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U.S. Department of Transportation **Federal A**

**viation Ad**  **ministration** 

# Advisory

**Circular**

**Subject:** Air Carrier Pilot Mentoring **Date:** DRAFT **Initiated By:** AFS - 200 **AC No:** Mentor

1 **PURPOSE .**  The Federal Aviation Administration (FAA) is seeking comment on this draft advisory

circular (AC) which provides information and guidance on the Notice of Proposed Rulemaking (NPRM) Pilot Professional Development, which was published for comment on {INSERT DATE OF PUBLICATION IN FEDERAL REGI STER}.This draft AC presents guidelines for developing and implementing mentoring training for pilots in command (PI C). This draft AC also presents guidelines for implementing a Pilot Professional Development Committee ( PPDC) to develop, administer, and oversee a formal pilot mentoring program. These guidelines apply to certificate holders conducting operations under Title 14 of the Code of Federal Regulations (14 CFR) part 121. This AC presents one way , but not necessari ly the onl y way , that certificate holders may compl y with the mentoring training requirements proposed in 14 CFR part 121, subpart N and the PPDC requirements proposed in § 121.17 . 2 **RELATED REGULATIONS.** The following proposed sections of 14 CFR part 121, s ubpart A and N can be located in the docket for the NPRM Pilot Professional Development.  121.17 Pilot Professional Development Committee  121.419 Pilots and flight engineers: Initial, transition, and conversion ground training and before [24 MONTHS AFTER EFFECTIVE DATE OF FINAL RULE], upgrade ground training  121.420 Pilots: Upgrade ground training  121.427 Recurrent training  121.429 Pilots in command: L eadership and command and mentoring trainingPage **2** of **8**

3 **RELATED REFERENCES**  Designing Workplace Mentoring Programs: An Evidence - Based Approach Tammy D. Allen, L isa M. Finkelstein, and Mark L. Poteet  Managers as Mentors: Building Partnerships for Learning Chip R. Bell and Marshall Goldsmith 4 **BACKGROUND** 4.1 **Accidents** 4.1.1 On October 14, 2004, a Pinnacle Airlines Bombardier CL - 600 - 2B19, operating as Northwest Airlink flight 3701, crashed into a residential area about 2.5 miles from the Jefferson City

Memorial Airport, Jefferson City , Missouri. During the flight, both engines flamed out after a pilot - induced aerodynamic stall and were unable to be restarted. Both pilots were killed and the airplane was destro yed. The N ational T ransportation S afety B oard (NTSB) determined the pilots’ unprofessional behavior, deviation from stan dard operating procedures, failure to prepare for an emergency landing in a timel y manner, and improper management of the double engine failure checklist contributed to the accident . 4.1.2 On February

12, 2009, a Colgan Air Bombardier DHC - 8 - 400 , operating as Continental Connection flight 3407, crashed about 5 nautical miles northeast of the Buffalo -Niagara International Airport while on an instrument approach. The 4 crewmembers, 45 passengers, and 1 person on the ground were killed and the airplane was destroyed by impact forces and a post - crash fire. The NTSB determined that the pilots’ failure to adhere to sterile cockpit procedures and the PIC’s failure to effectively manage the flight contributed to the accident. The Colgan Air accident focused public and Congressional attention on multiple aspects of existing air carrier training requirements, including whether pilots have access to individuals, such as more experienced pilots, who could serve as mentors . 4.2 **The Airline Safety and Federal Aviation Administration Extension Act.**  On August 1, 2010, the President signed the Airline Safety and Federal Aviation Administration Extension Act of 2010 (Public L aw 111 - 216). Section 206 of Public L aw 111 - 216 directed the FAA to convene an aviation rulemaking committee (ARC) to develop procedures for each part 121 air carrier pertaining to mentoring, professional development, and leadership and command training for pilots serving in part 121 operations and to i ssue a NPRM based on the ARC recommendations. 4.3 **Flight Crewmember Mentoring, Leadership, and Professional Development Aviation Rulemaking Committee.**  In accordance with § 206 of Public L aw 111 - 216 , the FAA chartered the Flight C rewm ember Mentoring, Leadership , and Professional Development Aviation Rulemaking Committee ( MLP ARC ).Page **3** of **8**

