### ToddC . Emerson , #817 5

44 4 Sout hRiver Road St . George , Utah , 8479 0 Telephone : (435)634-353 0 Facsimile : (435)634-350 5 Email : temerson@skywesl.co m

- an d - 

### Michae l L . Dworki n #6404 7 46 5 Californi aStreet , Suite 21 0 Sa n Francisco , Californi a9410 4 Telephone : (415)421-0250 0 Facsimile : (415)421-256 0 Email : law@avialex.co m Attorney s fo

r SkyWes t Airlines , Inc . 

## 0£C2 2 20 H

.- O 

## V
e n



### UNITE D STATE S O FAMERIC A DEPARTMEN T O FTRANSPORTATIO N OFFIC E O FHEARING S WASHINGTON , D.C . I n th e Matter

of : SkyWes t Airlines , Inc . FA A Case s No . 201INM06001 0 an d0600 1 DM S Nos . FAA-2011-048 5 and048 6 SKYWES T AIRLINES , INC.' S SUPPLEMENTA LAND AMENDE D RESPONSE S T O COMPLAINANT' S INITIA LDISCOVER Y REQUES T Judge : Th e Honorabl e RichardC . Goodwi n SKYWES T AIRLINES , INC . (hereinafter refeiTcdto a s "SKYWEST") , b y an d tliroug hit s undersigne dcounsel , supplement s an damend s it s Response s to Complainant' s Initia l Discover) ' Reques t

an dProductio n o f

Documents , previousl y filedan dserve do n Octobe r 11 ,

### 2011 . INTRODUCTIO N AN D GENERA LOBJECTION S

SKYWES T adopt s an dincorporate s a s if full y set fort hherein , it s objection s and response s mad e i

n SKYWEST' s Respons e to Complainant' s Initia l Discover} ' Reques t reference dabove . SKYWEST' s investigatio n i s ongoin g andcontinuin g andSKYWES T reserve s the right to furthe r supplemen t

o r amen dit s response s andobjection s a s it s investigatio n proceed s u p throug hthe tim e o f

hearing . Accordingly , thes e Supplemental an dAmende dResponse s shoul d b e considere dtentativ e a

i best . Finally , SKYWEST , i

n it s Answe r

an dAffirmativ e Defense s ("Answer" ) date dJul y 15 , 2011 , an di n it s Firs t Amende dAnswe r

andAffirmativ e Defenses , filedconcurrentl y wit hit s initial Discover} ^ Respons e o n Octobe r 11 , 2011 , ha s asserte dnumerou s affirmativ e defense s and reserve s the right

to assert additionall y affirmativ e defense s a s they arise . Notwithstandin g an y respons e o r

admissio n containe dherein , SKYWES T reassert s eac handevery affirmativ e defens e containe di

n it s Answer , whic hSKYWES T incorporate s herei n b y thi s referenc e a s if

full y set fort hherein . INTERROGATORIE S Th e objection s set

fort habov e are hereb y incorporate dherei n i n thei r entiret)' . Notwithstandin g thes e objections , SKYWEST , base do n it s informatio n an dbelief , respond s to th e Interrogatorie s a s follows :

201INM0600I 0 and0600 1 l/DM S Nos . FAAO-2011-048 5 an d048 6 SkyWest' s Supplementa l andAmende dResponse s to Complainant' s Discover y Pag e 2

### Interrogatory No . I : Identif y b y name , addres s andtelephon e numbe r all person s who myo

u kno w to hav e personal knowledg e o f th e matter s allege di

n th e Complaint . Supplemental an dAmende dResponse : I n additio n t

o thos e person s previousl y identifie di n SKYWEST' s previousl y filedand serve dobjection s andresponses :

21 . Andre w Avers, Aviatio n Safet y Inspector , FA

A SkyWes t

CMC ; an d 22 . Chri s Brown , SKYWEST' s then-Directo r o f Flight Operation s (currentl y Directo r Aircraf t Operations) , 44 4 Sout

hRiver Road , St . George , UT 84790 , (435 ) 634-3000 . SKYWEST' s investigatio n anddiscover^ ' are ongoin g andcontinuing , an dSKYWES T reserve s th e righ t

t o amen dand/o r

supplemen t

thes e response s up throug hth e dal e o f hearing . Interrogatory No . 2 : Identif y b y title , dale , author , presen t custodian , andcontent , al l documents , includin g correspondence , obtaine db y yo u o r i n you r possession , relatin g to th e assertion s i n the Complaint , you r

appeal , your answer , andany affirmativ e defense s whic hyou anticipat e raisin g i n thi s matter . Se e Reques t

fo r Productio n No . 1 . Supplemental andAmende dResponse : I n additio n to thos e document s previousl y identifie dand/o r provide di

n SKYWEST' s previousl y filedandserve dobjection s an dresponses : 19 . Letter date dMarc h2 , 2011 , fro mChri s Brown , Directo r o f Flight Operation s to Andre w Ayers, FA

A CMO ;

201INM0600I 0 an d060011/DM S Nos . FAAO-2011-048 5 an d048 6 SkyWest' s Supplementa l andAmende dResponse s to Complainant' s Discovery Pag e 3

### 20 . Letter date dMarc h4 , 2011 , fro mChri s Brown , Directo r o f Flight Operation s to Andre w Ayers , FA

A CMO ; 21 . Letter

date dMa

y 17 , 2011 , fro

mAndre w Ayers, CM O to Chri s Brown ; 22 . Human Factor s Policy , FA A Orde r 9550.8A , Revise dAugus t 10 , 2005 ; and 23 . DeltaAirline s Flight

Operation s Manual , 5.6.10- 1 I , Flight Planning—Weigh t DataRecord . Investigatio n an ddiscover) ' ar e ongoin g an dcontinuing , an dSKYWES T reserve s the right to amen dand/o r

supplemen t

thes e response s u

p throug hth e dat e o f

hearing . Finally , SKYWES T reserve s th e righ t to utiliz e a

t hearin g an

y documen t

no t liste dabov e fo

r purpose s o f impeachment . Interrogatory No . 3 : Identif y b y name , addres s andtelephon e number , al l person s whomyou inten dt o hav e testif

y a s afactua

l or expe n witnes s i

n you r defens e a

t th e hearin g i n thi s matter , andfo

r factua l witnesses , provid e adetaile d summar y o f eac hperson' s anticipate dtestimony . Supplemental andAmende dResponse : Respons e to Interrogatory No . 3 i s amende da s follows : 5 . Jerem y Barclay , SKYWES T Directo r o f Safely Evaluatio n an dSecurity . Mr . Barkle y wil l testify ' a s to SKYWEST' s investigatio n o f the allege ddiscrepancies , hi s conduc t o f system-wid e audit s an dSKYWEST' s correctiv e actions , includin g the expenditur e o f substantial resource s i

n it s goo dfait

heffort s t o preven t

recurren t o f similar incidents . 2011NM06001 0 and060011/DM S Nos . FAAO-20 1 1-048 5 and048 6 SkyWest' s Supplemental an dAmende dResponse s to Complainant' s Discover y Pag e 4

### an

dt o add : 14 . Chri s Brow n will testif y tha t SKYWES T ha

dbee n i n communication s wit

h it s CM O andha

drequeste dth e CM O fo

r a n amendmen t

to it s Approve dWeigh

t an dBalanc e Program , consisten t

wit hFA A Orde r 9550.8 A an

dth e DeltaAirline s Flight Operation s Manual ; SKYWEST' s basi s fo

r requestin g th e amendment ; th e documents , material s andevidenc e upo n whic hSKYWES T relie di n makin g thi s reques t

andth e CMO' s refusa

l t o permi t

thi s amendmen t an dth e ostensibl e reason s therefor . SKYWES T furthe

r reserve s th e right

to call a s it s witnesse s any person s identifie di n Complainant' s EIR's , any person s no w o r hereinafter

identifie db

y Complainan t

a s it s witnesse s andan y person s wh o ma

y b e calle dt

o testif y b y Complainan t

i n thi s matter . Investigatio n an ddiscovery are ongoin g an dcontinuing , andSKYWES T reserve s th e right t o amen dand/o r

supplemen t

thes e response s up throug hthe date o f hearing . Interrogatory No . 4 : Identif y b y title , date , author , presen t custodian , an dcontent , all document s whic hyo u anticipat e offerin g into evidenc e a t the hearin g i

n this matter , andthroug hwhic hwitnes s or witnesses . Se e Reques t

fo r Productio n No . 2 . Supplemental an dAmende dResponse : Respons e to Interrogator) ' No . 4 i s amende dto add : 19 . Letter

date dMarc h2 , 2011 , fro mChri s Brown , Directo r o f Flight Operation s t

o Andre w Ayers , FA

A CMO ;

2011NM06001 0 and060011/DM S Nos . FAAO-2011-048 5 and048 6 SkyWest' s Supplementa l andAmende dResponse s to Complainant' s Discover y Pag e 5

### 20 . Letter date dMarc h4 , 2011 , fro mChri s Brown , Directo r o f Fligh t Operation s t o Andre w Ayers , FA

A CMO ; 21 . Letter

date dMa

y 17 , 2011 , fro

mAndre w Ayers , CM O t o Chri s Brown ; 22 . Human Factor s Policy , FA A Order 9550.8A , Revise dAugus t 10 , 2005 ; an d 23 . Delt aAirline s Flight Operation s Manual , 5.6.10-11 , Flight Planning—Weigh t DataRecord . I n addition , SKYWES T reserve s the right t o utiliz e a

t hearin g an

y documents , records , informatio n or

material s containe di

n Complainant' s EIR , or

an y docutnents , records , informatio n or

material s introduce dint

o evidence , or

sough t t o b e introduce dinto evidence , b y Complainant . Investigatio n an ddiscovery ar e ongoin g an dcontinuing , an dSKYWES T reserve s th e right to amen dand/o r

supplemen t

thes e response s u

p throug hth e dat e o f

hearing . Finally , SKYWES T reserve s th e right t o utiliz e a t hearin g any documen t

no t liste dabov e fo r purpose s o f

impeachment . Interrogator) ' No . 7 : Describ e wit hspecificit

y al l o f th e fact s whic hyou anticipat e presentin g i n th e cours e o f

the hearin g i

n thi s matte r

pertainin g to th e avoidanc e o r mitigatio n o f

th e sanctio n sought

b y the FA A i n thi s case . Supplemental andAmende dResponse : Respons e to Interrogatory No . 7 i s amende dto add : 8 . SKYWES T ha

dreasonabl y requeste da

n amendmen t

to it s Approve dWeight

and

201INM0600I 0 and060011/DM S Nos . FAAO-2011-048 5 an d048 6 SkyWest' s Supplementa l an dAmende dResponse s to Complainant' s Discover) ' Pag e 6

