DATA ARCHITECTURE
FORM CONTENTS
Accident Investigation
8025-2
Accident Alert
AIDS Database
ASRS Database
Autopsy Bill
Autopsy Report
Bill for Tox-Box
CAIS Airman Database
Key Accident Tracking Info
NTSB Autopsy Request
NTSB Database
Pilot Deviations Database
Pilot/Aircrew Medical Data
Tox-Box Chain of Custody Form
Tox-Box Alert
Tox Results
Miscellaneous
72 Hour History
Accident File Contents
Aircraft Accident Data Transmittal
Aircraft Engine Analysis
FAA Pilot Records - OKC
Forensic Toxicology Fatal Accident Report
Human Factor Checklist
NTSB Factual Report
NTSB Passenger Statement
NTSB Record of Visit/Conference/Phone Call
NTSB Receipt of Aircraft Parts
NTSB Release of Aircraft Wreckage
NTSB Statement of Witness
Record of Diligent Search
Report of Toxicological Examination
Statement of Party Representatives
Aeromedical Certification
8500-8
Airman Med File
AME Warning
Background Check Request
Background Check Results
Case Summary
Case Support Request
Certification Recommendations
Consultant Bill
Consultant Data
Consultant Payment Authorization
Denial Letter
Driving Records
EIR Report
EKG
Eligibility Letter
Field Change List
File Request
Legal Actions
Medical Certificate
More Information Request
NDR Report
Panel Transcript
Pilot/Aircrew Medical Data
Problem 8500-8 Report
SITS
Waiver
Miscellaneous
Airman Worksheet
Authorization for Release of Medical Information
Certificate Surrendered Memo
Certification Activity Tracking form
Enforcement Investigation System Screens (EIS Screens)
FAA National EKG Network Database
Request for Airman Medical Records (FAA 8065-2)
Special Issuance (Appeals) Worksheet
Special Issuance (Recertification) Worksheet
Special Issuance Letters
Special Medical Flight Test Report (FAA 8500-13)
Aeromedical Education Program
3000-13
31501
31507
31508
AME Directory
Availability / Bid
Chamber Consent Form
Chamber Questionnaire
Consent Form Memo
Course Evaluation
Course Proposal
Pilot Training Record
Purchase Order
Purchase Request
Reservations
Seminar Facility Bill
Seminar Invitation
Seminar Postcard
Seminar Roster
Seminar Schedule
Seminar Sign-In Sheet
Seminar Support Materials
SF-182
Speaker
Speaker Bill
Technical Training Call Form
Training Confirmation Form
Training Confirmation Letter
Training Course Worksheet
Training Registration Form
Travel Expense Sheets
Travel Orders
Travel Vouchers
True Need Training Document
Waiting List Schedule
Miscellaneous
CTTMS Reports
Seminar Confirmation to AME
Supply Requisition
Aviation Drug Abatement Program
Anti-Drug Plan
Congressional Inquiries
FAA ASF Hotline
Final Schedule
Inspection Checklist
Letter of Correction
Letter of Investigation
List of Entities
List of Laboratories
Master Schedule
Policy Interpretation
Request for Further Action
Request for Further Information
Semi-Annual Report
Miscellaneous
Summary Report
Aviation Medical Examiner Program
8500-8
8520-2D
AME Designation Request
AME Questionnaire
AME Statistics
AME Warning
Basic AME Data
Delinquent AMEs
Designation Card
Field Change List
Professional Standing
Request for Field Change
Seminar Postcard
Seminar Roster
Seminar Schedule
Term of Designation Letter
Miscellaneous
Aircraft Accident Investigation Questionnaire
AME Ancillary File (AAM-410)
AME Applicant - File Summary
AME Designation Letter
AME Program Weekly Activity Report
AME Complaint
AME Database Screens (AWP-300)
AME Database Screens (AEA-300)
AME Database Screens and File Structure
AME De-Designation Postponed/Terminated Letter (Error Rate)
AME De-Designation Letter (Failure to Attend Seminar)
AME De-Designation Postponed/Terminated Letter (Seminar
Attendance)
AME De-Designation Postponed/Terminated Letter (Insufficient
Exams)
AME File (Regional)
AME Regional Transfer Re-Designation Letter
AME Seminar Warning Letter
AME Status Change memo
AME System Screens
Applicant Letter
Aviation Medical Examiner Forms Request
Checklist for AME Workshops
Daily Work Sheet
Designation Acceptance Letter
Informal Contract
No-Need Letter
Request For Speaker
Senior AME Designation Letter
Senior AME Equipment Requirement Letter
Covered Positions Program
3900-7
8500-8
Airman Med File
Allergy Form
Allergy Questionnaire
Applicant Information
Applicant Medical Update
Bill for Exam
Employee Clearance Form
Flight Surgeon's Activity Report
Opinion of OWCP Claim
OWCP Claim
Physical Authorization
Report of Investigation
Request for Exam
ROI Action Report
Schedule of Exams
STMT of Demonstrated Ability
Miscellaneous
Air Traffic Controller Health Program Report (Special
Consideration/Disqualification)
ATCS Health Program Medical Questionnaire (AEA 9430-1)
Clearance Processing Sheet
Diabetes Mellitus Status Report
HIS System Screens
Ophthalmological Evaluation for Glaucoma (FAA 8500-14)
Qualification Decision
Report of Eye Evaluation (FAA 8500-7)
Special Medical Consultation (EA 9430-2)
Employee Substance Abuse
Chain of Custody Form
EAP Recommended Rehab
Follow-up Worksheet
Letter of Medical Decertif
Letter of Re-Qualification
Specification of Rehab Program
Substance Abuse Evaluation
Successful Completion of Rehab
Miscellaneous
End of One Year Follow-on to Rehabilitation
Letter Stating Positive
Non-compliance With Rehabilitation Program
Return to Duty Substance Abuse Follow-up Plan, Delinquency
Occupational Health
8500-8
Auth for Exam/Treatment
Chamber Consent Form
Daily Clinic Patient Record
Education and Screening Results
Hearing Conservation PGM Form
List of Physical Exams Required
Manager Authorization
Medical Record Transmittal
National HAP Report
Physical Form
Quarterly HAP Report
Radiologic Consultation REQ / RPT
Release of Information
SF52
SF600
Miscellaneous
Air Traffic Status Report Form
Attending Physician's Report
Clinical Subsystem
HIS Data Collection Form
Hypertension Status Report
Medical Exam Authorization
Patient file - Aftercare Instructions
Patient file - Medical Forms
Patient file - OWCP Forms
Patient file - Specifications
Unsatisfactory Condition Report
Research
MNS/RPI
Progress Report
Task Forms
Task Specific RPIs
Resource Management
Analysis of Estimate/Issue Paper/FAA BGT
Analy of PGM by Subobject Class
Change of Station Report
Contract Status Report
Cost Center Detailed TXN Listing
Cost Center Funds Status Report
Evaluation Follow-up Report
FAA Auth ∧ Invoice for MED SVC
FAA Budgetary Authorization
Flt Surgeon's Monthly Activity RPT
Fund Increases Summary
FY Allowances
FY Financial and Employment Plan
Medical PGM Evaluation
Monthly Activity Report
Open Document Listing
OPM Form 1170
Performance Appraisal Form
Program/Site Evaluation Report
Quarterly Review
Quarterly Summary
Regional Budget INC Paper
SF171
SF50
SF52
SF85
SF86
Significant Activities Report
Vacancies
Workload Information
Miscellaneous
AAM Budget Status Report
Biweekly Employee Data
Checklist
Travel Advances Outstanding
Accident Investigation
8025-2
The 8025-3 (Aircraft Accident Medical Information) form is
completed at the scene of the accident. Information on the form
includes the date, time, and location of the accident; the type
of aircraft, make and model; the number of persons on-board; the
number of fatalities; pilot information; the position of the
bodies on impact; and the damage done to the seats or restraint
systems. It is completed by either AAM personnel or Flight
Standards personnel and submitted to the Accident Investigation
Data Collector.