4.3.1 Membership. The MLP ARC membership consisted of representatives from the Air Line Pilots Association (ALPA), Air Transport Association (ATA) (now known as Airlines for America), Coalit ion of Airline Pilots Associations (CAPA), National Air Carrier Association (NACA), National Association of Flight Instructors (NAFI), Regional Airline Association (RAA), and the University Aviation Association (UAA ). 4.3.2 Recommendations. The Administrator tas ked the MLP ARC with developing recommendations to submit to the FAA for rulemaking consideration. Specificall y the MLP ARC considered and addressed the topics as required by § 206 (a)(1) of Pub lic L aw 111 - 216 and as specified in the ARC charter . The MLP ARC recommended the creation of a mentoring environment by training all PI Cs in mentoring skills. The MLP ARC also recommended the creation of a Professional Development Steering Committee to develop, administer and oversee a formal pilot mentoring program . 4.4 **Pilot Professional Development NPRM.** The NPRM is the culmination of the FAA’s anal ys is of (1) the rulemaking requirements of § 206 of Public L aw 111 - 216; (2) the recommendations provided by the MLP ARC, the Flightcrew Member Training Hours Requirement Re view ARC, and the Air Carrier Safety and Pilot Training ARC; (3) the part 121 pilot qualification and experience requirements provided in the Pilot Certification and Qualification Requirements for Air Carrier Operations final rule; (4) the Qualification, S ervice, and Use of Crewmembers and Aircraft Dispatchers final rule, and (5) the current part 121 PI C role and responsibilities. This comprehensive anal ys is resulted in this proposal that furthers the FAA’s safety mission, satisfies the requirement for rule making and accounts for the recent changes to pilot certification and qualifications to serve as a PIC in part 121 operations. The FAA believes that this proposed rule can be effectively implemented b y air carriers and would mitigate unprofessional pilot behavior which would reduce pilot errors that can lead to a catastrophic event. 5 **PILOT IN COMMAND MEN TORING TRAINING**  **.** The FAA proposes to require training on mentoring skills for all PI Cs serving in part 121 operations to establish the mentoring environment recommended b y the MLP ARC. The proposed mentoring training would include techniques for instilling and reinforcing the highest standards of technical performance, airmanship, and professionalism in newly employed pilots. This training will be included in the PI C upgrade curriculum, PI C initial curriculum and PI C recurrent ground training. Further, all current PI Cs will be required to complete one time training on mentoring skills. The following are suggested topics for PI C mentoring training. Each air carrier should tailor these topics to their specific organizational culture and operations . 5.1 **Definition of mentoring.** There are man y definitions of mentoring currently in use throughout various professions. In a broad sense, mentoring consists of a more experienced individual (the mentor), offering advice, encouragement, guidance, and support to a less experienced individual (the protégé). A mentor or protégé may seek out a specific mentor/protégé pairing. Alternatively, mentor/protégé pairings may occurPage **4** of **8**

on an ad hoc basis based on factors such as scheduling or availability . Mentoring involves career support and development, psychosocial support, and role modeling. 5.2 **Objectives.** T he objectives of mentoring should be developed based on the organizational needs of the air carrier. General objectives are to improv e employee knowledge, skills, abilities, and competence . Additional benefits could include improving pilot professionalism and skill building which could enhanc e crew reso urce management, pilot decision - maki ng, and interactions with other employees and customers . 5.3 **Role of a mentor and developing mentoring skills.** The role of the mentor will be influenced b y the specific objectives of mentoring at the air carrier. Effective mentoring skills include, but are not limited to:  Good listening and effective communication skills;  Being approachable and responsive to protégés;  Credibility

and integrit y;  Empathy

and patience. Remembering your own experiences as a newl y employed pilot can help to develop empathy for a pro tégé; and  T echnical expertise and job - related knowledge . 5.4 **Structure and boundaries for the mentor**  **- protégé relationship**  . An air carrier should clearl y describe the following:  Expectations regarding the confidentiality of discussions between a mentor and prot égé; and  When or if a mentor should share information about a protégé with management. 5.5 **Communication considerations.** A mentor should have a willingness to share their knowledge with a protégé in a supportive and encouraging manner. A mentor must be honest, but not overly

