety requirements--security. Company personnel are 
schooled in security responsibilities and practice applicable procedures 
during ground and in-flight operations. Compliance with provisions of 
the appropriate standard security program, established by the CAA, is 
required for all DOD missions.
    (6) Quality and safety requirements--specific equipment 
requirements. Air carriers satisfy DOD equipment and other requirements 
as specified in Air Mobility Command contracts or Military Traffic 
Management Command Military Air Transportation Agreements.

[57 FR 44683, Sept. 29, 1992, as amended at 61 FR 17841, Apr. 23, 1996]