Accident Alert
Aviation Bulletins are read on a daily basis to keep abreast of
accidents and incidents. The bulletin contains the date, time,
and location of fatal and non-fatal aircraft accidents/incidents.
Toxicology personnel collect this bulletin in order to prepare
files for accident investigation activities. The Medical
Accident Investigation section is also informed of aircraft
accidents through teletype Aviation Bulletins and/or a formal
notification.
AIDS Database
The Accident/Incident Database System (AIDS) contains data for
general aviation accidents and incidents, air carrier incidents,
and air carrier accidents. Pertinent information includes:
accident/incident locations and time, pilot data including
certification code and age, flight hours, aircraft data,
investigation and remedial actions, fatalities and injuries,
causes and factors, and weather conditions. AIDS is maintained
at the FAA Aviation Standards Office in Oklahoma City.
ASRS Database
The Aviation Safety Reporting System (ASRS) is a database of ASRS
forms that have been submitted voluntarily by pilots, aircrew,
air traffic control employees, or any of the Armed forces
agencies. The information contained in an ASRS report details
all relevant data involving any flight incident in any region in
the National Airspace System. The database provides a service
for searching for specific information found in ASRS Reports and
is maintained by the Battelle Co. of California. All information
and statistics derived from the ASRS Database cannot be
considered totally accurate because all information in the
database is obtained on a totally voluntary basis.
Autopsy Bill
The autopsy bill is submitted by the coroner to the region along
with the autopsy report. The bill contains the name and amount
of the bill along with the coroner/medical examiner's name and
address. The autopsy report and bill are sent at the same time.
Autopsy Report
The autopsy report is submitted by the coroner/medical examiner
to the investigating office, the FAA and/or NTSB. An autopsy is
performed on the pilot(s) and other pertinent personnel. AAM is
interested in whether there is a medical, pharmaceutical, or
human performance reason for the accident's occurrence. The
autopsy report includes data on the pilot's age, sex, and any
medical findings which might relate to the cause of the accident.
The autopsy report and bill are sent at the same time.
Bill for Tox-Box
The bill which is received with the tox-box is sent to accounting
for payment.
CAIS Airman Database
The CAIS Airman Database includes information regarding the
flight certification of pilots and the medical status of those
pilots. The data found in the Airman Database is supplied by the
Office of Flight Safety and resides as a component of the
Consolidated Database.
Key Accident Tracking Info
Key accident tracking data is taken from the 8025-3 and, in the
Great Lakes Region, entered into a spread sheet. Spreadsheet
data includes the date of the accident, the location, the pilot's
name, and the number of passengers on-board.
NTSB Autopsy Request
The National Transportation Safety Board (NTSB) requires that an
autopsy be performed when a cockpit aircrew fatality occurs.
This request can either be a written request or a verbal request
to the local Coroner/Medical Examiner. The NTSB Autopsy Request
(Authorization), NTSB form 6120.13, is the written request. If a
Flight Standards person is part of the Accident Investigation
team, that person makes the request. Otherwise, any other member
of the team can make the request.
NTSB Database
The NTSB Accident Records Database contains information derived
from accidents investigated by the NTSB. Information contained
in the database includes pilot information, accident/incident
information, weather conditions, aircrew and pilot information,
and aircraft information. The database is maintained in
Washington, D. C.
Pilot Deviations Database
The Pilot Deviation System (PDS) contains detailed information on
reported abnormal flight incidents. Information found in the PDS
includes accident/incident descriptions, aircraft involved,
operating phase, weather, flight plan, investigations results,
and pilot information. PDS uses Dbase IV and is maintained by
the Office of Safety Analysis in Washington, D.C.
Pilot/Aircrew Medical Data
Pilot and Aircrew medical information are based on the findings
made as a result of the accident investigation. The accident
investigation team may implications on the pilot's/aircrew's
medical certification.
Tox-Box Chain of Custody Form
The tox-box is sent directly to CAMI. The tox box contains
airman name, instruction sheet, and other pertinent accident
data. It is accompanied with the chain-of-custody form. The
chain-of-custody form records the contacts the box has made in
transmission from accident site to final destination.
Tox-Box Alert
NTSB, the FAA, the Regional Flight Surgeon, Aviation Medical
Examiners, or the Medical Examiner/pathologist may alert CAMI
that a tox-box is coming in to be processed. CAMI can receive
specimens 24 hours a day, 7 days a week. An accident file is
also set up at this time to collect the accident data.
Tox Results
A copy of the toxicology report from the CAMI analysis of the
tox-box is sent to the NTSB and AAI-100. The tox results include
the date and location of the accident, the samples received, and
substances found in the specimens. This data is also filed at
CAMI. The toxicology information is used in the final NTSB
Factual Report.
Miscellaneous
72 Hour History
The checklist is a list of activities performed by the pilot for
the 72 hours preceding the accident. This form is used mostly
for the research purposes of the accident investigation.
Accident File Contents
The Accident File Contents Form names the documents that are
contained in the accident file, indicates the size of the
document, and lists the number of black and white or color photos
that are contained in the document. The total file size (total
number of document pages) is then listed along with the total
number of photographs contained in the file.
Aircraft Accident Data Transmittal
The Aircraft Accident Data Transmittal shows the NTSB and FAA
organizations that have received and subsequently routed the NTSB
Factual Report. The distribution list for the report is pre-
printed on the form along with spaces for the recipient to
initial the form and indicate the date received/routed.
Aircraft Engine Analysis
The Aircraft Engine Analysis is a narrative description of the
state of the engines captured from the aircraft accident. The
engines, fuel system, ignition system, lubrication system, valve
and gear train are described in detail. The analysis concludes
with a summary of the findings.
FAA Pilot Records - OKC
Pilot medical data is taken from his/her CAIS file and includes
the pilot's age, sex, and any medical condition data which might
have contributed to the cause of the accident. This data is used
to determine whether there was a medical reason for the
accident's occurrence.
Forensic Toxicology Fatal Accident Report
The Forensic Toxicology Fatal Accident Report lists the results
of chemical analyses performed on specimens obtained from a fatal
aircraft accident.
Human Factor Checklist
This is a checklist of possible factors which may have led to the
accident's causation.
NTSB Factual Report
This report is a more in-depth report than the preliminary report
submitted by the NTSB. he report contains information in raw
form which can be used to determine human factors and protection
and survival findings.
NTSB Passenger Statement
The data contained on this form is included in the NTSB final
accident report. The passenger statement is taken by the NTSB
for recording purposes.
NTSB Record of Visit/Conference/Phone Call
The NTSB Record of Visit/Conference/Phone Call indicates the type
of interview the NTSB representative had with the witness, the
date the interview occurred, and a brief summary of the witness'
statement. Any conclusions or actions taken/required as a result
of the information obtained from the witness are also listed on
the form.
NTSB Receipt of Aircraft Parts
The NTSB Receipt of Aircraft Parts form identifies the accident,
the specific aircraft parts that are being retained for further
investigation, and the individual to whom the parts should be
returned at the completion of the investigation.
NTSB Release of Aircraft Wreckage
The NTSB Release of Aircraft Wreckage is a release form signed by
the owner of the aircraft parts that are being released into
NTSB's custody.
NTSB Statement of Witness
The NTSB Statement of Witness identifies the accident an
individual witnessed and then lists a narrative description of
exactly what the witness saw and heard before the accident
occurred and at the time the accident occurred.
