Volume 15 FAA Safety TEAM POLICIES AND PROCEDURES
Chapter 4 FAASTeam business
PlanNING Process
Section 2 Creating Federal
Aviation Administration Safety Team Business Plans
15-4-2-1 GENERAL. The Federal Aviation Administration (FAA) Safety
Team (FAASTeam) National Business Plan (NPB) is a tool used to accomplish the
Administrator’s flight plan goals. The NBP is designed to assist the Regional
FAASTeam Manager (RFM) by providing an overview of the pertinent national aviation
safety data. The RFM develops a FAASTeam Regional Business Plan (RBP) that utilizes
and includes the national data and any regional special emphasis items that
are identified by their regional management team. The FAASTeam Program Manger
(FPM) evaluates the RBP and refines the data as applicable to any identified
risks within the local geographic area of responsibility (AOR). The development
and execution of the local geographic program by the FPM and their volunteer
workforce is designed to mitigate those identified risks and record the execution
of the action(s) taken. Continuous auditing by the RFM ensures accomplishment
of these actions or tasks assigned to support the performance targets of the
NBP and RBPs.
A. Purpose. This task provides the timeline and execution steps
to develop and implement the NBP and RBPs.
B. Scope. The FAASTeam organization will use this business planning
process to compile and report analyzed risk data regionally and nationally,
and to provide FPMs and FAASTeam volunteers with an action plan to mitigate
targeted risks.
15-4-2-3 TASK PREREQUISITES AND SIGNIFICANT INTERFACES. The FPM or
the aviation safety technician (AST) must have knowledge of and access to the
FAA Administrator’s flight plan; the NBP and RBP; the other Volume 15 chapters;
and the related Work Instructions (WI), all of which are found on the National
FAASTeam SharePoint Web site.
A. Significant Interfaces.
1) FAASTeam Branch (AFS-850) managers and staff;
2) Regional Flight Standards division (RFSD) and district office management
teams;
3) RFSD branch specialists;
4) RFMs and subordinate supervisors;
5) Natinal Project Leads (NPL) and Regional Project Leads (RPL);
6) FPMs in the same region;
7) National and regional industry partners; and
8) Local FAASTeam volunteers.
B. References and Job Aids. This task requires access to:
1) Title 14 of the Code of Federal Regulations (14 CFR);
2) Program Tracking and Reporting Subsystem (PTRS) Procedures Manual (PPM);
3) FAA Administrator’s flight plan;
4) FAASTeam data analysis tools;
5) National FAASTeam SharePoint Web site;
7) Accident Incident Data System (AIDS);
8) Safety Performance Analysis System (SPAS);
9) Emergency operations network (EON);
10) Air traffic quality assurance (ATQA);
11) Enhanced Flight Standards Automation Subsystems (eFSAS) (PTRS and Enhanced
Vital Information Database (eVID));
12) National Transportation Safety Board (NTSB) Data (www.ntsb.gov);
13) Volume 15, FAA Safety Team Policies and Procedures;
14) FAASTeam Tracking System (FAASTracks); and
15) Analysis and Justification Work Instruction (AFS-008-001-WI), found at
https://avssharepoint.faa.gov/afs/8/qms/FAASTeam%20Processes/Forms/AllItems.aspx.
C. Additional Guidance. Additional guidance for this task can
be found in:
1) Title 49 of the United States Code (U.S.C.) § 40104, Promotion of Civil
Aeronautics and Safety of Air Commerce; and
2) Title 49 U.S.C. § 40113, Administrative.
D. PTRS Activity Code or Air Transportation Oversight System (ATOS)
Database (as applicable). No PTRS or ATOS entries are required by this task.
FAASTeam program tracking and reporting is done using FAASTracks codes in the
FAASTracks Application Tool (FAASTApp). Codes for each task can be found in
project‑specific Analysis and Justification Reports (A&Js), which can be found
in Volume 15, Chapter 4, Section 1. FAASTApp information is found in Volume
15, Chapter 5, FAASTeam Tracking System.