### Balanc e Program , consisten t wit hComplainant' s Human Factor s Policy , a s annunciate di n FA A Orde r 9550.8A , andconsisten t

wit hwhat Complainan t

ha dapprove dfo

r a t leas t on e othe r

ai r carrier , bu t

Complainan t

unreasonably , arbitraril y andcapriciousl y refuse dt o approv e tha

t amendment ; andSKYWEST' s acts , a s complaine do f b y Complainant , ar e mitigable , consisten t wit hComplainant' s Human Factor s Policy ; and 9 . SKYWEST' s effort s i n investigatin g an

dpreventin g recurrenc e o f th e allege d discrepancie s andlik

e incident s hav e bee n conducte di n goo dfail

han da t asubstantia l expenditur e o f

resources . Investigatio n anddiscover) ' are ongoin g an dcontinuing , an dSKYWES T reserve s the right to amen dand/o r

supplemen t

thes e response s u

p throug hthe date o f

hearing . Interrogatory No . 9 : Describ e wit hspecificit

y all fact s or

evidenc e yo u inten dt o rel y upon i n support o f any affirmativ e defense s raise di n an y Answe r to th e Complaint , to includ e identity'in g th e specifi c FA A polic y you clai mi s violate db y th e propose dpenalt y i n thes e cases . Se e Reques t fo r Productio n No . 3 . Supplemental an dAmende dResponse : Pleas e se e SKYWEST' s Response s t o Interrogator) ' N o 7 , whic hSKYWES T adopt s an d incorporate s a

t i s response s to Interrogatory No . 9 , a s if full y se t fort hherein . I

n additio n see FA A A C 120-27 E andFA

A Order s 2150.3 B an

d9550.8A . Investigatio n an ddiscover) ' are ongoin g andcontinuing , andSKYWES T reserve s the

2011NM06001 0 and060011/DM S Nos . FAAO-2011-048 5 an d048 6 SkyWest' s Supplemental andAmende dResponse s to Complainant' s Discover y Pag e 7

### right

to amen dand/o r

supplemen t

thes e response s up throug hth e dat e o f hearing . REQUEST S FO RPRODUCTIO N I n additio n t o thos e document s previousl y describe dan dproduce db y SKYWES T i

n it s Productio n o f

Documents , filedandserve do n Octobe r 11 , 2011 , SKYWES T i s producin g the followin g responsiv e documents : EXHIBI T DESCRIPTIO N G ) Letter date dMarc h2 , 2011 , fro mChri s Brown , Directo r o f Flight Operation s t o Andre w Ayers , FA A CMO ; H ) Lette r

date dMarc h4 , 2011 , fro mChri s Brown , Directo r o f Flight Operation s to Andre w Ayers , FA A CMO ; I) Letter date dMa

y 17.2011 . fro

mAndre w Ayers , CM O to Chri s Brown ; and J ) Human Factor s Policy , FA A Orde r 9550.8A , Revise dAugus t 10 , 2005 . Wit hrespec t t o Delt aAirline s Flight

Operation s Manual , 5.6.10-11 , Flight Planning"—Weigh

t Dat aRecord , sai ddocumen t i s proprietar) ' to Delt aAirlines . SKYWES T wil produc e andutiliz e sai ddocumen t upo n Complainant' s agreemen t to aprotectiv e orde r

to prevent disclosur e o f

sai ddocumen t

to an y thirdparty(ies ) an dth e Administrativ e La w Judge' s issuanc e o f

a n appropriat e orde r

redactin g sai ddocumen t

fro mth e publi c recordi

n thi s matter . Investigatio n an ddiscovery are ongoin g andcontinuing , an dSKYWES T reser\'e s the

201INM06001 0 and060011/DM S Nos . FAAO-2011-048 5 an d048 6 SkyWest' s Supplementa l andAmende dResponse s to Complainant' s Discover y Pag e 8

### right

to amen dand/o r

supplemen t

thes e response s up throug hth e dat e o f hearing . Finally , SKYWES T reserve s th e right t o utiliz e a

t hearin g any documen t

not liste dabov e fo

r purpose s o f impeachment .
Date dth i 

## i s 

## l/0> ' da

y 

## o f December , 2011 .

MICHAEI^iJ>^^ORJCI N Co-Counse l fo r

SkyWes t Airline s

2011NM06001 0 an d060011/DM S Nos . FAA0-20n-048 5 an d048 6 SkyWest' s Supplementa l andAmende dResponse s t o Complainant' s Discover y Pag e 9

### CERTIFICAT E O FSERVIC E

Th e undersigne dhereb y certifie s tha t o n thiSfjj y da

y o f December , 2011 , atru e an d correc t cop y o f th e foregoin g SKYWEST' S SUPPLEMENTA LAND AMENDE D RESPONS E T O COMPLAINANT' S INITIA LDISCOVER Y REQUES T wa s serve da s follows : Th e Honorabl e Richar dC . Goodwi n Offic e o f Hearings . M-2 0 1200 Ne w Jerse y Avenue , S.E . Eas t Buildin g Groun dFloor , Roo mEI2

- 32 0 Washington . D.C . 2059 0

{Federa l Express ) Federa l Aviatio n Administratio n 80 0 Independenc e Avenu e S W Washington , D C 2059 1 Ann : Hearin g Docke t

Clerk , AGC-43 0 Wilbur Wrigh t Buildin g ~ Suite 2W100 0 {Federa l Express } Jeffrey M . Harper

Federal Aviatio n Administratio n Northwes t

Mountai n Region , ANM- 7 160 1 LindAvenueS.W . Renton , Washingto n 9805 7 FA X (425 ) 227-100 7

{Facsimil e an dFedera l Express }

OKSAN A ZHAR2J4AVSKY

2011NM0600I O and060011/DM S Nos . FAAO-2011-048 5 an d048 6 SkyWest' s Supplemental andAmende dResponse s t o Complainant' s Discovery Pag e 1 0

### EXHIBI T 1 9 Lette r date dMarc h2 , 2011 , fro mChri s Brown , Directo r o f Fligh t Operation s t o Andre w Ayers , FA A CM O

# SkMks t

Marc h 2 , 201 1 Andre wAyer s Aviatio n Safet yInspecto r- Ai rCarrie rOperation s Federa l Aviatio n Administratio n SkyWes t Certificat e Managemen t Offic e 102 0 Nort h Flye rWa y Sal t t^tc e aty , U r8411 6 RE : Amendmen t t o SkyWes t Weigh t an d Balanc e Progra m Dea rMr . Ayers : Thi s lette ri s a reques t fo rconsideratio n o f th e enclose d amendmen t t o th e SkyWes t Airline s Approve d Weigh t an d Balanc e Program , Include d i s th e origina l documen t wit h th e indusio n o f a n amendmen t containin g Huma n Factor s documentatio n an d FA AOrde r9550.8A , Huma n Factor s Policy . Th e additio n o f th e Huma n Factor s amendmen t bring s th e proposa l ful l circl e an d include s SM S practice s base d o n th e Fou rComponent s o f Safet yManagemen t Systems , Whil e SkyWes t recognize s th e goa l o f ensurin g safet ythroug h CL R accuracy , a Huma n Factor s consideratio n i s necessary . SkyWes t seek s t o emplo yknow n Huma n Factor s method s t o accomplis h tfi e ulti(nat e goa l o f operationa l safety . Than k yo u fo ryou rcortsideration . Sincerely ,

Chri s Brow n Directo ro f Fligh t Operation s cc : Chi p Child s iCIe n Brook s Edwar d Rubotto m Car i Salamon e

44 4 Sout h Rive rRoa d St . George , UT8479 0 435.634300 0 www.skywes t co m

# SMWes t

a mAIRLINES ®



# Weigh t an d Balanc e Progra m Amendmen t Proposa l

Marc h 2 , 201 1Thi s documen t i s a formal reques t fo ra n alteratio n t o tf> e SkyWes t Approve d Weigh t an d Balanc e

Program . Thi s reques t i s desigT>e d t o addres s tti e numerou s carg o weigh t error s tha t hav e bee n identifie d i n recen t Lett«?r s o f Investigatio n (LOI ) fro m th e SkyWes t Certificat e Managemen t Office , Irrterrw l audit s o f th e weigtr t an d balanc e proces s revea l tha t whil e ther e i s th e possibilit yfo ra gros s carg o weigh t error , mos t error s resul t fro m a miscoun t o f on e o rtw o piece s o f cargo . Th e SkyWes t Fligh t Operations , Custome rService , an d Safet ydepartment s hav e mad e grea t stride s i n th e constructio n an d implementatio n o f procedure s designe d t o mitigat e gros s errors . However , th e natur e o f huma n foctori make s th e eliminatio n o f error s i n thei rentiret ya n impossibl e undertaking . I n thi s request , SkyWes t wouk l lik e t o pla n proactrvel yfo rsmal l error s i n carg o wveigh t b yimplementin g a sel f impose d limitatio n o n th e capabilitie s o f it s aircraft . Th e purpos e o f thi s proposa l i s rw t t o allo w fo r error , bu t t o accoun t fo rth e inheren t limitation s o f huma n performanc e arK l ensur e operationa l safet y i s hel d paramoun t a t al l ti'mes. Specifically , thi s reques t consist s o f artificiall yaddin g a specifie d amoun t o f weigh t t o th e Basi c Operatin g Weigh t (BOW ) o f eac h aircraf t I n doin g so , al l performanc e calculation s wil l b e performe d as i f th e weigh t wa s physjcall yo n tK>ard th e aircraft , eve n thoug h i n mos t case s th e weigh t wil l no t b e physicall ypresen t Th e aircraf t operatin g envelop e wil l b e curtaile d i n suc h a wa ytha t fo rsmal l miscounts , th e SkyWes t weigh t an d balanc e progra m wil l ensur e tha t th e aircraf t wil l alway s remai n Vbfithi n th e manufacturer' s operatin g envelope . SkyWes t ha s implemente d severa l sel f impose d limitation s i n th e past . Thi s propose d [imitatk) n i s simila ri n natur e t o thes e previousl yapprove d limitations :

• Th e ASA P progra m recommerKie d pilot s descen d immediatel yupo n receivin g a crossin g restrictio n withi n 4000 * o f th e curren t aircraf t altitude . B yinstructin g flight crew s t o initiat e a descen t upo n receip t o f deararKC , SkyWes t sacrifice s additiona l fiie l saving s i n orde rt o mirwmiz e misse d crossin g restrictions . • Restrictin g maximu m altitud e o f aircraf t operatio n t o FL37 0 fo rth e CRJ-20 0 an d FL39 0 fo rth e CRJ-700/900 . Restrictin g th e maximu m altitud e o f CR J serie s aircraf t provide s additioria l stal l protectio n a t hig h altitudes . • Amendin g th e n«ximu m takeof f weigh t o f th e assigne d Delt a Airiln e CR70 0 aircraf t t o 74,999 . Base d o n th e siz e o f th e aircraft , thi s proposa l add s betwee n 3 0 an d 9 0 lbs . o f additiona l weigh t t o eac h aircraf t BOW . Specifically , adding :