Record of Diligent Search
The Record of Diligent Search is an affidavit indicating that a
diligent search has been made of the airman medical records
maintained in Oklahoma City to ascertain the medical
certification status of the airman involved in the accident. The
results of the search are stated on the form.
Report of Toxicological Examination
This report lists the specimens that were received and a
discussion of toxins and drugs found therein.
Statement of Party Representatives
The Statement of Party Representatives is an acknowledgement,
signed by all witnesses who have given a written statement, that
their participation in an accident investigation is not at the
request of a claimant or insurer. It also acknowledges that the
witness has read CFR Part 831 that explains NTSB's role in an
accident investigation.
Aeromedical Certification
8500-8
Form used to record the results of airmen physical examinations
and report convictions for alcohol/drug related offenses. This
'form' may be processed using AMCS screens or manually.
Airman Med File
Medical file, maintained at AAM-300's Records Section, that
contains an airman's medical history.
AME Warning
If the AME has made a substantial error and wrongfully certified
an airman, the Airmen Certification reviewer at AAM-300 may send
a letter to notify the AME of the mistake and provide guidance on
proper handling. One of two letters may be sent, based on the
situation: one for incorrect issuance of a Student Pilot
Certificate, because the applicant is under 16 years old, and one
correcting the AME for a grievous error in case handling because
the applicant does not meet FAA standards.
Background Check Request
Request to Regional Security office for a background check on an
airman, reviewing records of conviction.
Background Check Results
Information concerning an airman's driving records and other
records of conviction, similar in nature to the NDR REPORT
provided by AMC-700 to the DUI/DWI Unit.
Case Summary
Basic information taken from the coded 8500-8 which provides a
summary of the current 8500-8/airman in review. This information
appears on the CAIS screen supporting certification.
Case Support Request
Request for medical information and opinion on significance of an
airman's alcohol/substance abuse or other psychological problem.
This is achieved by sending a computer-generated report from
AMC-7 to the DUI/DWI Unit that lists DUI/DWI cases in progress
and summarizes their status. This report requires review by
DUI/DWI personnel in order to discern cases that need
attention/information "bundled" and sent to Legal to support
litigation. The monthly report also provides feedback about
current litigation.
Certification Recommendations
Consultant's opinion on the proper handling and disposition of an
airman's application for a medical certificate. After reviewing
the airman's case, the consultant will return a synopsis of the
airman's condition and recommendations regarding certification,
waivers and conditions. The recommendations are in letter
format.
Consultant Bill
Private physician/consultant bills the FAA for services rendered
in the review and disposition of airmen certification cases.
Consultants are used at CAMI by General Review and Special
Issuances. Consultants who participate in in-house review panels
at CAMI submit an In-house Panel Review Invoice with associated
documentation, such as photocopies of airline ticket invoices and
hotel bills.
Consultant Data
Information describing consultants who perform independent review
of aeromedical certification cases, such as name, address,
specialty, phone number, etc.
Consultant Payment Authorization
Document in memo format that lists consultant bill totals by
consultant and authorizes payment.
Denial Letter
Letters stating that the airman cannot be medically certified as
safe to fly and reasons why. Contains request for surrender of
certificate. Depending on circumstances and the amount of time
that has past since the airman received the medical certificate,
reviewers will send either a 602 Denial or a 609 Failure to
Provide letter. The medical certificate can be revoked/denied
during the first 60 days following issuance (602), but after that
period, legal offices must be involved in order to remove the
certificate from the airman's possession, for failing to provide
information about medical conditions or drug/alcohol related
convictions. The 602 DENIAL and 609 FAILURE TO PROVIDE denial
letters are nested under the "DENIAL LETTER" data flow. They are
stored in the airman's medical file.
Driving Records
Records maintained by the state Department or Registry of Motor
Vehicles concerning traffic violations, infractions or
convictions. The format and content of these records varies by
state. The "DRIVING RECORDS" record is only representative of
the form and content of driving records as they are provided to
OAM. The descriptive information concerning the motor vehicle
operator is necessary in order to ensure a match between the
airman and his driving records (because DMVs provide
pseudo-Social Security numbers). Presently, the data from
driving records is not entered into any system, but they are
reviewed and stored in the airman's medical file.
EIR Report
The Enforcement Investigative Report (EIR) reports violations of
FAA regulations. The form is used by OAM and other FAA
organizations to report airman violations.
EKG
A hard-copy graphic or electronic file Electrocardiogram (EKG)
representing the condition of a pilot's heart. (Hard copy of
international airmen are microfilmed.) Only EKGs for 1st class
pilots are stored in the MUSE system. All 2nd/3rd Class EKGs
requested for evaluation arrive as hard-copy and are stored in
the airman's medical file. EKGs for 1st Class airmen arriving in
hardcopy are sent to the EKG Unit where they are transferred into
microfiche storage and discarded. The "EKG" record represented
in Excelerator is based on the electronic record in the MUSE
system.
Eligibility Letter
If an airmen's health has been questioned by CAMI after an AME
has issued the certificate, CAMI may request more information
from the airmen, bringing the validity of the certificate into
question. If applications examiners determine that the airman's
health is within standards and policy, the airmen is sent this
letter as notification that the certificate is valid. The letter
is highly structured/well-defined with some dynamic data included
during composition.
Field Change List
The field change list is derived from changes in basic AME data
gathered using field change forms or communication through
correspondence and telephone calls. The list represents a
compilation of changes in basic AME data used to update the
regional AME database (if one exists) and the CAIS AME subsystem.
File Request
Routing Slip requesting the retrieval and delivery of an airman's
medical file or the delivery of the slip and medical file to
another applications examiner. Within AAM-300, applications
examiners also use AC Form 8500-14, which contains office routing
information, a summarization of the certification case, and
actions recommended by the recipient review when the file is
returned.
Legal Actions
Information concerning legal actions being taken against an
airman for failure to provide information and/or failure to
surrender a medical certificate. Two known forms/ records are
received from the Aeronautical Center's Legal Office: an Informal
Meeting Report and an Airman Stop Order. These occur
independently and are provided as necessary. The are nested
under the "LEGAL ACTIONS" data flow to conserve space in graphics
mode. Both forms are stored in the airman's medical file.
Medical Certificate
Card showing that the airman is medically certified/authorized to
operate an aircraft. Medical certification may be conditional.
Two forms may be issued: the 8500-9 (Medical Certificate) or the
8420-2 (Medical Certificate and Student Pilot Certificate). For
more information see the description of the data element
"STUDENT-AIRMAN-CERT".
More Information Request
Applications examiners or FAA physicians may require: additional
information about a health problem or situation (such as a
misconduct), the results of specific medical tests, and/or
records or medical files maintained by external medical entities.
For the DUI/DWI Unit, specific types of requests include: driving
records, a personal statement of drug/alcohol history, a
statement concerning past treatment for drugs/alcohol, letters of
recommendation from employers, doctors or clergy,
psychological/psychiatric evaluations, an evaluation by substance
abuse counselor, addictionologist or licensed counselor, and
conviction records and reports provided by probation/parole
officers, lawyers, courts and the Department of Motor Vehicles
(DMV). The request is accompanied by two or more Medical
Information Release Authorization (FAA form 8500-21) forms. They
are completed and one is returned to OAM; the others are
submitted to medical entities.
The sample Information Request Letter provided to the Data
Architecture team is a copy of the letter prior to being
completed. As such, it does not show all the potential data
elements that may be included in it.