1) Task Activity Code: not applicable.
2) On-the-Job Training (OJT) Instructor PTRS Activity Codes: 1024/3024/5024.
3) OJT Trainee PTRS Activity Codes: 023/3023/5023.
15-4-2-5 RESERVED.
15-4-2-7 BACKGROUND. AFS-850 is responsible for the development
of the NBP. As applicable, the RFMs select and assign an FPM as an NPL to all
mandatory and support national projects. At the end of the preceding fiscal
year (FY) to the business plan, the RFM assigns a FPM as the RPL for all mandatory
national projects. The NPL, with the assistance of the RPLs, is responsible
for creating the A&J for each mandatory and support project as required. The
RFM develops a RBP that includes all of the NBP mandatory and applicable support
projects. Table 15-4-2B in this section illustrates the business planning process
timeline throughout the development of the plan.
15-4-2-9 BUSINESS PLAN DEVELOPMENT PROCEDURES.
A. National Project and NPL Selections. At the last FAASTeam
Management Board (FMB) meeting of each FY, usually in September, the national
projects and NPLs are selected for upcoming FY NBP and A&J development. For
example, at the September 2010 meeting in FY 2010, NPLs are selected to begin
drafting the A&Js for FY 2012. The A&Js for FY 2011 were similarly begun in
September 2009, the business plan shown at the All‑Hands meeting in May 2010,
and subsequently approved.
1) The AFS-850 NFM:
a) Selects national projects that focus FAASTeam resources on targeted aviation
safety risks, which will help meet the goals and objectives of the FAA’s higher-level
plans;
b) Works cooperatively with the RFMs to select NPLs and accountable managers
(normally the NPL’s RFM or Assistant Regional FAASTeam Manager (ARFM)) that
are responsible for the national A&Js for each assigned project;
c) Works cooperatively with the RFMs to select an NBP committee (made up
of three FAASTeam staff managers) to provide standardized assistance and periodic
feedback to the NPLs and technical support staff for the business plan; and
d) Establishes meeting dates and specific task due dates within the timeframes
specified in Volume 15, Chapter 3, Section 2 and ensures that the specific tasks
are entered in a calendar or recorded in a place available to the FAASTeam workforce.
2) The RFMs:
a) Work cooperatively with the NFM to identify NPLs to develop each of the
national A&Js;
b) Select and assign their respective FPMs as NPLs when appropriate;
c) When acting as accountable managers for NPLs, ensure that required NPL
tasks are accomplished in accordance with Volume 15, Chapter 4 and the NBP’s
A&Js;
d) Work cooperatively with the NFM to select an NBP committee (made up of
three FAASTeam staff managers) to provide standardized assistance and periodic
feedback to the NPLs, NFM, and technical support staff during business plan
development;
e) Determine which national projects apply within the region;
f) Select and assign their respective FPMs as RPLs for applicable national
projects; and
g) Ensure that required RPL and FPM tasks for each national project relevant
to the region are accomplished in accordance with Volume 15, Chapter 4 and the
NBP’s A&J as modified by the regional approach rationale.
B. Formality of RBP Reviews. Throughout the first and second
quarters of the FY, RFMs and FPMs should maintain a dialog with RFSD and Flight
Standards District Office (FSDO) management teams to discuss potential areas
and topics for FAASTeam outreach activity in the upcoming year. It is recommended
that a review of the current FY RBP data and discussion of changes or trends
observed in the last year be done formally as part of a required office visit/briefing,
with a followup to collect additional feedback.
C. Creation and Changes to NPLs National Project A&Js. As scheduled
in November, the NPLs will create or update their assigned national project
A&Js in accordance with the Analysis and Justification Work Instruction (AFS-008-001-WI).
