The Aviation Regulatory Process

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					The Aviation Regulatory Process

          Chapter 2

 The Federal Regulatory Arena
Purpose and Objectives

   Examine Federal Regulators

   Explore
       Federal agencies that regulate our
       DOT’s regulatory role
       FAA organizational structure
       Role of the private sector
The Federal Regulatory Arena

 Many agencies affect the aviation
 regulatory process:
   International
   Federal Government

   Local Government

   Private and Professional Organizations
Office of the President
   Executive Orders (EO’s)
     From   the Constitution

     Managing   the government

     Address   a multitude of subjects

     Delegating   authority
Executive Orders
 Can   indirectly affect Aviation
   EO12291-Eliminate paperwork
   Designed to simplify Government

   Additional reviews and time

   Created complications

 What   is the Benefit?
     Checks and balances
United States Congress

        the aviation regulatory process
 Affects
 in many ways

     Passes legislation that allows agencies to
      administer law

     Special hearings

     Investigations
United States Congress
 Committee     Hearings

     Commerce, Science & Transportation

     Provides direction to DOT

     Filters down to FAA

     React to public pressure
United States Congress
  Special interest groups


  Have a tremendous impact on:
      Congress & the FAA
      The regulatory process
United States Congress
 The   General Accounting Office

     not directly involved in aviation rulemaking

     investigative arm of Congress

     examines all matters of public fund
  The Department of Transportation

 Request    of President Johnson

 1966    Department of Transportation

 12th   Cabinet level post

 Secretary   of Transportation
The Department of Transportation

 ThePresident and Congress maintain
 control of transportation

 Recommendations    by the S.O.T. must
 meet approval by:
     Congress

     President
 The Department of Transportation

 Department     of Transportation Act

     Oct. 15, 1966

     100,000 employees

     31 Agencies
        Including FAA
    Purpose of the DOT Act:

o   Coordinate Federal Transportation programs
o   Development & improvement of transportation
o   Encourage cooperation between government &
o   Stimulate technological advances
o   Provide general leadership
o   Recommend policies/programs to the Congress
The Department of Transportation

  Under   the Transportation Act

  DOT   Secretary:
      principle advisor to the President

  FAA   Administrator:
    power and authority of the secretary
    ALL functions pertaining to safety
The Department of Transportation

 Vision
     Achieve and maintain transportation
      excellence into the 21st Century

The Department of Transportation
     Fast, safe, efficient, accessible and
      convenient transportation

     National interest-enhance quality of life

     Today and into the future
The Department of Transportation

   Goals
     Safety
     Mobility

     Economic Growth and Trade

     Human and Natural Environment

     National Security
  The Department of Transportation
    Office of the General Counsel

          legal officer and advisor
 Principal

 Coordinate/oversee legal offices of:
   Environment, Civil Rights, General Law
   International Law

   Litigation

   Legislation

   Board of Correction of Military records
      Office of the General Counsel
 Regulation   & Enforcement Office
   develop/recommend policy/procedure
   provides legal counsel

   liaison to OMB

   reviews rulemaking documents

   develops Regulatory Agenda
      Office of the General Counsel

 Enforcement     and Proceedings Office
   Oversight of economic regulation
   Enforce economic requirements

      consumer protection

     Review/support economic licensing
        air carrier fitness determination
     Surface Transportation Board

   Independent body housed within DOT

   Responsible for economic regulation
    of interstate surface transportation
   Office of the Inspector General

 Promote  economy, efficiency, and
 Prevent and detect fraud, waste, and
  abuse in DOT programs and operations
 Conducts financial & performance audits
10 DOT Operating Administrations

   FAA - Federal Aviation Administration
   FHWA – Federal Highway Administration
   FRA – Federal Railway Administration
   NHTSA – National Highway Transportation
             Safety Administration
   FTA – Federal Transit Administration
10 DOT Operating Administrations

   SLSDC - Saint Lawrence Seaway
                   Development Corporation
   MARAD – Maritime Administration
   RSPA – Research and Special Programs
   BTS – Bureau of Transportation Statistics
   FMCSA – Federal Motor Carrier Safety
        DOT Strategic Plan

 Safety

 Mobility and Reduced
 Global Connectivity

 Environmental Stewardship

 Security
     Federal Aviation Administration
            Major Functions
•   Regulate civil aviation to promote safety
•   Develop and encourage civil aeronautics
    including new technology
•   Develop and operate ATC and
    navigation systems for civil and military
•   Work with NASA
•   Noise abatement
•   Regulate commercial space
    Federal Aviation Administration
            Major Activities
   Safety Regulation
   Airspace and Air Traffic Management
   Air Navigation Facilities
   Civil Aviation Abroad
   Commercial Space Transportation
   Research, Engineering and
   Other Programs
          The Federal Aviation
          Administration (FAA)