NDR Report
Results of investigative check to see if an airman has a record
of alcohol/drug related driving offenses/infractions. This is
accomplished externally through the National Driver's Registry
Database that comprises automobile driver's records from many,
but not all, states. The report is a hard copy form completed at
AMC-700 and submitted to AAM-300's DUI/DWI unit. A significant
portion of the form contains redundant data that CAMI already has
(it was provided to AMC-700 by CAMI). However, it is difficult
to say whether the redundant data elements were taken from NDR or
CAIS, though this appears to be moot. The form itself it grossly
cryptic.
Panel Transcript
Transcript detailing the review and conclusions of a panel of
aviation/medical experts regarding a particular Special Issuance
(SI) case.
Pilot/Aircrew Medical Data
Pilot and Aircrew medical information are based on the findings
made as a result of the accident investigation. The accident
investigation team may implications on the pilot's/aircrew's
medical certification.
Problem 8500-8 Report
CAIS report specifying which incoming 8500-8s need review because
of omissions, errors or values outside of standards. The "reject
sheet" and 8500-8 are matched with the appropriate airman file
and sent to an applications examiner. The report specifies
errors or problems and provides physical exam data from the
airman's previous 8500-8.
SITS
A screen print of the SITS database's primary data screen is used
to collect information supporting data entry to the Special
Issuance Tracking System (SITS). SITS provides information
specific to Special Issuance cases, such as follow up
requirements (the submission of medical test results are regular
intervals) and dates when the follow up reports were reviewed and
approved.
Waiver
The actual waiver or statement of demonstrated ability (SODA).
(Not the same SODA as in CP.)
Miscellaneous
Airman Worksheet
Form used to track case status (requests, transactions, dates)
regarding the collection of an airman's health information and
case review. Not known if this form originates from CAMI or a
regional office; most likely from a regional office.
Authorization for Release of Medical Information
Statement completed by the airmen authorizing an external
private-sector medical facility to release personal medical
records to OAM.
Certificate Surrendered Memo
Notification from regional medical office that an airman, against
whom the regional Legal Office is taking action, has surrendered
a medical certificate, obviating the need for continued legal
action.
Certification Activity Tracking form
Form believed to be used by a regional office to track
quantitative aspects of aeromedical certification activities.
Enforcement Investigation System Screens (EIS Screens)
Computer system screens of the EIS system, used to log and track
information about airmen misconduct concerning FARs.
FAA National EKG Network Database
System screens from the EKG Unit's MUSE system at CAMI.
Request for Airman Medical Records (FAA 8065-2)
Form believed to be used to request medical records from offices
internal and external to OAM. For instance, a regional office may
use it to request records from another regional office or CAMI.
CAMI or regional offices may also use it to request medical
records from external private-sector medical facilities. In this
case, it is probably accompanied by a copy of the airman's
"Authorization for the Release of Medical Information" form.
Special Issuance (Appeals) Worksheet
Form used to collect and summarize health information about an
airman who has applied for a Special Issuance for the first time.
Form is used at a level lower than presently represented in DFDs.
Special Issuance (Recertification) Worksheet
Form used to collect and summarize health information about an
airman who has applied for a recertification. Form is used at a
level lower than presently represented in DFDs.
Special Issuance Letters
Samples of form letters sent to airmen from the Special Issuance
(Appeals) Branch to notify them of their special issuance and
conditions for maintaining it.
Special Medical Flight Test Report (FAA 8500-13)
Believed to be used by General Review and Special Issuance as the
basis for granting a waiver. This form may be a Statement of
Demonstrated Ability (SODA). It is probably used in the regions,
but may also be issued from CAMI.
Aeromedical Education Program
3000-13
AAM-120 enrolls AAM personnel in technical training courses using
this form.
3150.1
The FAA 3150.1 is the blue form issued to FAA flight crews and
other pilots upon completion of physiological training. The AC
3150.1 is the white training record for non-FAA pilots. The AC
3150-4 is the record for FAA pilots and aircrew.
3150.7
The 3150.7 is the Physiological Training Information and
Application Form. The staff sends blank 3150.7s to the pilot.
The pilot must fill this out and if training is conducted outside
of CAMI, a $20 fee is required. The pilot must select from a
list of facilities on the back of the form and select the option
of the chamber. The form is then submitted to Accounting and
then forwarded to CAMI for scheduling.
3150.8
The 3150.8 is the Global Survival Training certificate card
issued to FAA Aircrew after completion of that training.
AME Directory
The AME directory is a list of all AMEs including their location
and mailing address.
Availability / Bid
Seminar facility's response to a request for accommodations,
stating availability of meeting space, equipment, rooms and
services with associated costs.
Chamber Consent Form
The chamber consent form is returned with the pilot to airmen
education. The form indicates if the pilot may be exposed to the
chamber or lists reasons for access denial.
Chamber Questionnaire
The pilot must complete a questionnaire before and after exposure
to the decompression chamber. If the pilot answers yes to any
question, he/she must go to the clinic for a check-up. Pilots
may be denied access to the chamber based on the results of the
initial check-up.
Consent Form Memo
This memo explains the consent to exposure to the chamber.
Course Evaluation
Students submit course evaluations to AAM-120 upon completing a
course. These evaluations provide both course evaluation
feedback and notify AAM-120 officially that the course has been
completed and payment may be authorized.
Course Proposal
AAM-120 prepares proposals for new courses requested by AAM
personnel. These are sent to AHT-200 for approval.
Pilot Training Record
The pilot training record showing physiological and global
training.
Purchase Order
Purchase Request that has been validated by Procurement to
authorize expenditure of funds for a specific item or service.
Purchase Request
Standard form (FORM DOT F 4200.1) submitted to Procurement
requesting expenditure of funds for specific item(s) or
service(s).
Reservations
Response to seminar facility's bid, accepting the facility has
the site of a seminar and specifying accommodations required.
Seminar Facility Bill
Bill submitted to AAM-400 from a seminar facility for meeting
space and AV equipment costs.
Seminar Invitation
Invitation sent to AMEs within a designated geographical area to
inform them of an upcoming AME seminar and their obligation to
attend a seminar in the near future. The invitation contains a
postcard that may be completed and returned directly to AAM-400.
Prospective AMEs are selected to attend the Basic Seminar.
Seminar Postcard
Notification from AME to regional office or AAM-400 that the AME
will attend a specific seminar. AAM-400 sends the AME a postcard
(AC FORM 3150-12) with information about the seminar and the AME
completes a portion of it regarding plans to attend and returns
it to AAM-400. Prospective AMEs are selected to attend the Basic
Seminar.
Seminar Roster
A copy of the pre-seminar roster is "corrected" (edit out those
who didn't attend) to show the AMEs that actually attended a
seminar. A copy of this roster is sent to the each AME's
regional AME coordinator. The roster lists all AMEs who
attended, sorted by name; however, regional AME program
coordinators must scan the list to find AMEs operating within
their region. The report would be more efficient if it only
listed names or serial numbers of AMEs by region.
Seminar Schedule
List of AME seminars scheduled on an annual basis. The regions
need this information for applicants, as well as AMEs who are
delinquent in attending a seminar at least once every three
years.
Seminar Sign-In Sheet
Sheet on which AMEs sign as proof of attendance at a seminar.
Seminar Support Materials
Information products generated electronically through a PC-based
list, such as name tags and a roster of all AMEs scheduled to
attend. AAM-400 also provides a seminar agenda and a certificate
of training.
SF-182
AAM-120 enrolls AAM personnel in technical training courses using
this form.
Speaker
Name, address, phone number, medical specialty, etc., of
consultant/physician who might speak at an AME seminar. A
contract speaker may be an AME. This data resides in both
hard-copy and electronic formats.
Speaker Bill
Bill from contract speaker for services rendered under informal
contract.
Technical Training Call Form
All employees must request technical training using this form.
Training requests are approved by an employee's supervisor and
submitted to AAM-120.