critical when providing feedback to a protégé. Consideration should be given to the format in which contact is made, the frequency of contacts, as well as the ty

pes of topics that may

be covered. An air carrier may want to define the format s for those contacts (e.g., in person, telephone, e - mail, video conferencing or other electronic means. 5.6 **Practical exercises.** Pr actical exercises should focus on improving positive mentoring experiences and avoiding negative mentoring experiences. R ole - playing exercises allow a mentor to practice interacting with a protégé under situations that might occur on the job. The following are ex ample s of role - playing exercises. 5.6.1 Ex ample 1: Professionalism - The protégé makes an announcement of potential turbulence to the passengers. The announcement is made in such a manner that many of the passengers are upset. The mentor must counsel the protégé regarding the properPage **5** of **8**

manner for making s uch announcements, with care not to be too negative toward the protégé but still effectively making the point . 5.6.2 Ex ample 2: Resolving interpersonal problems

– The protégé complains to the mentor about another PI C . The mentor must counsel the protégé in such a way as to not disparage the other co - worker, blame the protégé unjustly , and potentially reach a positive resolution to the problem 6 **CREDIT FOR PREVIOUS MENTORING TRAINING.**  The Pilot Professional Development NPRM proposes to allow credit toward all or part of the requirements for mentoring training for current PI Cs. The credit must be based on mentoring training previously

completed with that air carrier prior to the effective date of the final rule . 6.1 **Request Process.** An air carrier who has voluntarily prov ided mentoring training to PI Cs make seek credit for all or part of the requirements for mentoring training for current PICs. To seek credit, an air carrier should submit the following information to the principal operations inspector (POI) for review:  Outline of the training module(s) for mentoring training with sufficient detail to determine if some, or all, of the principal elements, as outlined in paragraph 5 of this AC, were included;  Description of the training aids, devices, methods and procedures used during mentoring training; and  Description of the recordkeeping method used b y the air carrier to determine if each PI C has completed all or part the requirements of mentoring training. 6.2 **POI Evaluation Process.** To determine whether credit should be granted, the POI will conduct an evaluation of the information submitted. The POI will consider the training aids, devices, methods and procedures as well as the content of the training module as compared to the guidelines presented in this AC. A POI may request additional supporting information, such as courseware, lesson plans, or instructor guides, if necessary for a thorough evaluation. 6.3 **Notification Process.** After completing the evaluation, the POIwill notify the air carrier b y letter whether credit toward all or part of the requirements for mentoring training is granted. 6.4 **Recordkeeping.** If credit is granted, in accordance with § 121.683, the air carrier must enter a record into the recordkeeping s ys tem for each PI C. The record must document the credit granted to meet all or part of the requirements of proposed § 121.429. The record should reference the letter provided b y the POI . 7 **PILOT PROFESSIONAL D EVELOPMENT COMMITTEE**  **(PPDC).** The FAA proposes to require certificate holders conducting operations under par t 121 to establishPage **6** of **8**

and maintain a PPDC to develop, administer and oversee a formal pilot mentoring program. The FAA believes that formal pilot mentoring programs at each air carrier will realize the most benefit by including the perspective and participati on of both the air carrier’s management and its pilots. Therefore, an air carrier may take advantage of existing labor - management collaborative initiatives and incorporate the PPDC into an existing committee structure . 7.1 **Membership.** The PPDC membership will vary among air carriers, but must consist of at least one management representative and at least one representative of the air carrier’s pilots. Based on the size and organizational structure of the air carrier and the design of the formal pilot mentoring program, the PPDC may determine that additional members are needed. At least one management representative must have the following qualifications:  At least one year experience serving as a PIC in part 121 operations. The person may have gained this experie nce at the current air carrier or at a previous air carrier; and  Qualified through training, experience, and expertise relevant to the PPDC responsibilities. 7.2 **Meetings.** The PPDC must meet on a regular basis; however the frequency of meetings will vary among air carriers. Based on the size and organizational structure of the air carrier and the design of the formal pilot mentoring program, the PPDC must meet frequentl y enough to accomplish the objectives. To be effective, the FAA expects the PPDC to meet at l east once a ye ar. 7.3 **Formal Pilot Mentoring Program.** One formal pilot mentoring program design will not fit every