• EMB-12 0 = 3 0 lbs . o r1 standar d checke d ba g • CRJ-20 0 = 60lbs.or 2 starwlar d checke d bag s • CRJ-700 = 9 0 lbs . o r3 standar d checke d bag s • CRJ-900 = 9 0 lbs . o r3 standar d checke d bag s CR J 2tK ) Specific sTh e additiona l 6 0 lbs . wil l b e artificiall yadde d int o tti e BO W a t th e BO W cente ro f gravity . Byaddin g th e

weigh t a t thi s location , th e additiona l planne d weigh t wil l no t affec t th e BO W cente ro f gravity . I n th e even t tha t th e planr>e d weigh t i s no t physicall ypresen t i n th e carg o fain, th e onl yperformanc e modificatio n i s ttia t th e aircraf t ha s bee n planne d t o b e 6 0 lbs . heavie rtha n th e actua l weight . I n tenni s o f performarKe , th e aircraf t wil l perfor m bette rtha n planne d i n al l case s (i.e . lowe rfue l bum , lowe rstal l speed , shorte rtakeof f an d landin g distances , etc. ) an d wil l remai n withi n al l manufacturer s limitation s a t al l times. Becaus e th e additiona l we^ t wa s planne d a t th e BO W cente ro f gravity , th e lac k o f physica l presenc e wil l hav e n o effec t o n aircraf t CG o rtri m settings . I n th e even t o f a miscoun t an d th e additiona l 6 0 lbs . o f carg o i s accidentall ypresen t i n th e carg o bin , th e additiona l weigh t ha s alread ybee n accounte d fo ri n th e BO W an d th e onl ycorrectio n require d i s t o ensur e th e additiona l weigh t doe s no t caus e th e aircraf t cente ro f gravit yt o fal l outsid e o f manufacturer' s operatin g envelope . T o guarante e tha i th e C G remain s withi n th e operatin g envelop e a t al l times, th e af t cente ro f gravit ylimi t wil l b e artificiall ycurtaile d forwar d t o compensat e fo ra n extr a 6 0 lbs . i n tt> e af t carg o bin . Usin g th e formul a presente d i n Figur e 1 below , a n additiona l 6 0 lbs . o f carg o i n th e af t carg o bi n wil l shif t th e inde xaf t b y0.44 . (Bi n XAr m- 366.42 ) x Weigh t = Inde x Shif t 1000 0 (68 7 - 520 ) X 6 0 = 0.4 4 2300 0 Figur e 1 : CRJ20 a Inde xSNf t Calculation s

T o compensat e fo rthi s possibl e inde xshift , th e af t operatin g envelop e limi t wil l t> e curtaile d forwar d b y a n inde xadjustmen t o f 0.44 , thu s ensurin g tha t regardles s o f th e physica l preserK ^ o f th e extr a 6 0 lbs. , th e aircraf t operationa l cente ro f gravit ywil l alway s remai n wfthi n th e manufacturer' s operatin g envelope .

EM B 12 0 Specific s Th e calculation s fo rth e EM B L2 0 ar e ver ysimila rt o th e CR J 20 0 becaus e th e EM B ha s a singl e carg o compartment . Th e indusio n o f a n additiona l 3 0 lbs . o f carg o wil l caus e th e aircraf t CG t o shif t th e inde x af t b y0.63 . T o compensat e fo rthi s possibl e shift , tfi e af t operatin g envelop e limi t wil l t>e curtaile d forwar d b ya n irtde xadjustrT>en t o f 0.63 .(Bi n XAr m- 366.42 ) x Weigh t = Inde x Shif t 1000 0 (578-366.42 ) X 3 0 = 0.6 3 1000 0 Ftgur e 2 : EMB12 0 Inde xShif t C^cUatio n

CR i 70 0 /

90 0 Specific s Th e CR J 70 0 an d CR

J 90 0 ar e dissimila rfi-om th e CR J 20 0 an d EM B 12 0 becaus e tf> e CRJ70 0 an d CRJ90 0 ar e bot h equippe d wit h multipl e carg o compartments . I n orde rt o compensat e fo rmultipl e compartments , bot h th e af t an d forwar d limit s wil l b e curtaile d b yth e nrrost advers e k>adin g configurations . Th e table s belo wsho wtha t dependin g o n th e placemen t o f additiona l weight , th e ne t inde xshif t i s eithe rforwar d o raft . T o compensat e fo rth e unknow n locatio n o f th e 9 0 lbs . additiona l weight , bot h th e forwar d an d af t CG limit s wil l nee d t o b e curtaile d b yth e maximu m inde xdeviation . I n th e cas e o f th e CR

J 700 , tfi e forwar d operatin g envelop e limi t wil l nee d t o b e shifte d af t b ya n inde x adjustmen t o f 0.4 8 whit e th e af t operatin g envek>p e limi t wil l nee d t o t> e shifte d forwar d b yan d inde x adjustmen t o f 0.60 . I n th e cas e o f th e CR J 900 , th e forwar d operatin g envelop e limi t vA W nee d t o b e shifte d af t b ya n ir>de xadjustmen t o f 0.7 5 whil e th e af t operatin g envek>p e limi t wil l nee d t o b e shifte d forwar d b yan d inde xadjustmen t o f 0.74 . Th e formula s arx l loadin g configuration s ar e give n i n th e table s an d figures below .(Bi n XAr m- 860 ) X Weigh t = Inde x Shif t 4000 0 Rgur e 3 : OUTG

O Inde x Shif

t Calculatio n

CR J 70 0 FW D Carg o Bi n (lbs. ) 0 3 0 6 0 9 0 FW D Inde xShif t 0.0 0 -0.1 6 -0.3 2 -0.4 8 AJ T Carg o Bi n (lbs. )

9 0 6 0 3 0 0 Af t Inde xShif t 0.6 0 0.4 0 0.2 0 0.0 0 Tota l Inde xShif t

0.6 0 0.2 4 -0.1 2 -0.4 8 Tabl e 1 : CR

i 70 0 Inde x Shif

t Calculation s (Bi n XAr m- 771 ) x Weigh t

- Inde x Shif t

4000 0 Figur e 4 : CRJ90 0 Inde x Shif t Calculatio n

CR J 90 0 FW D FW

D Shif t 0 0 0 0 3 0 3 0 3 0 6 0 6 0 9 0 0.0 0

0.0 0 0.0 0 0.0 0 -0.2 5 ^.2 5 ^.2 5 -0.5 0 -0.5 0 -0.7 5 Cente r

0 3 0 6 0 9 0 0 3 0 6 0 0 3 0 0 Cente r

Shif t 0.0 0 -0.1 4 -0.2 7 -0.4 1 0.0 0 U 1 4 -0.2 7 0.0 0 -0.1 4 0.0 0 AF T 9 0 6 0 3 0 0 6 0 3 0 0 3 0 0 0 Af

t Shif t 0.7 4 0.4 9 0.2 5 0.0 0 0.4 9 0.2 S 0.0 0 0.2 5 0.0 0 0.0 0 Tota l Shif t 0.7 4 0.3 5 fl.03 -0.4 1 0.2 4 -0.1 4 -0.5 2 -0.2 5 -0,6 4 -0.7 5 TaW e 2 : CR

J 90 0 Inde x Shif

t Calculation sSkyWes t woul d lik e t o reiterat e tha t th e purpos e o f thi s progra m i s no t t o allo wfo rerro rI t will ,

however , ensur e ttia t operationa l safet yi s maintaine d i n an ysmal l miscoun t S(tuatk>n s cause d b yth e limitation s o f huma n performarKe . Asimila rprogra m ha s alread ybee n pu t i n plac e a t Delt a Airiines . Th e SkyWes t philosoph yha s bee n an d remain s Safet yfirst, wit h tfia t i n min d i t i s ou rhop e fo rrapi d consideratio n ar» d approva l o f thi s reques tHuma n Factor s Apper>di xt o Weigh t an d Balanc e Proposa l

Th e abov e proposa l invohfe s a modificatio n t o th e SkyWes t Weigh t an d Balanc e progra m an d I s desee d t o accoun t fo rlimitation s o n huma n performarKe . I n orde rt o full yunderstan d th e motivatio n an d reasonin g behin d suc h a proposal , i t i s importan t t o investigat e th e Huma n Factor s prirKtple s drivin g thi s request . Huma n Factor s i s a ter m use d t o describ e th e stud yo f an ysyste m tha t iruJude s a huma n interface . Thi s interfac e ca n indud e al l "psyctiotogical , social , pftystcal , biok^ica l an d safet ycharacteristics ' (1 ) tha t ma yaffec t th e manne ri n %vhtch a huma n interact s wit h a system . Huma n Factor s i s define d a s " Amultidisdplinar yeffor t t o generat e an d compil e informatio n abou t huma n capabilitie s an d limitatiort s an d appl ytha t informatio n t o equipment , systems , facilities , procedures , jobs , environments , training , staffing , an d personne l managemen t fo rsafe , comfortable , an d effectiv e huma n performarKe" . (2 | Thi s proposa l investigate s th e susceptibilit yfo rerro ri n th e SkyWes t Airiine s weigh t an d balarK e processes , an d propose s t o mitigat e th e risk o f an ysmal l miscoun t error s throug h th e us e o f a buil t i n weigh t tolerance . I n orde rt o full yunderstan d th e ris k associate d wit h th e curren t weigh t an d balanc e process , w e nee d t o analyz e th e workin g environmen t o n th e aircraf t ram p area . Th e airiin e ram p are a contain s man yfactor s havin g th e potentia l t o negativel yimpac t ram p worke r performance . Th e tas k i n questio n i s th e ram p worker' s abilit yt o accuratel yrepor t th e quantit yan d typ e o f item s loade d int o th e aircraf t carg o bin{s) . SkyWes t aircraf t ar e equippe d wit h u p t o thre e separat e carg o twns , eac h requirin g a n individua l inverrtory . Th e ram p worke ri s taske d wit h th e responsibilit yo f accountin g fo reac h ite m a s i t i s loade d ont o th e aircraf t I n Huma n Factor s studies , thi s typ e o f tas k