Training Confirmation Form
The form that notifies the student of enrollment confirmation.
This form or a vendor-supplied notification form or letter may be
used.
Training Confirmation Letter
This letter is sent by CAMI to the pilot 30 days prior to
training notifying that a spot has been reserved in a class.
Training Course Worksheet
Worksheet form used in conjunction with the Course Proposal
Request Form by AAM Personnel to request the development of a new
course.
Training Registration Form
AAM-120 enrolls AAM personnel in technical training courses using
this form.
Travel Expense Sheets
Forms used to list and submit travel expenses for reimbursement.
Travel Orders
Documentation used to indicate estimated travel expenditures
prior to the actual attendance to a course.
Travel Vouchers
Documentation used to report the actual travel expenditures and
are necessary in order to obtain reimbursement.
True Need Training Document
AAM Employees may only take technical training specific to their
job function. These training needs are requested by employees in
training calls using a true need training document to determine
which employees are eligible to take courses specific to their
job function.
Waiting List Schedule
Listing of pilot's names who requested physiological training
through the USAF/Navy/FAA agreement. A list of pilots is
compiled by AAM-420 for each military facility that participates
in this agreement. Once each of these lists contains 18 names,
it is immediately sent to the corresponding military facility to
schedule the training.
Miscellaneous
CTTMS Reports
The Centralized Training Travel Management System (CTTMS)
Reports.
Seminar Confirmation to AME
Letter sent by regional office to AME reiterating and confirming
AME's intention to attend a specific seminar.
Supply Requisition
Written or telephone request to Regional Division or AAM-400 for
blank forms and/or eye charts.
Aviation Drug Abatement Program
Anti-Drug Plan
The aviation entity sends the anti-drug plan to the ADAP Program
Implementation Branch at HQ. The plan outlines the entity's drug
testing policy and testing procedures. The key points of this
plan are entered into DPTS, and the plan itself is filed in a
manual file.
Congressional Inquiries
The inquiries come from the Congress. The inquiries include
questions about policy, compliance of Aviation Entities, and
program results.
FAA ASF Hotline
The FAA Safety Hotline is intended for use by individuals in the
aviation industry having knowledge of violations of FAA
regulations. Caller identities are held in confidence and are
protected from disclosure under the Freedom of Information Act.
As a result of this type of information, an inspection, Letter of
Investigation, or referral to another FAA office may occur. The
FAA Safety Hotline is administered by ASA-103 (Office of Safety
Analysis) in Washington Headquarters.
Final Schedule
The FINAL SCHEDULE contains information about the individual
inspections ADAP will perform on the Aviation Entities. This
schedule is produced by ADAP 1.3 and contains information taken
from the MASTER SCHEDULE, other investigations, and the Drug Plan
Tracking System (DPTS) database. The FINAL SCHEDULE is both
stored in the SCHEDULE FILE data store and is sent to ADAP 1.4.
Inspection Checklist
The checklist is completed by the ADAP personnel from HQ or
Regions at the entity site. The checklist is contained on a
laptop computer which is downloaded into the CEDMS system. This
checklist contains information on the name of the aviation
entity, the date of the inspection, and if the drug testing
regulations are being fulfilled.
Letter of Correction
Letters of Correction (LOCs) are produced by the inspection team
leaders after all inspections where corrections are found to be
necessary. LOCs produced by the regional staff are forwarded to
HQ for review and occurrence after which they are returned to the
regions for signature and transmittal. Once approved they are
sent to the Aviation Entities. The LOCs contain a listing of the
violations which were found upon inspection of the Aviation
Entity.
Letter of Investigation
The Letters of Investigation (LOIs) are generated when it's
believed a rule may have been violated. In some cases, the
letters are generated from the DPTS data and are sent from HQ to
the entity. The LOIs can include a request for the corrected
information on testing in the semi-annual report or a request for
the semi-annual report if one was not sent. The LOIs inform the
Aviation Entity that the ADAP considers the Entity under
investigation.
List of Entities
AAM-810 generates these lists, which contain information
regarding each company with an FAA-approved plan. Information
contained in this list includes entity location, plan number,
numbers of covered employees, etc. The list includes the names
of ALL entities that are required to have a drug plan and is used
to identify companies having drug plans and to develop inspection
priorities.
List of Laboratories
The Substance Abuse ∧ Mental Health Services Administration
(SAMHSA) sends AAM-800 a list which contains the names of
laboratories which are certified to perform drug testing.
Master Schedule
A schedule of upcoming inspections performed by ADAP on the
Aviation Entities. This schedule is produced by AAM-820
(Headquarters) and is used by ADAP 1.3 in the creation of the
FINAL SCHEDULE, which is the actual inspection schedule including
times and dates. Master schedules have information regarding
scheduled inspections by weeks for the entire year. Each
regional manager submits candidates (entities) to AAM-820 for
scheduling inspections. AAM-820 determines the master schedule
based upon the following criteria: certificate type; type of
operation; geographical dispersion; complaints about the
employer; date of last inspection; and the number of covered
employees.
Policy Interpretation
Requested materials are sent by HQ to the Entity. These are in
response to a request from the Entity or whenever major changes
in the rule necessitate new guidance for the industry. Requests
can include a request for a list of laboratories accredited to
perform drug testing tests, guidance in performing to policy
regulations, requests for memos, and information for orders and
directives. These requests are sent to the Aviation Entity
either in response to their requests or just on-going
interpretation based on changing policy. The main purpose of
sending policy interpretations is to ensure consistent policy
application.
Request for Further Action
A formal letter, following a standard format, is submitted to an
entity to require more action to be taken by that entity in order
to fully comply with FAA Drug Policy. Examples of requests are a
requirement to document the steps that have already been taken or
a request for more changes to be made. These requests are sent
from ADAP 1.2 to the entity based on an analysis of responses to
initial letters of compliance sent by ADAP.
Request for Further Information
If an Aviation Entity has responded to a Letter of Investigation
or a Letter of Correction and the information supplied was
incomplete, the ADAP sends a formal letter requesting more
information about the item of non-compliance. The main purpose
of the letter is to obtain more information about company policy
and procedures, or actions. This letter is often combined with
the REQUEST FOR FURTHER ACTION letter.
Semi-Annual Report
The entity submits the semi-annual report to AAM-800. The report
contains information on the number of employees tested and, if
there were positive test results, for which substances.
Miscellaneous
Summary Report
Also known as an Annual Tally Report, this form is an annual
report indicating drug testing and positives for all regions.
Aviation Medical Examiner Program
8500-8
Form used to record the results of a physical examination for
pilots and some covered positions.
8520-2D
Form used by physician applicants to request AME designation.
AME Designation Request
Letter or phone call to Regional Flight Surgeon requesting AME
status.
AME Questionnaire
Requests information used to determine an applicant's
qualifications and suitability to be designated as an AME. The
applicant probably returns a letter or memo responding to the
list of questions.
AME Statistics
Automated reports formatted in various ways concerning AME
performance, such as error rates, and demographic reports showing
the ratio of AMEs to pilots geographically. In order to conserve
space on the Excelerator DFDs, statistical report data elements
were consolidated as
a single data flow. Consequently, the AME STATISTICS record
contains AME performance and demographic information.
AME Warning
If the AME has made a substantial error and wrongfully certified
an airman, the Airman Certification reviewer at AAM-300 may send
a letter to notify the AME of the mistake and provide guidance on
proper handling. One of two letters may be sent, based on the
situation: one
for incorrect issuance of a Student Pilot Certificate, because
the applicant is under 16 years old, and one correcting the AME
for a grievous error in case handling because the applicant does
not meet FAA standards.