1) The creation, update, and/or briefing may be done via a face-to-face
meeting or video conference and is subject to RFM approval of travel for each
NPL.
2) Each NPL will:
a) Prescribe a methodology and intervention plan that the regions will follow
to develop and execute tasks to mitigate the targeted risk;
b) Create or update the national project A&J for each assigned national
project;
c) List in the A&J all national project tasks that are required to be completed
by the NPL, RPLs, FPMs, AFS-850 staff, and/or contractor(s), when they must
be completed, and include clear performance measures;
d) Brief the A&J and project to the NBP committee, receive feedback, and
update the report if needed;
e) Submit the A&Js to the RFMs for review and feedback; and
f) Provide assistance as needed to help the NFM create the NBP.
D. Business Planning Process Timeline. Subparagraphs 15-4-2-7D1)–13)
provide a step-by-step outline of the business planning process timeline.
1) As scheduled in January, the NFM or designee, with support from the NPLs
and NBP committee if needed, presents the preliminary NBP to RFM’s at the FMB
meeting.
2) By the first Friday in February, the NBP committee sends the NFM the
preliminary NBP (to include any changes from the FMB meeting).
3) By the third Tuesday in February, the RFMs will solicit possible regional
performance plan/field office emphasis projects from FPMs and regional management
teams and begin developing the RBPs. RFMs and FPMs are strongly encouraged to
meet with district office management teams to identify any safety concerns identified
as part of their surveillance and inspection activities and work with them to
identify likely causal factors, if the factors are not already identified. In
addition, RPLs should solicit their input on potential ways to mitigate safety
concerns across the region.
4) By the last Friday in March, AFS-850 provides the updated data analysis
tools on SharePoint, noting any significant changes from previous data. The
NPLs then make any needed revisions to A&Js based on changes in the data, program
direction, or available resources.
5) In March and April, FPMs will use the data analysis tools to define local
trends, validate initial project proposals, and identify other issues for inclusion
in RBPs.
6) By the last Friday in April, the NPLs will upload the final A&Js to SharePoint.
The NFM will upload the final NBP to SharePoint. The RPLs will then complete
the regional approach rationale sections of each A&J and review with their RFMs.
7) Before the annual May All-Hands meeting, each RFM will provide a summary
briefing to regional Flight Standards division managers (RFSDM) or management
teams on their regional approach rationales and proposed regional projects,
then individually review the regional approach rationale section of each national
A&J with the NFM.
8) At each annual May All-Hands meeting, the NFM will introduce and explain
the new business plan to the FAASTeam workforce.
9) By the third Friday in July:
a) Each RPL will develop and enter the baseline FAASTracks tasks based on
the regional approach rationale. The RPL will:
1. Determine if the tasks identified in the A&J are sufficient to mitigate
the targeted risk(s) within the region’s geographic boundaries; and
2. Using Section 2 of the A&Js, RPLs will prioritize the projects and
tasks considering the safety risks and available resources, and make recommendation
of the ranking to the RFM.
b) The RFMs will complete final RBPs, get RFSDM concurrence, and send them
to the NFM, including regional performance plan projects and FAASTeam Field
Office projects with baseline tasks and priority rankings.
10) By the first Monday in August, the NFM completes a review of each RBP
with the RFM and approves them individually.
11) By the second Monday in August, each FAASTeam Field Office will audit
the completed FAASTracks to ensure that records have been entered to complete
all performance targets in their region. Evidence of the completed audit will
be sent to the NFM.
12) By the first Friday in September, the NFM will send the NBP to AFS-800
for signature, and upload the signature page with the revision number to SharePoint
when signed.
13) On October 1, execution of the tasks in the new NBP and RBPs begins.
15-4-2-11 PROCEDURE TO CHANGE A&Js AFTER APPROVAL BY AFS-850.
A. Composing the E-mail. The originator of the proposed change
shall compose an e-mail containing:
1) A Subject Line stating “Proposed Change to [Project Name] A&J Report
Language”;
2) The current language in the A&J to be changed; and
3) The proposed new language.