i s referre d a s a "VigilaiKe " task , wfierea s th e huma n operato ri s aske d t o maintai n "cSos e an d continuou s attentio n t o a fiel d o f stimulatio n fo ra perio d o f time, watchfu l fo ran yparticula r changin g circumstances " (3) . I n thi s case , tt» e particula rstimulatio n i s tfi e item s loade d int o th e aircraf t carg o bin . Huma n Factor s researc h ha s show n tha t environmenta l stressor s ma ynegativel yimpac t huma n vigilarK e performarKe . Environmenta l stressor s affectin g ram p vigitarK e performanc e irKlude : ambien t temperature , ambien t noise , leve l o f illumination , ai rquality , an d curren t weathe rconditions . Th e resul t o f thes e factor s i s tha t th e ram p agen t workin g o n a sixt ydegree , sunn yda yi n Lo s Angele s wil ) likel yperfor m a t a highe rleve l tfta n th e ram p agen t workin g a cold , snowy , nigh t i n Chicago . I n th e airiin e business , a difficul t workin g erwironmen t i s sometime s unavoidable , ar> d th e syste m mus t b e designe d i n a wa ytfia t wil l mitigat e thi s risk an d preven t error . Th e us e o f automatio n i s wel l documwite d i n Huma n Factor s researc h a s a successfu l erro rpreventio n strategy . Althoug h curren t techrK»log yexist s t o ai d i n aircraf t loa d manifes t erro rprevention , i t I s no t feasibl e fo rimplementatio n i n tiie SkyWes t system . SkyWes t doe s no t contio l th e paren t policie s an d procedure s cor^tnictir ^ tf» e framewor k

o f th e carg o process . Thes e policie s an d procedure s ar e manage d b ySkyWest' s majo rairiir» e partner s (i.e . Delt a Airiines , Unite d Airiines ) an d th e introductio n o f automatio n wouk l requir e globa l cfiange s a t al t level s o f th e majo rairiine' s operation .Withou t th e us e o f automation , th e alternativ e i s t o investigat e erro rpreventio n an d / o rmitigatio n strategies . An yhuma n interfac e eiKompasse s a liabilit yfo rerror . As a n example , "man yheadline hittin g disaster s o f th e las t 1 5 year s hav e involve d huma n erro ri n th e operatio n o f comple x technologica l systems . Hollnage l (S L fo rexample , estimate s tha t th e icKklenc e o f huma n erro r contributin g t o accident s ha s risen firom abou t 20 % i n th e 1960* 5 t o abou t 80 % i n 1990 * (4) . A s system s i n genera l becom e mor e comple xan d becom e mor e mechankall yreliable , th e portio n o f risk attributabl e t o huma n erro rals o increases . *7h Kpositio n ha s le d man yreseardier s t o advocat e th e nee d fo rwtia t ha s bee n referre d t o as Designin g fo rHuma n Erro r[16J " (4) . Thes e system s ar e "designe d wit h tf* e understandin g tha t huma n operator s ar e rnherenti yfallible , bu t carefu l syste m desig n ca n ofte n allo wthe m t o catc h an d recove rthei row n errors , o r'trap " tii e erro rs o tha t rt i s no t propagate d t o creat e a n accident " (5| . SkyWes t Airiine s i s limitin g th e capabilitie s o f it s aircraf t i n orde rt o desig n a mor e robus t syste m tha t wil l "trap " a n erro ran d mitigat e th e consequence s o f a smal l miscoun t error , shoul d on e occur . Th e FA Aha s accepte d an d embrace d th e ide a tha t Huma n Factor s play s a ke ypar t i n syste m design . FA AOrde r9550.8 Aoutlirw s th e responsibilit yo f al l FA Aorganization s t o "Implenwn t erro rpreventio n an d mitigatio n strategie s t o emphasiz e huma n erro rreduction " (2) . Th e append wt o FA AOrde r9550.8 A eve n recommend s th e stud yo f huma n erro ran d give s th e foltowin g guidanc e regardin g huma n error : [Examine ] d^ig n an d contextua l condition s (includin g supervisor yan d organizationa l influefKes ) a s causa l factor s contributin g t o huma n error , an d [consider ) objective s fo r erro rtolerance , erro rprevention , an d erro rcorrection/recovery . (2 ) Th e FA Aincorporate s thi s concep t i n Safet yManagemen t Syste m (SMS ) design . On e o f th e fou rpillar s o f SM S i s Safet yRis k

Managemen t (SRM) . A s define d b yth e FAA . SR M i s a forma l proces s withi n th e SM S compose d o f (7) :

• Describin g th e syste m • Identifyin g th e hazard s • Assessin g th e ris k • Analyzin g th e risk • Controllin g th e risk I n thi s proposal , SkyWes t ha s followe d th e safet yrisk managemen t (woces s an d plan s t o contro l risk throug h th e desig n o f a huma n erro rtoleran t system . Th e us e o f a n erro rtoleran t syste m i s als o alread y i n plac e a t othe rUS . ai rcarriers . Delt a Airiine s currentl yuse s a 60 0 lb . toleranc e t o accoun t fo r"las t minut e ba g chang e flexibility ' (6) . I n th e DA L program , 'I f th e numtw ro f additiona l bag s k>ade d afte r th e initia l (Weigh t Dat a Record ] i s les s tt»a n 20 , ther e wil l b e n o up-date d [Weigh t Dat a Record ] generate d an d th e cre wwil l no t b e informed * (6) . SkyWes t i s proposin g a 30,60 , o r9 0 lb . tolerance , whic h i s five t o fifteen percen t o f th e toleranc e afforde d t o Delt a Airiines . SkyWes t doe s no t pla n t o us e th e toleranc e fo rba g cfiang e flexibility. Instead , SkyWes t plan s t o us e th e tolerarK e t o compensat e fo r smal l miscoun t situatton s cause d b ^ limitation s o n huma n performance .

### EXHIBI T 2 0 Lette r date dMarc h4 , 2011 , fro mChri s Brown , Directo r o f Fligh t Operation s t o Andre w Ayers , FA A CM OMarc h 4 , 201 1

Andre wAyer s Aviatio n Safet yInspector-Ai rCarrie rOperation s Federa l Aviatio n Administratio n SkyWes t Certificat e Managemen t Offic e 102 0 Nort h Flye rWa y Sal t Lak e City , U T 8411 6 Re ; 14CFR§121.69 3 Dea rM rAyers : Than k yo u fo rtakin g th e tim e t o mee t wit h ou rgrou p yesterda yafternoon . W e hav e reviewe d 1 4 CF R §121.69 3 an d believ e th e requeste d toleranc e wil l not , I n fact , violat e th e inten t o f thi s regulation . A s discussed , thi s reques t i s no t a n attemp t t o subvert th e regulation ; rather , i t i s a n effort t o buil d i n a n additiona l laye ro f safety . SkyWes t i s proposin g t o self-limi t th e capacit yof Its fleet ; a poin t w e fee l mus t b e emphasize d durin g th e cours e of thes e discussions . Whil e th e inten t o

f 1 4 CF R §121.69 3 i s t o assur e safet ythroug h accuracy , w e fee l strongl yther e shoul d als o b e a pat h t o accoun t fo rhuma n erro ran d mitigat e ris k cause d b ysuc h erro r O n average , SkyWes t handle s a n estimate d 23,000,00 0 bag s pe ryear . Thi s volum e elevate s th e ris k o f a smal l miscount . Th e effort s t o contro l ris k ar e ongoin g an d remai n a to p priority . Whil e w e striv e fo raccuracy , th e shee rvolum e o f manually-handle d item s make s i t impossibl e t o assur e afaso/ut e accuracy . Thi s proposa l i s no t a substitut e fo rne wan d enhance d Custome rServic e procedures . Rather , i t i s designe d t o augmen t othe rprocedure s vi a th e additio n o f a n additiona l laye ro f defense . W e provid e th e followin g brie f explanatio n t o § 121.69 3 (comment s highlighte d i n red) : § 121.69 3 Loa d manifest : Al l certificat e holders . Th e loa d manifes t mus t contai n th e followin g informatio n regardin g aircraf t loadin g at takeof f time : (a ) Th e weigh t o

f th e aircraft , fue l an d oil , carg o an d baggage , passenger s an d crewmembers . Aloa d manifes t erro ri s neve rintentional . Whe n a designate d loadin g agen t sign s an d submit s th e CL R t o th e fligh t dec k crew , i t i s hi s o rhe rbelie f th e documen t i s accurate . An y inaccurac yi s du e t o huma n error ; certainly , ther e i s n o inten t of falsification . (b ) Th e maximu m allowabl e weigh t fo rtha t fligh t tha t mus t no t excee d th e leas t o f th e followin g weights :Andre w Ayer s Marc h 4 , 201 1 Pag e 2 (1 ) Maximu m allowabl e takeof f weigh t fo rth e runwa yintende d t o b e use d (includin g correction s fo raltitud e an d gradient , an d win d an d temperatur e condition s existin g a t th e takeof f time) . (2 ) Maximu m takeof f weigh t considerin g anticipate d fue l an d oi l consumptio n tha t allow s complianc e wit h applicabl e e n rout e performanc e limitations . (3 ) Maximu m takeof f weigh t considerin g anticipate d fue l an d oi l consumptio n tha t allow s complianc e wit h th e maximu m authorize d desig n landin g weigh t limitation s o n arriva l a t th e destinatio n airport . (4 ) Maximu m takeof f weigh t considerin g anticipate d fue l an d oi l consumptio n tha t allow s complianc e wit h landin g distanc e limitation s o n arriva l a t th e destinatio n an d alternat e airports . I n th e even t o

f erro rwithi n th e weigh t tolerance , th e BO W adjustmen t wil l ensur e thes e limitation s ar e no t exceeded , (c ) Th e tota l weigh t compute d unde rapprove d procedures : Th e SkyWes t Weigh t an d Balanc e Manua l contain s approve d procedure s fo rcomputin g aircraf t weight . Thi s proposa l make s n o change s t o th e manne ri n whic h aircraf t weigh t i s calculated . (d ) Evidenc e tha t th e aircraf t i s loade d accordin g t o a n approve d schedul e tha t ensure s th e cente rof gravit yi s withi n approve d limits . Th e curtailmen t associate d wit h thi s proposa l wil l ensur e that , eve n i n th e even t of huma n error , th e aircraft' s cente ro f gravit ywil l alway s remai n withi n limits . (e ) Name s o

f passengers , unles s suc h informatio n i s maintaine d b yothe rmean s b yth e certificat e holder . N o chang e W e appreciat e you rcontinue d effor t i n assistin g SkyWes t t o appropriatel ymee t o rexcee d require d regulation s an d guidelines . Fee l fre e t o contac t m e i f I ca n provid e additiona l information . Sincerely , Chri s Brow n Directo r Fligh t Operation s