 Incorporated     into DOT 1967

 Three   Levels
  1. Washington Headquarters
  2. Regional Offices
  3. Local Offices
     Washington Headquarters

   Office of the Administrator
       Assistant Administrators
       Associate Administrators

   Staff Offices
        Regional Offices

   FAA logistics/Accounting

   Management Systems

   Public Affairs

   Communication Controls
           Regional Offices
   Civil Rights

   Human Resource Management

   Planning

   International Offices
          Local Field Offices
Administrative Facility   Operational Facility

Certification             ATC
Inspection                Tower Ops
Surveillance              Aircraft Maintenance
Maintenance               Radar
Advisory                  Nav/Com Facilities
       Office of the Administrator

   Administrator = CEO
   Principle advisor to DOT
     Aviation & Air Transportation

Authority/Power of Secretary
     to exercise all functions/duties
     regarding aviation safety
           Office of the Administrator

   Appointed by President
   Confirmed by the Senate
   Must be US. Citizen/civilian
   Act of Congress for military appointment
   No conflicting financial interests
             Office of the Administrator
   Delegation of authority for
       Examining

       Inspecting

       Testing
          Airmen Certificates
          Aircraft Certificates
Authority to Administer Regulations
   Offices administer regulations
      development
      surveillance

      compliance

      enforcement

   Responsible for the Regulations
     Authority to Conduct Operations
   Operates facilities to fulfill it’s mission
      Air Traffic Control
      Control Towers

      Flight Service Stations

   Accountable to the Regulations
      Headquarters-The First Level
   Assistant Administrators
     Gov.  & Industry Affairs (AGI)
     Office of Chief Counsel (AGC)
     Financial Services (ABA)
     Aviation Policy, Planning & Environment (AEP)
     Environment & Energy (AEE)
     International Aviation (API)
      Headquarters-The First Level
   Assistant Administrators
     CivilRights (ACR)
     Human Resource Management (AHR)

     Public Affairs (APA)

     System Safety (ASY)

     Information Services (AIO)

     Security & Hazardous Materials (ASH)
       Headquarters-The First Level

   Associate Administrators
     For   Air Traffic Services
     For   Research and Acquisition
     For   Regulation and Certification
     For   Airports
     For   Comm. Space Transportation
       Regions-The Second Level

   Geographically organized
    Fig. 2-3, page 30
 Nine Regional Headquarters
 Three Centers
         New England Region

The New England Region is comprised of six states
(Connecticut, Maine, Massachusetts, New Hampshire and
Vermont). The region's administrative headquarters is
located in Boston, Massachusetts.
               Eastern Region

Eastern Region encompasses seven states (Delaware, Maryland,
New Jersey, New York, Pennsylvania, Virginia, West Virginia),
plus the District of Columbia. The regional headquarters is
located in Jamaica Queens, New York. The William J. Hughes
Technical Center is located in Atlantic City, New Jersey.
           Southern Region

The Southern Region covers eight states (Alabama, Florida,
Georgia, Kentucky, North Carolina, and South Carolina). The
Southern Region also includes Puerto Rico and the Virgin
Islands. Atlanta, Georgia where the regional headquarters is
                 Great Lakes Region

The Great Lakes Region consists of eight states (Illinois, Indiana,
Michigan, Minnesota, North Dakota, Ohio and South Dakota). The
regional headquarters for the FAA's Great Lakes Region is located near
Chicago, Illinois. Pictured below, in the lower right corner, is the state of
the art control tower at O'Hare International Airport in Chicago.
               Central Region

The Central Region has four states (Iowa, Kansas,
Missouri, and Nebraska. The regional headquarters is
located in Kansas City, Missouri.
                Southwest Region

The Southwest Region serves five states (Arkansas, Louisiana,
Oklahoma, New Mexico and Texas). The regional headquarters is located
in Ft. Worth, Texas. The region is also home to the Mike Monroney
Aeronautical Center, which is located in Oklahoma City, Oklahoma.
   Northwest Mountain Region

The Northwest Mountain Region covers seven states (Colorado,
Idaho, Montana, Oregon, Utah, Washington, and Wyoming). The
administrative headquarters for the region is located in Seattle,
     Western Pacific Region

The Western Pacific Region has four states (Arizona,
California, Hawaii and Nevada). The regional headquarters
for the Western Region is located in Los Angeles, California.
             Alaska Region