Basic AME Data
Basic information about AMEs: name, office address, phone number,
AME ID number, class authorized, last seminar attended, medical
specialty, etc., used in the management of regional AMEs and in
the generation of a regional directory.
Delinquent AMEs
AME program assistants and Regional Flight Surgeons must ensure
that AMEs within their region meet the defined requirements.
This includes attending an AME seminar at least once every three
years and having a staff member attend a workshop every three
years. Because of this requirement, they must know which AMEs
are in violation of training requirements and therefore a
potential target for termination of designation.
Designation Card
Form 8520-4 lists the designation number and signature of the
physician and authorizes physician to perform examinations for
airmen. The form separates into two items: an ID card for the
AME and a card which is returned to AAM-400 stating whether or
not the AME accepts or declines AME status.
Field Change List
The field change list is derived from changes in basic AME data
gathered using field change forms or communication through
correspondence and telephone calls. The list represents a
compilation of changes in basic AME data used to update the
regional AME database (if one exists) and the CAIS AME subsystem.
Professional Standing
Reference or endorsement of physician from the state Medical
Board that licenses physicians to practice and logs instances of
misconduct or improprieties committed by a physician.
Request for Field Change
Request submitted by AMEs and/or AME program assistants to change
a field or fields (personal data) in the AME Records System (e.g.
name, address, telephone number, etc.).
Seminar Postcard
Notification from AME to regional office or AAM-400 that the AME
will attend a specific seminar. AAM-400 sends the AME a postcard
(AC FORM 3150-12) with information about the seminar and the AME
completes a portion of it regarding plans to attend and returns
it to AAM-400. Prospective AME's are selected to attend the
Basic Seminar.
Seminar Roster
A copy of the pre-seminar roster is "corrected" (edit out those
who didn't attend) to show the AMEs that actually attended a
seminar. A copy of this roster is sent to the each AME's
regional AME coordinator. The roster lists all AMEs who
attended, sorted by name; however, regional AME program
coordinators must scan the list to find AMEs operating within
their region. The report would be more efficient if it only
listed names or serial numbers of AMEs by region.
Seminar Schedule
List of AME seminars scheduled on an annual basis. The regions
need this information for applicants, as well as AMEs who are
delinquent in attending a seminar at least once every three
years.
Term. of Designation Letter
Letter sent to AME denying or removing AME status and requesting
surrender of AME authorization and supplies.
Miscellaneous
Aircraft Accident Investigation Questionnaire
Form used by ASW-300 to enquire whether AMEs are willing to
participate in aircraft accident investigations.
AME Ancillary File (AAM-410)
The ancillary AME file used to store a subset of forms and
records regarding an AME at AAM-410.
AME Applicant - File Summary
Form used at a regional office to collect and summarize
information relevant to the appointment of a physician to AME
status, as well as track events/date (case status tracking).
(Similar to AME Designation Worksheet.)
AME Designation Letter
Letter accompanying Designation Card which informs a new AME of
FAA policy and the AME's responsibilities and limitations.
AME Program Weekly Activity Report
Quantitative information regarding weekly AME program activity
sent from ASW-300 to the Federal Air Surgeon.
AME Complaint
Information about AME actions or status, including misconduct,
impropriety, incompetence, negligence or simply discrepancies
between current AME listings (AME data) and AME's address.
AME Database Screens (AWP-300)
AME database screens of Data General(?) system supporting AWP-
300. (Comparable to "AME DB.")
AME Database Screens (AEA-300)
AME database screens of system supporting the AME program at AEA-
300. (Comparable to "AME DB.")
AME Database Screens and File Structure
PC-based AME database residing at AWP-300. Includes dBase file
structure. (Comparable to "AME DB.")
AME De-Designation Postponed/Terminated Letter (Error Rate)
Letter informing an AME that potential de-designation efforts
against the AME have been dropped until further notice.
AME De-Designation Letter (Failure to Attend Seminar)
Letter from the regional office informing an AME that the AME has
been de-designated (stripped of AME status) for failure to attend
an AME seminar at least once every five years.
AME De-Designation Postponed/Terminated Letter (Seminar Attendance)
Letter informing an AME that potential de-designation efforts
against the AME have been dropped until further notice.
AME De-Designation Postponed/Terminated Letter (Insufficient Exams)
Letter informing an AME that potential de-designation efforts
against the AME have been dropped until further notice.
AME File (Regional)
The regional AME file used to store forms and records regarding
an AME's designation, status and performance.
AME Regional Transfer Re-Designation Letter
Letter authorizing an AME who has relocated from another region
to continue operating as an AME within the new region. Letter
includes policy regarding AME charges, FAA policy and other
stipulations.
AME Seminar Warning Letter
Letter warning an AME that the AME must attend a seminar in the
near future in order to retain AME status or risk de-designation.
AME Status Change memo
Memo from Regional Office to FSDO regarding an AME's change in
status. This document is similar to a "Field Change List" in
that it contains information about an AME's change in status.
AME System Screens
CAIS AME subsystem screens supporting management and distribution
of forms from CAMI to AMEs.
Applicant Letter
Letter accompanying AME application designation package from
regional office to a private-sector physician applying for AME
status.
Aviation Medical Examiner Forms Request
Form used to direct supply depot to distribute a specified
quantity of forms to an AME. Form is completed in triplicate and
one copy is returned to AAM-410 indicating the actual
number/amount of forms shipped.
Checklist for AME Workshops
A list of tasks to be completed prior to an AME seminar. Used at
ASW-300.
Daily Work Sheet
Form used by ASW-300 to record quantitative information regarding
daily AME program activity.
Designation Acceptance Letter
Letter sent to new AMEs and returned to the Eastern Region office
as legal acceptance of AME status. Not known why this letter is
used, since this function is usually accomplished with the
Designation Card.
Informal Contract
Informal contract between AAM-400 and a consultant, in which the
consultant agrees to speak at a specific seminar for a specific
fee.
No-Need Letter
Informs physician/applicant that there is currently an adequate
number of AMEs in the area and rejects request for AME status.
Request For Speaker
Initial request to a medical expert/consultant to speak at an AME
seminar to determine availability and topic.
Senior AME Designation Letter
Letter authorizing an AME to perform Class I physicals.
Senior AME Equipment Requirement Letter
Letter informing an AME applying for senior AME status of EKG
network equipment requirements, which are requisite to senior AME
designation.
Covered Positions Program
3900-7
This form is an ATC form that is completed by the AME and brought
by the employee to his or her facility manager who provides a
copy to the Center Flight Surgeon. The form states whether the
employee is cleared for work as a controller, the decision on
returning to work is deferred to RFS, or if further evaluation is
needed.
8500-8
Form used to record the results of a physical examination for
pilots and some covered positions.
Airman Med File
The medical file, if one exists, maintained by AAM-300 on an
applicant for an FAA covered position who is also a pilot with
medical problems. If the applicant has medical records at AAM-
300, they will be requested by the region and added to the
regional employee medical file.
Allergy Form
This is a special consideration form which allows employees to
take allergy medication while on the job.
Allergy Questionnaire
A questionnaire completed by either the employee or his
physician. It asks questions about allergy attacks, frequency,
etc.
Applicant Information
Background information about an individual applying for a covered
position.
Applicant Medical Update
Medical updates personnel on the certification status of
applicants. Delays can be caused by requests for military
records, further medical tests, etc. If certification is
pending, reasons are entered. When the individual is certified,
PETS is updated, allowing personnel to proceed with hiring.
Medical limitations are included.
Bill for Exam
Bill submitted to Regional Office or Clinic for services rendered
such as physical examinations or medical tests. The 3930-7 form,
authorizing an employee's physical exam, has a second part for
billing information. The AME or AME's staff should complete this
part to request payment. However, AMEs often submit their unique
office invoices with the 3930-7 to provide data about services
rendered and associated charges. The record representing this
data flow was taken primarily from the 3930-7 billing portion.