### EXHIBI T 2 1 Lette r date dMa y 17 , 2011 , fro mAndre w Ayers , CM O t o Chri s Brow n

# o

u s Departmen t crfTransDorTorio n F«d«ra i AviaHo n AdfiWHVtrofto n 

# m

Northwes t Mountai n Regio n Cokxado , Idaho . Montana , Oregon , Utah , Washington , Wyomin g SkyWes t Certificat e Managemen t Offic e 102 0 Nort h Rye rWa y Sal t Lak e City , Uta h 8411&-295 9 801-257-6100 , 800-332-279 5 Fax ; 801-257-513 8

r^a y17 , 201 1 Trackin g Number : 235 2 Christophe rC . Brow n Directo ro f Aircraf t Operation s SkyWes t Airlines , Inc . 44 4 Sout h Rive rRoa d St . George , Uta h 84790-208 6 Dea rMr . Brown : Th e SkyWes t Certificat e Managemen t Offic e (CMO ) ha s reviewe d you rproposa l fo r a n amendmen t t o SkyWest' s approve d weigh t an d balanc e program . W e recogniz e an d appreciat e th e tim e an d effor t spen t i n developin g ne wstrategie s t o addres s an d reduc e th e documente d issue s wit h aircraf t loadin g an d documentatio n accuracy . Throug h collaborativ e revie wwit h Federa l Aviatio n Administratio n (FAA) , Northwes t Mountai n regiona l specialists , a s wel l a s FA Aheadquarter s groups , w e hav e identifie d th e followin g issues : 1 ) Titl e 1 4 o f th e Cod e o f Federa l Regulation s (1 4 CFR ) § 121.693(a ) require s th e loa d manifes t t o contai n th e weigh t o f th e aircraft , a s wel l a s carg o an d baggage . Unde rSkyWes f s proposal , th e loa d manifes t woul d no t compl ywit h 1 4 CF R § 121.693(a) , eve n i f th e airplan e wer e loade d conrectly , becaus e o f th e built-i n "error . Additionally , 1 4 CF R § 121.66 6 states , i n part , tha t th e certificat e holde ri s responsibl e fo rth e accurac yo f th e loa d manifes t for m befor e eac h takeoff . Therefore , th e preparatio n o f th e loa d manifes t canno t begi n wit h a pre-existin g en-or , makin g i t impossibl e t o achiev e accuracy . 2 ) Curren t FA

Aguidanc e doe s no t addres s th e concep t o f baggag e coun t o r weigh t tolerances . Latitud e i s alread ygive n i n FA AAdvisor yCircula r120-27 E fo rth e us e o f averag e ba g an d passenge rweights . Thes e weight s ar e designe d t o creat e a baselin e standar d an d establis h saf e operatin g procedure s i n th e even t o f sn^a W variance s i n weights . Th e concep t o f a n additiona l toleranc e woul d likel yrequir e SkyWes t t o rever t first , t o usin g actua l ba g an d passenge rweights , o rusin g highe raverag e weight s t o remov e th e additiona l smal l variance s tha t exis t wit h th e curren t statisticall yderive d FAA approve d averag e weights .3 ) SkyWest' s proposa l doe s no t addres s th e underlyin g issu e o f inaccurat e performanc e b yGroun d Servic e Agent s handlin g SkyWes t flights . Absen t othe rmitigatin g strategies , SkyWes t Airlines ' proposa l woul d no t reduc e th e error s previousl yidentifie d b yt^ e SkyWes t CMO . SkyWest' s proposal , a s rt stands , i s rxj t a huma n facto rmitigatio n strategy , bu t a huma n facto r compensatio n strategy . Additiona l FA A surveillanc e data , a s wel l a s variou s voluntar yprogra m data , continu e t o sho werror s wel l outsid e th e scop e o f toleranc e tha t SkyWes t ha s proposed . A s such , SkyWest' s proposa l doe s no t sho wa significan t improvemen t i n th e safet yo f curren t weigh t an d balance-relate d operations . Therefore , th e CM O canno t approv e SkyWest' s propose d amendmen t a t thi s time . Sincerely , --f ^ Ar>dre wJ . Ayer s Principa l Operation s Inspecto r cc : Kle n P . Brooks , Vic e Presiden t of Fligh t Operation s

### EXHIBI T 22 /^«'^.««F^c/^.,Po,iey,F^ A Orde r 9550.8A , Revise dAugus t 10 , 200 5

## Huma n Factor s PoUc y FA A Orde r

9550.8 A [Rev : Augus t 10,2005 ] 1 . PURPOSE . Thi s orde r establishe s policy , procedures , an dresponsibilitie s fo r incorporatin g an dcoordinatin g huma n factor s consideration s i n Federa l Aviatio n Administratio n (FAA ) pTX>gram s an dactivitie s t o enhanc e aviatio n safety , capability , efficiency , an dproductivity . 2 . DISTRIBUTION . Thi s orde r i s distribute dt o di e divisio n leve l i n Washington , regions , an dcenter s wit halimite ddistributio n t o al l fieldoffice s an dfacilities . 3 . CANCELLATIONS . Thi s orde r supercede s FA A Orde r

9550. 8 date dOctobe r

27 , 1993 , whic hi s canceled . 4 . EXPLANATIO N O FCHANGES . Thi s orde r clarifie s di e meanin g o f huma n factor e considerations , provide s th e backgroun dfo r th e huma n factor s approach , an destablishe s basi c polic y an dresponsibilitie s for incorporatin g huma n factor s i n agenc y functions . 5 . DEFINITIONS . a . Huma n Factors . Withi n th e FAA , huma n factor s entail s amultidisciplinai y effort t o generat e an dcompil e informatio n abou t huma n capabilitie s an dlimitation s an dappl y tha t informatio n t o equipment , systems , facilities , procedures , jobs , environments , training , staffmg , an d personne l managemen t

fo r safe , comfortable , an deffectiv e himia n performance . b . Appendi x 1 , Huma n Factor s Stud y Areas , provide s alis t o f element s tha t

furthe r identif y th e scop e o f

huma n Actor s consideration s fo r study , analysis , an dresolution . c . Appendi x 2 , Definitions , provide s description s o f othe r ke y term s use di n thi s order . 6 . BACKGROUND . a . Th e huma n facto r ha s bee n widel y recognize da s critica l t o aviatio n safet y an d effectivencss . In th e Jul y 198 8 repor t entitle d"Saf

e Skie s for

Tomorrow, " th e U.S . Congres s Offic e o f Technolog y Assessmen t conclude dtha i long-ter mimprovement s i n aviatio n safet y wil l com e primaril y fromhuma n factor s solutions . Further , suc hsolution s wil l b e establishe dthroug h consistent , long-ter msuppor t for hiuna n factor s researc han ddevelopment , analysis , an dth e applicatio n o f

huma n factor s information . Subsequen t t o th e Offic e o f

Technolog y Assessmen t report . Congres s enacte dth e Aviatio n Safet y Researc hAc t o f 198 8 (P L100-591 ) callin g for th e FAA t o augmen t

it s researc heffort

i n himian factor s an densur e coordinatio n wit hothe r agencie s performin g suc hresearch . Thes e assessment s an ddirection s resulte di n th e FAA' s emphasizin g ne w an dcoordinate deffort s i n th e are ao f human factor s wit hth e Nationa l Aeronautic s an dSpac e Administration , Departmen t o f Defense , an damultitud e o f professiona l aviatio n an dtechnica l group s whos e member s includ e pilo t an dcontrolle r

unions , airfirame an dpart s manufacturers , a s wel l a s majo r

airiines . On e produc t

o f suc heffort s include s th e "Nationa l Pla n fo r Civi l Aviatio n Huma n Factors " whic houdine dacoheren t nationa l agend aaime dat achievin g progres s towar d safety an dproductivit y goaJs , increase dcoordination , ftmding, an dlong-terra , hig hleve l Pag e 1managemen t suppor t i n governmen t

an dindustry . Subsequen t t o establishin g th e Nationa l Plan , th e applicatio n o f

huma n factor s researc han dengineerin g ha s gaine dcontinue dattentio n an demphasi s i n aviatio n certification , regulation , operations , an dacquisitions . b . Benefit s derive dfromthi s systemati c approac ht o huma n factor s researc han d engineerin g include :

1 ) Increase dpersonne l efficiency , effectiveness , an dproductivity ; 2 ) Improve dsyste mperformanc e an dusability ; 3 ) Reduc<: doperation s an dmaintenanc e costs ; 4 ) Increase davailabilit y o f objectiv e dat ai n fomiulatin g FA A policies , standards , regulations , an dbusines s cas e an dinvestmen t decisions ; an d 5 ) Enhance daviatio n safety . 7 . SCOPE : Thi s orde r establishe s apolic y t o foster a n integrate dhuma n factor s programtha t meet s FAA lon g an dshort range need s coverin g bothresearc han dengineerin g applicatimis . Th e FAA Human Factore Polic y Oixk r support e regulatio n an doperatio n o f th e Nationa l Airspac e Syste mb y providin g a

n agend afo r

th e c(mduc t

an dinstitutionalizatio n o f human fectors activitie s relative t o achievin g regulatfor

y goal s an dcAjectives , executin g researc han ddevelt^Mnent programs , fecilitating Capita l Investmen t

Plan acquisitions , an drespondin g t o operariwia l missitmperformanc e requirements . 8 . OBJECTIVES . Th e huma n factors-oriente dapproac hi s to : a . Conduc t

th e planning , reviewing, prioritization , coordination , generation , an d updatin g o f

vali dan dtunel y hunmn fectors informatio n t o suppor t agenc y needs ; b . Develo p an dinstitutionaliz e forma l procedure s tha t systematicall y incorporat e huma n factor s consideration s int o agenc y activities ; an d c . Establis han dmaintai n organizationa l infrastructur e tha t provide s th e necessar y huma n factor s expertis e t o agenc y program s an dactivities . 9 . HUMA N FACTOR S COORDINATIN GCOMMITTEE , Thi s orde r prescribe s th e organization , composition , functions , an dresponsibilitie s o f a n intra-FA A committe e t o coordinat e th e generation , distributio n an dapplicatio n o f huma n factor s informatio n throug harepresentativ e Huma n Factor s Coordinatin g Committe e a s state di n Appendi x 3 , Huma n Factor s Coordinatin g Committee . Th e committe e wil l serv e t o enhanc e th e identificatio n o f huma n fectors requirements , faciHtate th e integratio n o f huma n factor s int o activitie s withi n th e agency , promot e th e improvemen t

o f existin g policie s an dprocesses , an dmonito r th e efficac y o f

huma n factor s effort s withi n FAA . 10 . HUMA N FACTOR S POLICY . Huma n factor s shal l b e systematicall y integrate dint o th e planm'n g an dexecutio n o f th e function s o f