B. Addressing the E-mail. The email shall be addressed
to the NPL for the affected A&J, and a copy of the e-mail will also be sent
to the NPL’s RFM and the NFM.
C. NPL Review. The NPL will review the proposed change and proceed
with one of the following options:
1) Approve the Change.
a) Forward the e-mail to the RFM (with a copy to the originator and the
NFM), including a summary of the changes and statement of approval;
b) Negotiate different wording; or
c) Contact the originator and work together to create new wording, then
provide approval as in subparagraph 15-4-2-9C1).
2) Deny the Change. Reply to the originator in e-mail (also send a copy
of this e-mail to the RFM and NFM), including a statement of why the change
has not been accepted.
D. Decision. The RFM will review the proposed change, add comments
if desired, and forward the e-mail to the NFM with a recommendation to either
approve or deny the change (sending a copy to the originator and NPL). The NFM
will review the e-mail and take one of the following actions:
1) Disapprove the Change. The NFM will reply to the RFM’s e-mail with a
copy to the NPL and originator, including a statement of why the change was
disapproved.
2) Approve the Change.
a) The NFM will reply to the RFM’s e-mail with a copy to the NPL and originator,
including a statement to revise the A&J and upload the change in SharePoint.
b) When the NPL has completed the A&J revision and upload, he or she will
e-mail the NFM (with a copy to the RFM), including a summary of the changes.
c) Once notified, the NFM will:
1. Review and approve the change in Sharepoint;
2. Verify any FAASTracks changes needed with the national
SharePoint manager; and
3. Broadcast the summary of changes to the workforce using
the national FAASTeam e-mail group, including FAASTracks changes to be made
by the national SharePoint manager or field staff.
E. Appealing the NPL’s Decision. The originator of the proposed
change may make one appeal for reconsideration of an unfavorable NPL decision
to the NBP committee by forwarding the above e-mail string to the committee
members, also copying the NPL, RFM, and NFM.
1) The committee will discuss the issue with the originator, the NPL, the
NPL’s RFM, and the NFM before making a decision.
2) If the committee agrees with the originator, the committee’s designated
responder will “reply to all” on the e-mail and direct the NPL to work with
the originator to accomplish the change per subparagraph 15-4-2-9C1).
3) If the committee upholds the NPL’s decision, the committee’s designated
responder will “reply to all” on the e-mail and notify the originator of why
the NPL’s decision was upheld.
4) The committee’s decisions are final.
15-4-2-13 TASK OUTCOMES. The completion of this task results in:
· The successful completion, approval, and uploading of NBP and
RBPs within the specified timeframes each fiscal year;
· The consistent implementation of national FAASTeam interventions
in all applicable Flight Standards Service (AFS) regions, with regional rationales
in each A&J clearly documenting the accommodation of geographic or operational
differences; and
· The construction of an effective educational outreach program
that provides ongoing identification and mitigation of aviation safety risks
throughout the nation.
15-4-2-15 FUTURE ACTIVITIES.
· Revise the NBP as necessary during the FY for changes in resources,
risks, or as directed by AFS-850.
· Revise RBPs for changes to the NBP, or for regional changes in
resources or risks.
· Retain a record of AFS-800-approved NBPs in SharePoint for 5 years.
· Retain a record of approved RBPs for 5 years, per the Regional
Records Matrix.
15-4-2-17 AVIATION SAFETY (AVS) TECHNICAL BUSINESS PROCESS AND PRODUCT MEASURES.
The process and product measures may or may not be used in any section of FAA
Order 8900.1, Flight Standards Information Management System (FSIMS). It is
management’s decision to use process and product measures, which they have to
define. See Table 15-4-2A.
|
MEASURE TYPE
|
PARAGRAPH
REFERENCE
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PROCESS MEASURE
|
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Process Performance
|
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85% of regional milestones completed by due date.