The Alaskan Region comprises the state of Alaska. The
regional headquarters is located in Anchorage.
       Regions-The Second Level

   Regional Headquarters Consist of:
     Regional   Administrator

     Support    Staff

     Program    Divisions
      Regions-The Second Level
   Regions Provide:
     Air   Traffic Services

     Flight   Standards

     Facilities/Equipment     Install./Services

     Airport   Development & Certification
Regions-The Second Level

   Regions Provide:
       Airman Medical Certification

       Civil Aviation Security

       Legal Counsel Services

       Ancillary Support
    The Lead Region Concept

   Personnel with expertise
       concentrated into a region
       to handle its unique requirements

   Washington State
       aka, Boeing
    The Lead Region Concept

   Created the Transport Aircraft

   Offices geographically located

   To best serve the interest of the
    Regions-The Second Level

   Three Centers

       Mike Monroney Aeronautical Center

       William J. Hughes Technical Center

       FAA Center for Management
             Local Offices: Third Level

   Administrative Field Offices
       administers regulations

   Operational Facilities
       conduct operations IAW Regs.

   Most dealings will be with this level
           FAA Local Offices:
     Third Level-Admin Field Office

 Aircraft Certification Office
 Manufacturing Inspection District Office

 Airport Development Office

 Airways Facilities Sector Field Office
            FAA Local Offices:
      Third Level-Admin Field Office

 Airway Fac. Sector Field Office Unit
 Civil Aviation Security Field Office

 Flight Inspection Field Office and Flight
  Inspection Groups
 Flight Standards District Office

 International Area Office
           FAA Local Offices:
    Third Level -Operational Facilities

   Aircraft Maintenance Base

   Airport Traffic Control Tower

   Air Route Traffic Control Center

   Air Traffic Representatives

   Airway Facilities Sector
            FAA Local Offices:
     Third Level-Operational Facilities

   Center Radar Approach Control
   Combined Approach Control/International
   Flight Service Station (presently contracted)
   International Aeronautical Telecom.
    Switching Center
       FAA Local Offices:
Third Level-Operational Facilities
   International Flight Service Station

   National Communication Centers

   Radar ATC Facility

   Radar Approach Control Facility

   Terminal Radar Approach Control
    Interpretation of the Regulations

 May differ from region to region
 May differ from inspector to inspector

 Enforcement procedures may differ

 May affect the outcome of a regulatory
        Working with the Third Level

   Field Offices

   Operators
      organizations   providing transportation
      flight and maintenance

      work directly with closest field office

      that can fulfill requirements
                      Field Offices

 Office Manager
 Operations Section Supervisor
     Air   carrier & GA
   Airworthiness Section Supervisor
     Air   carrier & GA
   Aviation Safety Program Manager
            Field Offices
         Types of Inspectors

 Aviation Safety Inspector
 Aviation Safety Program Manager

 Airworthiness Inspector

 Principal Operations Inspector

 Cabin Safety Inspector

 Avionics Inspector
FAA’s International Commitment

   The Office of International Aviation
      This office has the responsibility for the nations
      efforts in advancing the US role of leadership in
      international aviation.

      It also is charged with the regulatory
      harmonization of safety, of ATC, etc.
Department of Homeland Security
Created a Cabinet level office by the:

  Homeland Security Act of 2002
               and the
  National Security Act of 1947

Department of Homeland Security

   1st Priority is to defend the nation
    against terrorist attacks.
Department of Homeland Security
   Five Divisions of DHS

       Border and Transportation Security
       Emergency Preparedness and Response
       Science and Technology
       Information Analysis and Infrastructure
       Management
    Department of Homeland Security
   Associated Agencies
        United States Coast Guard
        United States Secret Service
        Bureau of Citizenship and Immigration
        Office of State and Local Gov’t.
        Office of Private Sector Liaison
        Office of Inspector General
          Transportation Security

   Created by the:
Aviation and Transportation Security
 Act of 2001
    modified by the
Homeland Security Act of 2002

          Transportation Security
   Major Functions
       Civil aviation security
       Day-to-day- security screening
       Hiring and retention standards of
        security personnel
       Hiring and training of security
Additional Federal Organizations

   The General Accounting Office
       The GAO is the investigative arm of the
        Federal Government.
       Charged with assessing performance
        and accountability of the various
        federal agencies
Additional Federal Organizations
   The Office of Management and
       The OMB assists the President in
        preparing the budget
       The OMB supervises it’s administration
        to the various executive brach agencies
Additional Federal Organizations