al l FA A organizationa l element s an dactivitie s associate d withNationa l Airspac e Syste macquisition s an doperations . FA A organization s shal l emphasiz e huma n factor s an dusabilit y consideration s t o enhanc e syste m performanc e an dcapitaliz e upo n th e relativ e strength s o f peopl e an dmachines . Thes e consideration s shal l b e integrate dat th e earlies t

phase s o f

FA A project s an dincorporate dwithi n th e processe s for

fulfillin g OM B Exhibi t 30 0 requirements . Th e FAA' s Himia n Factor s Polic y Orde r

i s Pag e 2achieve dthroug hahuman-cenlcTc demphasi s i n (^jerations , research , applications , an dinfi^stnictur e support resultin g i n saf

e an deffectiv e human-syste minterfaces . Progra mmanager s shal l emplo y hiuna n factor s researc han dengineerin g bes t practice s t o acquir e system s tha t requir e minima l staffing , provid e cost-effectiv e training , allo w efficien t operatio n an dmaintenance , an dar e operationall y suitabl e withi n th e intende denvironment . Human performanc e shal l b e integrate dint o procedur e development , syste mperformanc e evaluation , rulemaking , syste macqiusition s (includin g busines s an dadministrativ e systems) , architectur e engineering , an dothe r activitie s withi n th e agency . Huma n factor s consideration s an dhuman-syste mperformanc e dat ashal l b e a n integra l elemen t o f an dincorporate dint o activitie s an ddecision s relate dt o missio n analyse s an dmissio n nee d statements , performanc e baseline s an dmeasures , safety ris k managemen t

analyses , investmen t analyse s an dreports , requirement s documents , progra mplans , sourc e selectio n criteria , desig n reviews , tes t

an devaluatio n plan s an dreports , implementatio n plans , an dpost-deploymen t assessmen t

plan s an dreviews . FAA organization s shal l caus e t o b e availabl e for thei r program s th e essentia l inforaiatio n require dt o integrat e huma n factor s consideration s appropriatel y an dsuccessfully , inte r alia :

• Ho w huma n factor s researchan dengineerin g i s organize dan daccomplishe d(e.g. , personne l an dfundin g resources ; organization , roles, an drelationships; huma n factor s plan s o r roa d map ; roles , content , an dpurpos e o f huma n factor s woricin g groups ) • (Quantitativ e huma n performanc e measure s an dcriteri a • Huma n factor s risks an dmeans/method s t o mitigat e the m " Lif e cycl e cost s an dbenefit s includin g staffin g an dtrainin g • Analytica l method s an dtechnica l tool s t o conduc t huma n factor s activitie s " Conventions , guidelines , an dstandard s neede dt o appl y huma n &ctor s • Measures , databases , an drelatedinformatio n on hunan-in-the-loo p operationa l performanc e • Result s fromhuman-in-the-loo p analyses , modeling , simulations , demonstrations , an d • Less<ms learne dabou t addressin g huma n factor s i n FA A program s (e.g. , i n requirements , investmen t

analysis , research , analysis , design , specifications , statement s o f work , sourc e selectio n criteria , tes t

an devaluation , post-deploymen t assessment ) fo r researc han dengineerin g program s an dapplications . I LRESPONSIBILITIES . 1 L I Al l FA A Organizations : T o ensur e tha t

huma n factor s ar e systematicall y include di n FA A endeavors . Assistan t an d Associat e Administrators , Executiv e Directors , an dAi r Traffi c Organizatio n Vic e President s shal l establis han dassig n responsibilitie s t o accomplis hth e polic y an dobjective s cite di n Paragraph s 8 (Objectives ) an d1 0 (Huma n Factor s Policy ) withi n thei r organizationa l purview , t o include : a . Execution . Conduc t

activitie s to : Appl y huma n fectors informatio n an dmethod s t o FA A syste macquisitions , operations . Pag e 3certification , an dregulatory activitie s i n th e promotio n o f

civi l aviafioO

Ensur e c^ierational huma n perftMroanc c constraint s an denhaiK^CTitfot s ar c routinel y iiKorporatc di n missio n analysi s an dcapability/requirement s (feterminatio n processes , lif e c^'cl e cos t

an dbenefi t

analyses , risk

assessments , syste moperaticMia l performanc e ^>ecifications , syste mbaselin e measurements , solicitatio n packag e preparatic man dsourc e evaluation , syste mcritica l operationa l issue s an dcriteri a(a s wel l a s measure s o f cffectivoies s an dmeasure s o f perfomianoe) , operationa l tes t an devaluatio n plans , progra m reviews, post-contrac t

activities , progra mimplementation , an dpost-deploymen t assessments . Acquir e necessar y huma n performanc e informatio n b y mean s o f th e research , engineering , an ddevelopmen t processes . Asses s th e suf^xwlability an daffondabilit y o f huma n resourc e requirement s (e.g. , staffin g an dtraining ) t o mee t

plan s for (h e future NA S architectur e aix l systems . Implemen t

erro r preventio n an dmitigatio n strategic s t o emphasiz e human erro r reduction . • Integrat e huma n factor s int o feult tre e analyse s an dothe r

ris k managemen t

technique s for c^)etario n an dmaintenanc e activities . • Asses s an drepor t

o n usabilit y s o a s t o identif y an denabl e resolutio n o f huma n factor s issue s throughou t

aproduct' s lifecycle , t o includ e coordinatin g wit happropriat e authoritie s o n issue s relatedt o accessibilit y an daccommodaticff i fo r peopl e with disabilitie s an dspecia l needs . b . Huma n Factor s Coordinator . Designat e aHuma n Factor s Coordinato r wh o wil l pcrfomi . direct , o r

assis t in : Servin g a s th e organization' s representativ e t o th e Huma n Factor s Coordinatin g Committe e Definin g huma n fectors risks an dmitigatio n plan s durin g missio n analysis , investmen t analysis , an drequirement s determination . • Identifyin g human-syste minterface s an dcomputer-huma n interface s fo r marke t surveys , trad e studies , an dprototypes . • Preparin g an dupdatin g huma n factor s portion s o f acquisitio n an dengineerin g managenKn t

plans , procuremen t

packages , tes t

an devaluatio n plans , performanc e measure s an dcriteria , an ddat acollectio n efforts . Developin g an danalyzin g operationa l scenarios , human-syste mmodeling , an dhuman

in-the-loo p simulation s for operator s an dmaintaitiers . • Reviewin g an dassessin g huma n factor s concept s an ddesign s (e.g. , i n requirement s reviews, syste mreviews , produc t reviews, chang e proposals) . • Coordinatin g huma n ^tor s engineerin g effort s an duse r workin g grou p activities . • Coordinatin g huma n factor s i n trainin g development , integrate dlogistic s support , safely , configuratio n management , an dothe r syste mengineerin g fiinctions . c Syste mEngineering . Establis hmechanism s t o incorporat e huma n factor s risk consideration s i n syste mengineerin g plans , products , functions , an dactivitie s a t th e product , servic e area , an dNationa l Airspac e Syste marchitectur e level . d . Safet y Managemen t

System . Includ e human factor s consideration s i n safet y managemen t

syste mplans , programs , projects , fimctions , activities , an dris k assessments . Th e

Pag e Anecessar y component s t o iiKorporat c huma n factor s int o th e definition , development ,

implementation , an dmonitorin g o f safety managemen t

syste mrisks include : • Th e scop e o f

huma n fectors area s o f

interes t • Tool s an dtechiuque s used , an dthei r frequency o f

us e • Dat aan ddatabase s used , an dthei r qualit y an davailabilit y • Metric s an dmeasure s used , an dho w the y ar c score d • Standard s an dconvention s used , an dcomplianc e wit hthe m • Principle s an dguideline s applied , an dbo w widel y the y ar e followe d • Polic y an dprocesse s implemented , an dt o wha t degre e the y ar e execute d • Lesson s learne dan dbes t practice s followed , an dho w consistentl y the y ar c employe d e . Progra mPerformanc e Measuremen t Establis hmechanism s b y whic ht o continuousl y improv e th e huma n factor s progra macros s th e stakeholders , customers , interna l busines s processes , aiu l learnin g an dgrowt hperspective s usin g progra mperformanc e measure s an dtool s suc ha s th e huma n factor s balance dscorecar dapproach . C Processe s an dProcedures . Establis han dapply : • Processe s an dprocedure s that systematicall y identif

y th e huma n fectors expertis e essential t o applyin g huma n fectors t o acquisition , operations , ceitificatiMi , an dregulator y activities . • Mechanism s b y whic hagenc y lon g rang e plannin g initiative s incorporat e forecast s wit h a human dimension . g . Educatio n an dTraining . Support , participat e in , an dconduc t Managerial an dexecutiv e leve l awarenes s trainin g for human factors . • Programmanagemen t teaman dengineerin g staf f technica l trainin g for

managemen t

o f human factor s i

n acquisitio n an d(^rations . • Operationa l le\'e l huma n Actor s familiarizatio n training . Academic-Industry-Governmen t coordinatim i an dtechnolog y transfe r o n th e applicatio n o f human factors . • Professional trainin g an deducatio n for human factor s coordinator s an dsupport employee s o n topic s an dissue s relate dt o th e human factor s discipline . h . StafHng , Facilities , an dFunding . Plan an dconduc t resourc e activitie s t o ensure : • Accessibility o f

huma n Actor s specialist s fo r analysis , design , evaluation , an d implementatio n activitie s throu^iou t th e agency , • Availability o f

huma n factor s qualit y contro l personne l for oversight , dircction , an dsuppor t Adequat e fundin g for

huma n fectors technica l suf^xxt . • Sufficierx: y o f

fundin g for

huma n performanc e research , engineering , an ddat acollectio n projects . Availability o f

sufficient

researc hsubject s an dacces s t o facilitie s s o a s t o ensur c th e scientifi c validity o f

approve dresearc han dstudies . 1 1 ^ Huma n Factor s Researc han dEngiDeerin g Division . Th e Human Factor s Researc han d Engineerin g Divisio n enhance s th e safet y an defficienc y o f th e Nationa l Airspac e Syste mb y managin g huma n factor s aviatio n researc hfo r th e agency , coordinatin g activitie s fo r th e huma n 6w:tor s "communit y o f

practice " acros s th e agency , an dprovidin g huma n factor s suppor t t o researc h Pag e 5an dengineerin g activitie s withi n th e Ai r Traffi c Organizatio n Operation s Plannin g servic e are aan d othe r Organizationa l element s a s appropriate . Th e Progra mDirecto r for Huma n Factor s serve s a s th e principa l adviso r

o n huma n factor s researchan dengineerin g t o th e Administrator , th e Ai r Traffi c Organizatio n Chie f Operatin g Officer , an dth e Federa l Acquisitio n Executive . Th e function s o f

th e Huma n Factor s Researc han dEngineerin g Divisio n ar c organize da s follows : 1 . Principa l adviso r

an dfocal poin t

t o di e FA A Administrator . Ai r Traffic Organizatio n Chie f Operatin g OfTlccr , an dth e Federa l Acquisitio n Executiv e o n huma n factor s agenc y researc han dai r traffi c managemen t

engineering . a . Act s a s th e huma n factor s focal poin t withi n an doutsid e th e agenc y fo r FA A huma n factor s researc hmanagement , huma n factor s policy , an dbroa dAi r Traffi c Organizatio n huma n factor s engineerin g applications . b . Provide s recommendations an dadvic e o n huma n factor s researc han dengineerin g t o th e FA A Administrator , Ai r