85% of national milestones completed by due date.
100% of milestones completed within 15 days of due date.
|
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Product Conformity
|
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70% of Analysis & Justification Reports (A&J) from National Project
Leads (NPL) accepted on first review by the FAASTeam Management Board
(FMB) with only minor editorial changes.
70% of regional approach rationales accepted on first review by the
National FAASTeam Manager (NFM) with only minor editorial changes.
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Customer Satisfaction
|
|
70% of regional Flight Standards Service (AFS) division managers (including
the AFS‑800 Division Manager) are satisfied that final approved FAASTeam
National Business Plans (NBP) and FAASTeam Regional Business Plans (RBP)
effectively prioritize FAASTeam resources based on identified safety
risks.
|
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Date Due
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Action Items
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As Scheduled in September
|
At the last Federal Aviation Administration (FAA)
Safety Team (FAASTeam) Management Board (FMB) meeting of the current
fiscal year (FY), National FAASTeam Managers (NFM) and Regional FAASTeam
Managers (RFM) select the national projects and National Project Leads
(NPL) for development of the new business plan for the FY beginning
in 13 months.
|
|
Throughout the First and Second Quarter of the Fiscal
Year
|
RFMs and FAASTeam Program Managers (FPM) maintain
a dialog with regional Flight Standards division (RFSD) and the Flight
Standards District Office (FSDO) management teams to discuss potential
areas and topics for FAASTeam outreach activity.
|
|
As Scheduled in November
|
NPLs develop a draft FAASTeam National Business
Plan (NBP) Analysis & Justification Reports (A&J) and brief them to
the NBP committee. The committee and NPLs provide assistance to NFM
to create the draft NBP.
|
|
As Scheduled in January
|
NFM or designee presents the draft NBP to NFMs and
RFMs at the FMB meeting.
|
|
First Friday in February
|
NBP committee sends the NFM the preliminary NBP
(including any changes from the FMB meeting) to the NFM.
|
|
Third Tuesday in February
|
RFMs solicit possible regional performance plan
and field office projects from FPMs, assign projects for further development,
and begin drafting FAASTeam Regional Business Plans (RBP).
|
|
Last Friday in March
|
AFS-850 provides updated data analysis tools on
SharePoint, noting any significant changes from previous data. Changes
in data, program direction, or resources are incorporated by NPLs as
a revision to the plan.
|
|
March and April
|
FPMs use data analysis tools to define local trends,
validate initial project proposals, and identify other issues for inclusion
in RBPs.
|
|
Last Friday in April
|
NPLs upload the final A&Js to SharePoint. The NFM
uploads the final NBP to SharePoint. Regional Project Leads (RPL) then
complete their assigned regional approach rationales and review with
their RFMs.
|
|
Before the May All-Hands Meeting
|
RFMs provide a summary briefing to regional Flight
Standards division managers (RFSDM) or management teams on their regional
approach rationales and proposed regional projects, then individually
review the regional approach rationales section of each A&J with the
NFM.
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|
As Scheduled in May
|
NBP explained to FPMs at the national All-Hands
meeting.
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Third Friday in July
|
RFMs complete final RBPs, get RFSDM concurrence,
and send to the NFM, including regional performance plan projects and
field office projects. RPLs develop and enter baseline FAASafety Team
Tracking System (FAASTracks) tasks based on the regional approach rationale.
|
|
First Monday in August
|
The NFM reviews and individually approves each RBP
with the RFMs.
|
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Second Monday in August
|
FAASTeam Field Offices will audit the completed
FAASTracks to insure records have been entered to complete all performance
targets in their region. Evidence of completed audit sent to NFM.
|
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First Friday in September
|
NFM sends NBP to AFS-800 for signature.
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First Day in October
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Execution of the tasks in the new NBP and RBPs begins.
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Figure 15-4-2A, SWIM Map