Employee Clearance Form
The Employee Clearance Form A.K.A. Health Information System
(HIS) form is used to communicate information about the
employee's physical condition and decisions made by the Regional
Flight Surgeon about the employee's health, abilities and
reliability in performing safety-related tasks. This form was
originally designed as a template to extract information from the
process and enter it into the HIS system.
Flight Surgeon's Activity Report
The Flight Surgeon's Activity Report contains Regional activity
statistics that measure the type and quantity of work performed
in the Region. Individuals in each program area (e.g. airman
certification, ATC certification) supply requested activity
statistics. The clinic at CAMI also submits this report because
they perform many activities typically performed by a Region.
****NOTE THAT THIS DATAFLOW EXPLODES IN TO TWO RECORDS. THE
SECOND RECORD IS CALLED RFS ACTIVITY REPORT PART 2 AND CAN ONLY
BE ACCESSED THROUGH THE DATA DICTIONARY FUNCTION.****
Opinion of OWCP Claim
AAM's medical opinion of an employee's OWCP injury claim.
OWCP Claim
Office of Worker's Compensation Programs OWCP claim form
documenting an on the job injury.
Physical Authorization
Physical examination authorization form A.K.A. 3930-3, 3960 in
clinics, or SF-44, provides external physician with approval to
perform specific examinations or medical tests. The form also
allows physicians to list services and costs as a means to bill
the FAA. Once the form is received with its associated test
results, the covered positions coordinator certifies the billing
by comparing tests results with the billing information and
authorizing accounting to compensate the physician.
Report of Investigation
Information concerning a covered employee's driving records and
other records of conviction, similar in nature to the NDR REPORT
provided by AMC-700 to the DUI/DWI Unit.
Request for Exam
A request for a physical exam of a covered employee by personnel.
ROI Action Report
Request to Regional Security Office for a background check on a
covered employee reviewing records of conviction.
Schedule of Exams
The schedule of exams to be performed on covered employees.
STMT of Demonstrated Ability
The Statement of Demonstrated Ability (SODA) is a performance
evaluation or test administered by an employee's manager. The
form is sent to the employee's manager to have the individual
observed/tested to insure he can perform his job with a medical
condition that doesn't meet standards. (Color vision, high
frequency hearing loss, etc.)
Miscellaneous
Air Traffic Controller Health Program Report (Special
Consideration/Disqualification)
Form used to report status of covered-position employees who have
requested special consideration because of a medical problem.
Sample report was generated at the Salt Lake center. Not known
who completes the form, how it is routed or how often.
ATCS Health Program Medical Questionnaire (AEA 9430-1)
Form used to collect information about a specific medical
condition or problem affecting a covered-position employee. Form
is provided to the employee who must submit it to the attending
physician. How the form is returned to the regional office or
center clinic is not known.
Clearance Processing Sheet
Form used at AEA-300 to collect information and perform case
status tracking in support of covered-position employee medical
review.
Diabetes Mellitus Status Report
Form used to collect information regarding an ATCs diabetic
condition at AEA-300. Not known how the form is issued, who
completes it, or how it is collected.
HIS System Screens
Computer display screens of the ASAS Health Information System
(HIS).
Ophthalmological Evaluation for Glaucoma (FAA 8500-14)
Form collects information about a covered-position employee's
glaucoma. The form is provided to the employee who must submit
it to the attending physician. How the form is returned to the
regional office or center clinic is not known.
Qualification Decision
Memo submitted by the Regional Flight Surgeon indicating the
medical clearance disposition of an ATCS.
Report of Eye Evaluation (FAA 8500-7)
Form collects information about a covered-position employee's
vision. Not known how the form is issued, who completes it, or
how it is collected.
Special Medical Consultation (EA 9430-2)
Form used by AEA-300 to request specific medical tests from
employees working in covered positions. Not known how the form
is issued, who completes it, or how it is collected.
Employee Substance Abuse
Chain of Custody Form
The Drug Testing Custody and Control Form (DOT 3900-9) is
completed on each individual who provides a urine sample. The
purpose of this form is to provide safety and security of the
specimen. It along with the urine sample is packaged and
forwarded to the testing laboratory.
EAP Recommended Rehab
The EAP manager, upon notification and evaluation of disciplinary
action, issues a memo or letter recommending the proper
rehabilitation guidelines.
Follow-up Worksheet
A form used by the MRO, EAP, and the DPS for submission to the
Departmental Drug Office. It specifies a time chart for
employees' testing schedules. The form is found in the Drug
Testing Guide (appendix #2 to DOT Order 3910.1b).
Letter of Medical Decertif.
If the employee holds a medical clearance, the RFS will send a
letter to the employee, medically decertifying him/her, through
the facility manager/appropriate officials with copies to LR,
EAP, and security.
Letter of Re-Qualification
If deemed necessary, the Regional Flight Surgeon can re-qualify
the employee by sending a letter of re-qualification to both the
employee and the employee's manager. After the flight surgeon
has reviewed the case and conducted any medical
tests/evaluations, the flight surgeon will make a determination
about reinstating the medical clearance and/or return-to-duty
status.
Specification of Rehab Program
The employee who tests positive for drugs is informed of the
steps of the rehabilitation. The employee must agree to the
process and agree to the testing that will occur during the
rehabilitation.
Substance Abuse Evaluation
The EAP manager provides an agency certified evaluator with
background information that is required for a comprehensive
evaluation. After making the evaluation, information on the
level of addiction from which the employee suffers is sent to the
Regional Flight Surgeon/Medical Review officer and the EAP
Manager, who uses this evaluation to determine if the
rehabilitation is appropriate for the employee.
Successful Completion of Rehab
After the manager and flight surgeon have determined that the
employee has successfully completed rehabilitation, the
manager/flight surgeon contacts the employee, congratulates
him/her on his/her efforts, strongly encourages the employee to
actively participate in the continued care program and to feel
free to contact the manager /flight surgeon in the future. The
Regional Flight Surgeon sends a congratulatory letter to the
employee and destroys all rehabilitation records in accordance
with the current FAA Medical Files Order 3910.8.
Miscellaneous
End of One Year Follow-on to Rehabilitation
This letter contains information for the employee to notify
him/her that since one year of successful drug rehabilitation has
taken place, he/she will not have to submit to regular drug urine
testing.
Letter Stating Positive
The Letter Stating Positive is sent to the employee who has
tested positively for an illegal drug or alcohol. This Letter
asks the employee to explain the test results and to supply the
MRO/RFS with any information which will prove the substance was
taken for a legal medical reason.
Non-compliance With Rehabilitation Program
The letter is sent to the employee's manager informing him/her
that the employee has not been following the prescribed
rehabilitation plan. This is followed by the removal of the
medical certification permanently for the employee.
Return to Duty Substance Abuse Follow-up Plan, Delinquency
The letter informs the employee that he/she has not been
participating the in follow up to the rehabilitation program.
The employee must sign the bottom of the letter stating that
he/she understands that he/she must attend these follow-ons.
Occupational Health
8500-8
The 8500-8 is the physical history and examination form used for
Aeromedical Certification examinations and for ATC exams. The
clinic files a copy of this exam form in the medical record. For
pilots with routine exams, the information is transmitted on AMCS
to AAM-300. For pilots with supporting documentation, the actual
8500-8 is mailed to AAM-300 along with the other supporting
documentation. When the clinic does an exam on an ATC returning
to the field, the 8500-8 form is mailed to the appropriate
Regional Medical Office.