Traflfic Organizatio n Chie f Operatin g Officer , an dFedera l Acquisitio n Executiv e a s required . c . Provide s huma n factor s guidance , directioTL , sponsorship , an drepresentatio n t o interna l an d external , nationa l an dinternationa l FAA wor k groups , conunittees , symposia , an dconferences . d . Ensure s huma n factors ar e integrate di n othe r FA A organizations ' activitie s a s appropriate . It . Manage s FA A Huma n Factor s Research . Engineering , an dftevelopmcn t Program . e . Serve s a s Huma n Factor s Researc hProgra mManage r an dprovide s strategic , biKlgetary , an d technica l directio n fo r

agenc y resourc e Research , Engineering , & Developmen t plannin g an d execution . f . Perform s technica l qualit y assuranc e fo r huma n factor s research . g . Ensure s coordinatio n an dintegratio n betwee n researc han dapplicatio n area s (Le. , acquisition , certification , regulation, an dstandards) . h . Serve s a s primar y interfac e < mhuman factor s for

Research , Engineering , & Devclopnien t ai r traffi c managemen t

an dsafety program s wit hdomesti c an dinternationa l agencie s suc ha s Departmen t o f Defense , Nationa l Aeronautica l Spac e Administration , an dEurocontrol . i . Serve s a s th e Designate dFedera l Official fo r th e Researc han dDevelopmen t Advisor y Committe e Subcommitte e o n Human Factors . Also , provide s huma n factors prograirmwd c suf^x)r t t o Researc h an dDevelopmen t

Advisor y Committe e Subcommitte e o n Aircraf t Safety , an dSubcommitte e o n Ai r Traffi c Services . 111 . Conduct s suptx>r

t activitie s fo r

th e huma n factor s ^'communit y o f practice " acros s th e agency . j . Chairs , directs , an dorchestrate s activitie s o f th e FA A Huma n Factor s Coordinatin g Committe e a s so t fort hunde r Appendi x 3 (Huma n Factor s Coordinatin g Committee ) o f thi s order . Pag e 6k . Coordinate s fo r th e ager»cy th e communication , evaluation , advice , an dsupport for th e human factor s communit y o f

fniactic e o n strategi c planning , risk management , an dorganizationa l infrastructur e requirement s arx l capabilitie s fo r human factor s activitie s an dexpertise . 1 . Support s education , training , an dprofessiona l developmen t program s t o mee t

th e huma n factor s communit y o f

practic e needs . m . Advise s an dprovide s researc han dengineerin g assistance , consultation , o r augmentatio n t o agenc y program s fo r

huma n factor s product s an dservices . n . Fo r Ai r Traffi c Organization , assesse s an dsupport s developmen t o f quantitativ e measures , analytica l methods , ccxivention s an dguidelines , technical tools , dat aarxl databas e availability , human performanc e criteria , lif e cycl e costs , humai^in-the-loo p analyses , an d"lesson s learned* * for human factor s researchan dengineerin g applications . 0 . Fo r Ai r Traffi c Organization , serve s a s clearinghouse , qualit y assuraxKC , an ddocumen t contro l for human factors polic y an dstarxlanJs . rV . Provide s huma n factor s researc han dengineerin g suppor t t o activitie s withi n th e Ai r Traffi c Organizatio n Operation s Plannin g (ATO-P ) servic e are aan dothe r organizationa l element s a s appropriate . p . Serv e a s amembe r

o f th e ATO- P sponsore dSyste mEngineerin g Counci l t o ensur e incoiporatio n o f

himia n factor s consideration s i n NA S Enterpris e Architectur e development s an dmodification s an dt o enhanc e human-syste mintegratio n i n othe r syste mengineerin g endeavors . q . Ensure s huma n factor s i s coordinate dan dintegrate di n Ai r TrafTi c Organizatio n Operation s Plannin g servic e are aplanning , analysis , development , an dimplementatio n activities . r . Provide s huma n factor s researc han dengineerin g support t o Ai r TrafTi c Organizatio n Operation s Plannin g activities . s . Provide s huma n factor s leadershi p an dservice s i n suppor t o f othe r Ai r Traffic Organization s a s required . 1 U Checklis t

fo r Huma n Factor s Researc han dEngineering . Appendi x 2 , Organizationa l Checklis t for Huma n Factor s Research , Applications , an dInfrastructur e Support , provide s a n outlin e o f ke y item s fo r

tailorin g an dreview withi n al l FAA organizations . Administrato r

Pag e 7APPENDI X I HUMA N FACTOR S STUD Y AREA S 1 . Allocatio n o f

Function : Assignin g thos e roles/functions/task s fo r whic hth e huma n o r equipmen t

perform s bette r

whil e enabhn g th e human t o maintai n awarenes s o f th e operationa l situation . 2 . Antfaropometric s an dBiomechanics : Accommodatin g th e physica l attribute s o f it s use r populatio n (e.g. , fromth e 1st throug h99t hpercentil e levels) . 3 . CH I (Computer-Hoina ainteraction) : Employin g effectiv e an dconsisten t use r dialogues , interfaces , an dprocedure s acros s syste mfimctions . 4 . Communication s an dTeamwork : Applyin g syste mdesig n cotisideration s t o enhanc e require duse r

communication s an dteamwork . 5 . Culture : Addressin g th e organizationa l an dsociologica l environmen t int o whic han y change , includin g ne w technologie s an dprocedures , wil l b e introduced . 6 . Display s an dControls : Designin g an darrangin g display s an dcontrol s t o b e consisten t with th e operator' s an dmaintainer' s task s an dactions . 7 . Documentation : Preparin g use r documentatio n an dteclmica l manual s i n asuitabl e format

o f informatio n presentation , a t th e appropriat e readin g level , an dwithth e require ddegre e o f technica l sophisticatio n an dclarify . 8 . Environment : Accommodatin g environmenta l factor s (includin g extremes ) t o whic hth e syste mwil l N : subjecte dan dunderstandin g th e associate deffect s o n human-syste m performance . 9 . Functiona l Design : Applyin g human-centere ddesig n for usabilit y an dcompatibilit y wit h operati<maI an dmaintenanc e concepts . 10 . Huma n Error : Examinin g desig n an dcontextua l condition s (includin g supervisor y an d orgaiuzationa l influences ) a s causa l factors contributin g t o huma n error , an dconsideratio n o f objective s fo r

erro r tolerance , erro r

prevention , an derro r

correction/recovery . 11 . Informatio n Presentation : Enhancin g operato r an dmaintaine r

performanc e throug hth e us e o f effectiv e an dconsisten t

labels , symbols , colors , terms, acronyms , abbreviations , formats , an d dat afields. 12 . Informatio n Requirements : Ensurin g th e availabilit y an dusabilit y o f informatio n neede db y th e operato r

an dmaintaine r

for aspecifi c tas k

whe n i t i s needed , an di n afor

mtha t i s directl y usable , i 3 . I/ O Devices : Selectin g inpu t an doutpu t

(I/O ) method s an ddevice s tha t allo w operator s o r maintaincr s t o performtasks , especiall y critica l tasks , quickl y an daccurately . 14 . KSA s (Knowledge , Skills , Abilities) : Measurin g th e knowledge , skills , an dabilitie s (KSAs ) requiredt o perfor mjob-relate dtasks , an ddeterminin g appropriat e selectio n requirement s for users . 15 . Operationa l Suitability' : Ensurin g that th e syste mappropriatel y support s th e use r i n performin g intende dfunction s whil e maintainin g interoperabilit y an dconsistenc y wit hothe r syste melement s o r

suppor t systems . 16 . Procedures : Designin g operatio n an dmaintenanc e procedure s fo r simplicity , consistency , an d cas e o f use . 17 . Safet y an dHealth : Preventing/reducin g operato r an dmaintaine r

exposur e t o safet y an dhealth hazards . 18 . Situationa l Awareness : Enablin g operator s o r maintainer s t o perceiv e an dunderstan d Pag e 8element s o f th e curren t

situation , an dprojec t

the mt o futur e operationa l situations . 19 . Specia l Skill s an dTools : Minimizin g th e nee dfo r specia l o r

uniqu e operato r

o r maintaine r skills , abilities , tools , o r

characteristics . 20 . Staffing : Accommodatin g constraint s an defficiencie s fo r staffin g level s an dorganizationa l structures . 21 . Trainiag : Applyin g method s t o enhanc e operato r o r maintaine r

acquisitio n o f

th e knowledg e an dskill s neede dt o interfac e wit hth e system , an ddesignin g tha i syste ms o tha t thes e skill s ar e easil y learne dan dretained. 22 . Visual/Aoditorj ' Al«rts : Designin g visua l an dauditor y alert s (includin g erro r messages ) t o invok e th e necessar y operato r an dmaintaine r

response . 23 . Workload : Assessin g th e ne t demand s o r

impact s upo n th e physical , cognitive , an ddecision

makin g resource s o f

a n operato r

o r maintaine r

usin g objectiv e an dsubjectiv e performanc e measures . 24 . Wor k

Space : Desigrtin g adequat e wor k spac e fo r

personne l an dthei r

tool s o r equipment , an d providin g sufficien t

spac e fo r

th e movement s an daction s tha t personne l perfor mdurin g operationa l an dmaintenanc e task s unde r normal , adverse , an demergenc y conditions .