 Department of Energy
 Federal Communications Commission

 National Oceanic Atmospheric
 Environmental Protection Agency
    Additional Federal Organizations

 Department of the Treasury
 Department of Agriculture

 Office of Management and Budget

 Occupational Safety and Health
                    The Private Sector

   FAR part 21 subpart J
     DelegationOption Authorization
     Manufacturers

   FAR part 183
     Representatives   of the Administrator
     Individuals
                  The Private Sector

   Manufacturers represent FAA

   Ensure FAA requirements are met
       for aircraft, products, and parts

   Designated Manufacturing Company
    Representative (DMCR)
                  The Private Sector

   Advantages
     less   expensive/expedites production

   Disadvantages
     conflictof interest/lack of objectivity
     Gov. has no influence on design

     proprietary concerns/product liability
                 The Private Sector

   DMCR issues:
     Original Airworthiness Certs.
     Export Certs. & Approval Tags

     Experimental Certs.

     Special Flight Permits

     Inspect prototypes
                The Private Sector
   Only products of manufacturers for:
     Type   Certification

     Changes    in Type Design

     Amendments      to Production Cert.

     Issuance   of Experimental Certificates
               The Private Sector

   Only products of manufacturers for:
     Airworthiness Certificates
     Airworthiness Approval Tags

   Authorized to conduct it’s own
          Private Sector
Representatives of the Administrator

   Examine, Inspect, Test
     persons   and aircraft
 Purpose: issue certificates
 To assist FAA requirements
     development/surveillance/compliance

   FAA retains enforcement role
               Private Sector
           Special Interest Groups

   Not a part of the Federal Gov.

   Important role in the regulatory process

   Many maintain full time staffs

   Petition the FAA and Congress
    FAA and Organizational Issues
   Corporate mind set

   Resistance to change

   Overlapping authority

   Continuously changing leadership
          Laws Affecting the
          Regulatory Process
   Understanding affected laws makes for
    better comments

   Many comments lack substance

   Many are based upon emotion

   Logical, reasonable comments are best
        The Federal Register Act

   Requires publication of:
      Presidential proclamations/EO’s

      documents   of general applicablility/legal effect

      Congressional   Acts

      documents   authorized by regulations
Administrative Procedure Act (1946)

   Grants public the right to participate

   Effective date not less than 30 days

   Publication of agency statements of
    organizational & procedural rules
    Federal Advisory Committee Act

   A means to establish:
     committees,  boards, commissions that provide
      expert advice, ideas

   Duration of no more than 2 years

   Only when essential

   Kept to a minimum (formed only when
    Freedom of Information Act (1966)

   Any person has the right to access all
    federal agency information

   Upon written request federal agencies
    must disclose records

   Except for records protected by nine

   And three exclusions
              Privacy Act (1974)
   Established controls over executive branch
    agencies to gather, maintain, and
    disseminate personal information

   Access to government records on
    individuals by those individuals
            Privacy Act (1974)

   Guarantees three rights
     Access    to records about oneself

     Correct   records that are in error

     Sue  the government for violations of the
    Government in the Sunshine Act

   Public access to federal agency meetings

   Requires notice at least one week prior

   There are a number of exceptions
     Negotiated Rulemaking Act (1990)

   Established a framework to conduct
    negotiated rulemaking

   Enhanced informal rulemaking process

   Provides authority to establish negotiating
    rulemaking committees
Small Business Regulatory Fairness
      Enforcement Act (1996)

   Make agencies responsive

   Encourage participation

   Simplify the language of regulations

   Create a cooperative environment
     Regulatory Flexibility Act (1980)

   Requires an agency to consider the impact
    of proposed regulations on small entities
    such as small business, not-for-profits and
    local government.
           Paperwork Reduction Act
   Minimize the paperwork burden for:
                small businesses, State/local
     individuals,

   Minimize government costs for:
                maintaining, using and
     collecting,
      disseminating information
           Paperwork Reduction Act
   Maximize usefulness of information:
     collected,   maintained and disseminate

   Ensure consistency with laws regarding
     including    the Privacy Act
Researching U.S. Code

   See the Webliography
        The FAA Strategic Plan
   The FAA’s vision of the future and how it
    intends to meet it’s goals

   Currently known as:
            Flight Plan 2009-2013
Flight Plan 2009-2013

   It’s mission goals are:
       Increased Safety
       Greater Capacity
       International Leadership
       Organizational Leadership
    Present and Future Challenges

 Safe/efficient regulatory system
 Meet new demands/technology

 Fundamental to economic stability

 Become customer-centered

 Provide cost-accountability

 Focus on quality

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