air carrier. Therefore, the size and scale of the formal pilot mentoring program will vary

among air carriers and will be determined by each PPDC based on the needs and objectives at that air carrier. 7.3.1 Factors. Each PPDC will need to consider the attributes of the air carrier to design a formal pilot mentoring program. The factors a PPDC should consider include, but are not limited to, the following . 7.3.1.1 Size and scope of operations.

 Number of pilots and locations of domiciles;  Ty pes and numbers of airplanes;  Kind of operations (i.e., domestic, flag, and supplemental);  Ty pe of operations such as passenger - carrying and cargo - onl y; and  Areas of operations such as worldwide, North America, specific geographic areas (e.g., Alaska, Hawaii, Caribbean Sea), or multiple geographic areas.Page **7** of **8**

7.3.1.2 Unique organizational culture. 7.3.1.3 Hiring and advancement practices. For example, new - hire pilots’ previous

experience in part 121 operations or lack of experience in part 121 operations may

impact the design. 7.3.1.4 Labor union agreements. A PPDC may need to consider existing labor union agreements. 7.3.2 Development. After considering the various factors, the PPDC will need to develop the form al pilot mentoring program. Issues a PPDC should consider include, but are not limited to, the following. 1. What are the objectives of the program? 2. Will the program have a formal or informal structure? With a formal structure, the committee may

determine who can participate, the length of participation, the specific pairing of mentors to protégés, and the specific methods of mentoring. Whereas, with an informal structure mentors and protégés would independently pursue a mentor - protégé relationship, if desired . 3. Will mentors share information on protégés with supervisors and management? I f information will be shared, the PPDC should provide guidelines to the mentors and protégés regarding the types of information that may be shared. 4. Who are the protégés? Possible protégés may include all new - hire pilots, newly upgraded PICs, or select groups of new - hire pilots (e.g., pilots with no previous part 121 experience). 5. Is protégé participation mandatory or voluntary? 6. Will mentors and protégés be formall y paired b y the PPDC? If so, are there specific criteria for mentors and will the mentors be screened by the PPDC? Or will protégés seek out their own mentor and notify the PPDC? 7. Will the PPDC require a minimum number or frequency of meetings between the mentor and protégé? Or will the mentor and protégé decide together? 8. Will the PPDC determine the format(s) of meetings (e.g., in person, e - mail, telephone, video conferencing)? Or will the mentor and protégé determine the format(s) that are most effective for them? 9. Wi ll the PPDC determine the length of participation by the protégé? Or will the mentor and protégé make this determination together? 7.3.3 Administration. Once the formal pilot mentoring program has been developed, the PPDC will begin to administer the program. Issues a PPDC should consider include, but are not limited to, the following. 1. How will the air carrier’s pilots be notified of the program? 2. Will th e PPDC intervene if there are problems between a mentor and protégé?Page **8** of **8**

3. Are the mentors and protégé required to provide feedback on the mentoring program to the PPDC? 4. What method(s) will be used to provide feedback to the PPDC (e.g., written or electronic sur

vey s, in person or telephone interviews by the PPDC with the mentor and/or protégé)? 5. How frequently

will feedback on the mentoring program be collected by the PPDC? 7.3.4 Oversight. PPDC oversight of the formal pilot mentoring program will be ongoing. Issues a P PDC should consider include, but are not limited to, the following. 1. How frequently

will the PPDC review feedback on the mentoring program to determine if the program is meeting the objectives (e.g., annuall y or semi - annually)? 2. If the mentoring program is n ot meeting the objectives, what is the best method to improve the mentoring program? (For example, the PPDC could recommend a change to the mentoring training that the air carrier provides to all PI Cs.) 3. Have the factors changed over time necessitating a ch ange in the design of the program? (For example, an air carrier changes hiring practices to require all new hire pilots to have previous experience in part 121 operations.) Director, Flight Standards Service