Pag e 9APPENDI X 2 DEFINTION S Huma n Factor s Engineering . Huma n factor s engineerin g entail s th e applicatio n o f huma n factors consitferation s concurren t withothe r

engineerin g disciphrje s durin g th e analysis , design , development , testing, an dfielding o f

asystem , service , o r

facility i n whic hhuman performanc e i s essentia l i n meetin g safc ^ an dcapability objectives . Huma n Factor s Research . Huma n factor s researc hentail s th e scientifi c acquisitio n o f informatio n abou t human capabilitie s an dlimitation s relatedt o hardware , software , facilities, iwocedures , jobs , cwganizations , envirxmroents , training , staffing , errors , situational awareness , workload , personne l management , decisio n support tools , an doihc r

perfonnanc e implication s i n whic hth e huma n i s a compOTien

t i n meetin g safety an dcapabilit y objectives . Human-Centered . Th e concep t an dstructure dproces s o f concep t an drequirement s definition , design , development , an dimplementatio n tha t identifie s th e use r

a s th e focal poin t

o f di e effort fo r whic hprocedures , equipment , facilities , an dothe r component s serv e t o suppor t huma n capabilitie s an dcompensat e fo r

huma n limitations ; sometime s als o calle d"user-centered. " Human-Syste mintegration . Th e concep t an dprocesse s associate dwithoptimizin g tota l syste m performanc e vi afull y incorporatin g huma n factor s consideration s (includin g manpowe r levels , personne l attributes , training , safet y an doccupationa l health , ergonomic s an dhuma n engineering ) i n progra mdefmition , analysis , design , development , testing , an dimplementation . OM B Exhibi t

30 0 Requirements . Th e analyses , information , an ddocumentatio n associate dwith OM B Circula r

11 , Part 7 , Exhibi t

30 0 requirement s an dal l attachment s necessar y t o initiate , baseline , develop , an dmanag e aprogra meffectivel y an defficiently . Syste mAcquisitions . Syste macquisition s encompas s function s relate dt o al l FA A majo r an dnon majo r acquisition s includin g developmenta l items , non-developmenta l items , commercial-off-the

shel f procurements , researc han dtechnica l services , hardwar e an dsoftwar e acquisitions , an d facilities . Syste mOperations . Syste moperation s encompas s al l function s relatedt o th e operation , maintenance , an dregulation o f th e Nationa l Airspac e Syste munde r th e purvie w o f

FAA .

Pag e 1APPENDI X 2 ORGANIZATIONA LCHECKLIS T FO RHUMA N FACTOR S RESEARCH ,

APPLICATIONS , AN D INFRASTRUCTUR E SUPPOR T Th e followin g checkhs t

item s suppor t

th e implementatio n an dcomplianc e wit hthi s orde r Fo r Research : Plan , review, aiK l prioritiz e huma n factor s researchwhic hsupport s th e organization' s needs . Are huma n factor s effort s responsiv e an dsynchronize dt o you r organizationa l need s i

n atimel y basis ? Ar c yo u provide dwit

han adequ^ e strateg y t o conduc t human factors effort s at th e appropriat e locatio n (e.g. , contractor , laboratory) ? Are huma n factor s effort s communicate dan dcoordinate dacros s othe r Research , Engineerin g & Developmen t

effort s an dwithorganization s outsid e th e FAA t o maximiz e leveraging ? Doe s th e prope r

mi x exis t

betwee n short-termv s long-term , in-hous e v s extra-mural , an dcontrac t v s universit y t o satisf

y specifi c human factor s requirements? Ar e mechanism s adequat e t o transfe r an dappl y informatio n generate dfromhuman factor s researc ht o organizaticmal flinctions ? Fo r Applications : Develo p an dinstitutionaliz e forma l mechanism s that

systematicall y incorporat e human factors consideration s int o th e c»^anization' s activities . • Ar e huma n resourc e constraint s an dhuman-syste mperformanc e consideration s identifie dearl y i n organizatio n progra m activities ? Are human resourc e impact s o f th e progra midentified ? D o syste moperationa l perfonnanc e specification s (includin g syste mintegratio n requirements ) conside r huma n factors ? I s human performanc e fo r th e program/projec t

quantitativel y measured ? I s human performanc e an dusabilit y a n explici t ite mi n contract/vendo r

evaluatio n criteri aan d contrac t award ? Hav e analyse s bee n don e an ddat abee n mad e availabl e t o addres s huma n periiwmance ? Doe s use r

involvemen t

i n th e program/projec t

follo w astmctured , performanc e data-drive n strategy ? D o critica l operationa l issue s an dcriteri ai n requirement s an dtestin g reflect huma n performanc e i n operationa l terms ? D o lif e cycl e cost s reflect

tota l hiuna n resourc e commitments ? Ha s th e syste mbee n stresse dt o it s performanc e limit s (incliHlir ^ human-in-the-lo( ^ analysis) ? D o program/projec t

decision s us e human performanc e data ? Arc human perfomianc e issue s an d"lesson s learned " capture dfo r subsequen t

applications ? Fo r Infrastructur e Support : Establis han dmaintai n th e infrastmctur e that provide s th e organizatio n wit hth e necessar y huma n factor s expertis e an dcapabilities . Arc human factor s expert s availabl e arnl involved ? I s ther e appropriat e rqjrcsentatio n an dcoordinatio n o f organizationa l huma n factor s efforts ? I s ther e continuit y o f

human factors effort ? Are ther e adequat e fiind s for require dhuma n factor s tasks ? Arc th e appropriat e human factors tools , techniques , an dtechnica l capabilitie s available ? Doe s trainin g provid e th e prope r leve l o f human factors awareness/understanding ? Pag e 2D o policies , processes , an dprocedure s enhanc e th e consideratio n o f huma n performance ? • Ar c jo b aid s an dpractitione r tool s availabl e t o suppc» t an dappl y huma n factors considerations ? Fo rProgra m Reviews : Are sufficient

huma n factors resource s availabl e t o ensur e th e program' s success ? • I s th e responsibility fo r huma n factor s centrall y directe dfo r coordinatio n an defficiency ? I s human factoi s expertis e integra l t o th e teamdecisio n makin g an dprocesses ? I s human factors integrate dint o syste mengineerin g activities ? Are human factors issue s regulariy raisedan dnssolve di n pnjgram/projec f deliberations , functions , activities , arnl decisi<His ? Are syste mrequirements , specifications , an devaluation s replet e withoperator an dmaintaine r perfwmanc e parameters ?

Pag e 3APPENDI X 3 HUMA N FACTOR S COORDINATIN GCOMMITTE E Th e Huma n Factor s Coordinatin g Committe e shal l continu e i n forc e t o facilitate FA A huma n factor s endeavor s constructivel y an denhanc e th e us e o f huma n factor s information . Compositio n an dfunction s o f th e Huma n Factor s Coordinatin g Committe e ar c a s follows : 1 . Organization . Th e committe e shal l b e organize da s asteerin g an dcoordinatin g bod y tha t i s facilitate db y temporary o r permanen t

subcommittee s o r

workin g group s a s required , 2 . Composition . Th e conunitte c shal l b e sponsore dan dchaire db y th e FA A Huma n Factor s Researc han dEngineerin g Progra mDirector . Th e compositio n o f th e Huma n Factor s Coordinatin g Committe e wil l b e a s deeme dnecessar y t o promot e an dsuppor t th e executio n an dimplementatio n o f huma n factor s bes t

practice s withi n th e FA A an dt o ensur c th e bes t

interest s o f

th e govertuncnt . Unde r tl w provision s o f

Paragrap h1 1 (Responsibilities ) o f

thi s order , candidat e organization s shal l eac hdesignat e on e membe r (o r mor e i f necessary ) wh o shal l hav e th e authorit y t o represen t tha t organizatio n i n huma n factor s matters . A recordin g secretar y shal l b e appointe db y th e committe e for th e purpos e o f

preparin g minute s o f

th e meetings . Th e Huma n Factor s Coordinatin g Committe e shal l encourag e participatio n i n it s activitie s b y other s wit hsignifican t huma n factors responsibilities . Candidat e organization s include :

- Ai r Traffi c Organizatio n Servic e Area s

- Associat e Administrato r fo r Aviatio n Safety

- Associat e Administrato r for Airport s

- Associat e Administrato r fo r Commercia l Spac e Transportatio n

- Assistan t

Administrato r

fo r Informatio n Service s

- Assistan t

Administrato r

fo r Regio n an dCente r

Operation s

- Researc hDevelopmen t & Huma n Factor s Laboratory , Willia mJ . Hughe s Technica l Cente r

- Huma n Resource s Researc hDivision , Civi l Aeromcdica l Institute , Offic e o f Aerospac e Medicin e

- Aeromedica l Researc hDivision , Civi l Aeromcdica l Institute , Offic e o f Aerospac e Medicin e 3 . Functions . Th e Human Factor s Coordinatin g Committe e shal l fiinctio n a s a n intra-FA A committe e t o coordinat e huma n factors information , matters , an dactivitie s amon g th e executives , associat e administrators , an dassistan t administrator s an dthei r organizations . Specifi c fixnction s o f th e Hiuna n Factor s Coordinatin g Committe e ar e to : a . Enhanc e th e identificatio n o f huma n factor s researc hrequirement s an dth e coordinatio n o f

researc hresults ; b . Foste r

th e disseminatio n an dexchang e o f huma n factor s informatio n amou g agenc y organizations ; Pag e 4c . Facilitat e th e integratio n o f huma n factor s int o procedur e development , syste mperformanc e evaluation , rulemaking , syste macquisitions , an dothe r activitie s withi n th e agency ; d

- Identif

y th e nee dfor

change s t o existin g policies , processes , researc h programs , regulations , o r othe r huma n factors-relate dactivitie s an dprograms ; an d e . Monito r

th e efficac y o f

huma n factor s effort s an dprogram s withi n FAA . 4 . Administration . Th e HFC C shal l develo p interna l operatin g procedure s tha t defin e th e frequenc y o f

meetings , th e structur e an drelationship o f workin g group s an d subcommittees , an dth e processe s an dprocedure s b y whic hit s activitie s ar e t o b e carrie d out . 5 . Responsibilities . a . Th e Chairperson . Th e chairperso n shal l b e responsibl e for : (1 ) Ensurin g tha t

th e fimction s o f

th e committe e ar c accomplished ; (2 ) Establishin g agenda , schedules , an dlocation s fo r meetings ; (3 ) Reviewin g committe e documentatio n prio r t o publicatio n o r distribution ; and ,

(4 ) Ensurin g appropriat e representation, organization , documentation , an dadministratio n t o su|^x)r t th e committee . b . Committe e Members . Committe e member s shal l b e responsibl e fo r (1 ) Supportin g subcommittees , workin g groups , an dothe r mean s o f coordinatin g huma n factoi s progra mactivitie s withi n an dacros s thei r organizations ; (2 ) Supportin g thei r

respectiv e huma n factor s researc han d engineerin g program s withi n thei r organizations ; (3 ) Monitorin g thei r resf)ectiv e huma n factor s researchrequirement s developmen t

processe s withi n thei r

organizations ; (4 ) Providin g information , briefings , an ddocumentatio n t o th e committe e o n huma n factor s matter s withi n thei r organizations ; (5 ) Attendin g committe e meeting s o r designatin g an alternat e i f attendanc e i s no t

possible ; an d Pag e 5

### (6 ) Participatin g i n committe e andothe r

activitie s sucha s workshops , seminars , an

dhuma n factor s researc handengineerin g progra mreviews, a s appropriate .

Pag e 6