Auth for Exam/Treatment
The Authorization for Examination and/or Treatment form (CA-16)
authorizes an employee to receive an examination and/or treatment
at the FAA's expense from a non-FAA medical facility. The
facility authorized to provide the service is identified along
with a description of the injury or disease. The CA-16 is the
official guarantee of payment sent to private physicians when
they see employees with on-the-job injuries. This form may be
completed by the FAA Health Clinic, Occupational Safety, or even
the employee's supervisor. In addition to the copy for the
private physician, a copy goes to OWCP, and if sent from the FAA
Clinic, a copy stays in the medical record.
Chamber Consent Form
The chamber consent form is returned with the pilot to airmen
education. The form indicates if the pilot may be exposed to the
chamber or lists reasons for access denial.
Daily Clinic Patient Record
Manual log tallying the number of different categories of
visitors (such as student or FAA personnel), date, time, and
reason for visit. The reasons are assigned a number in order to
track activities for the RFS Activity Report.
Education and Screening Results
Screening results identify the employee who was tested and the
test results (e.g. blood pressure measurements). The HAP
coordinator explains the meaning of the result and recommends the
appropriate follow-up action. The education function provides an
explanation of the available literature regarding health
awareness subjects.
Hearing Conservation PGM Form
The Hearing Conservation Program form records the job, military,
and recreational history of employees who are perceived to be at
risk for hearing problems. Examples of information that is
recorded are previous exposures to gunfire or engine noise. The
form helps to determine if hearing problems found in the physical
are based on past noise exposures. Baseline hearing data is then
recorded on the pre-employment physical form and maintained in
the employee's file.
List of Physical Exams Required
Employees identified from the OH1 Facility Surveys to get
physicals and added to the list of normally scheduled physical
exams. These employees are selected based on hazardous working
conditions. The list is sent from OH1 Provide Consultations to
Oh4.1 Provide Physicals.
Manager Authorization
Manager authorizes performing annual physical examination.
Medical Record Transmittal
The request for records is a transmittal form (8500-16) that is
sent from the FAA employee's health office to any other DOT, DOD,
or other federal installation. It identifies the employee whose
records must be transferred and the region/organization into
which he/she is transferring. Generally, the complete file is
transmitted, but in some instances, only a copy of the 8500-8 is
sent for review before a controller is returned to the field; or
the SF-600, Chronological Record of Medical Care, for students
who have been seen at CAMI clinic while at the Aeronautical
Center. This form may be used when retiring medical files, but
is not mandatory.
National HAP Report
The National Health Awareness Program (HAP) Report is a
compilation of the quarterly HAP reports submitted by the
regions. The report summarizes the programs put on by the
regions, number of participants, and the screening results.
Physical Form
At CAMI, the pre-employment physical form (78-110) is brought by
the individual requiring a physical, and contains a signature
authorizing the clinic to provide a physical at the FAA's
expense. The form identifies the employee and contains fields
for physical examination results including height, weight, and
blood pressure. The form also provides spaces to describe job
expectations and employee limitations. This document is the US
Civil Service Commission Certificate of Medical Examination with
some add-ons, including information on the employee's job
requirements and conditions.
Quarterly HAP Reports
Quarterly HAP reports document the Health Awareness Program (HAP)
topic(s) presented for the quarter, the number of attendees and
the program findings.
Radiologic Consultation REQ / RPT
The Radiologic Consultation Request/Report authorizes an employee
to have an x-ray at the FAA's expense. The form identifies the
employee who is receiving the x-ray, the reason the x-ray is
being done, and pertinent employee information such as age and
sex.
Release of Information
The Release of Information form is used by a patient to give his
or her permission for release of a copy of some of the medical
records (Privacy Act Information) to a specified organization or
individual.
Transfer of personal medical information in almost any direction
requires the patient to sign a Release of Information form to
authorize it. The form is always kept in the medical record at
the facility releasing the information, as they are not
infrequently needed in medicolegal matters to document proper
release of sensitive information.
SF52
The Request for Personnel Action (SF52) is the form used to
request a personnel action such as a position change or a
transfer. The form defines the action, identifies the employee,
describes the employee's position, and contains the required
reviews and approvals. The form is sent by the requestor to the
Office of Personnel Management (OPM). OPM sends the form to the
regions to notify them of an impending transfer.
SF600
The Chronological Record of Medical Care (SF600) maintains a list
of employee clinic visits. Information on the form includes
name, date of visit, and treatment received. This form includes
answers to the OSHA questions related to asbestos, hearing,
physical, biological, chemical, and radiation factors.
Miscellaneous
Air Traffic Status Report Form
This letter from the Flight Surgeon discusses the ATCS medical
status of the indicated ATCS personnel.
Attending Physician's Report
This form is completed for injured employees who are filing for
worker's compensation. The form is then forwarded to the Office
of Worker's Compensation Program.
Clinical Subsystem
This system contains information on all contractor / employee
visits to the AAM headquarters clinic. It also includes
information on blood mobile drives, screening programs, and other
services. It also has the potential to be used for inventory
management and vendor identification.
HIS Data Collection Form
This is the form used to capture new information to be entered
into the Air Traffic Control Health Information System.
Hypertension Status Report
This Air Traffic Control Specialist Health Program form discusses
the specific hypertension details pertaining to ATCS personnel.
Medical Exam Authorization
The request for medical services is a form that a sick or injured
employee must bring with them to the clinic in order to receive
medical treatment.
Patient file - Aftercare Instructions
These are the various Aftercare Instruction forms which may be
found in the patient's medical file.
Patient file - Medical Forms
These are the various additional medical forms which may be found
in the patient's medical file.
Patient file - OWCP Forms
These are the various additional OWCP forms which may be found in
the patient's medical file.
Patient file - Specifications
These are the various evaluation specification forms which may be
found in the patient's medical file.
Unsatisfactory Condition Report
The Unsatisfactory Condition Report (FAA Form 1800-1) is widely
used by the unions in filing complaints. This form is handled
either by FAA Headquarters or at the regional level.
Voluntary Blood Screening Program
This HAP form is completed during voluntary blood screenings.
Research
MNS/RPI
Mission Needs Statements/Research Project Initiatives formally
initiate a project. The RE∧D process, as approved by ARD,
requires that all research projects have a Mission Needs
Statement that provides clear justification for the research. It
is expected that each MNS will have one or more Research Project
Initiatives that provide documentation of the planned research
and associated resource requirements. MNSs and RPIs are prepared
by the FAA research sponsors. Performing organizations assist
the research sponsors in preparing the RPIs. Sponsors approve
the MNSs while sponsors and performing organizations are required
to jointly approve the RPIs. Approved MNSs and RPIs are
submitted to APM-300 for review and entry into the RE∧D document
data base. APM-300 is responsible for archiving all of the RE∧D
MNSs and RPIs. While RPIs are scheduled to be updated every 6
months, MNSs will be reviewed and updated at 3 year intervals.
Progress Report
Project progress reports are completed on a quarterly basis and
are distributed to AAM-3, Division Managers, and sponsoring
organizations. Progress reports list the need or the reason for
the project, the current status, and the progress relative to the
milestones. The Research committee and AAM-3 provide the review
and approval.
Task Forms
Task forms provide the information needed by CAMI's
Administrative area to compile the research budget. The
spreadsheet or MNS/RPI contains information concerning details of
project requirements including equipment, travel, supplies, and
position for each approved project.
Task Specific RPIs
Task specific RPIs, a.k.a. Aeromedical Research Resume (ARR),
summarize the operational problems, objectives, background, and
resources associated with a research project. Information
currently required on the form is generally consistent with that
required on the formal RPI. Included is: project number, title,
project duration, an hypothesis, set of questions, and
milestones. There is an Order for Research that provides the
format and contents of the RPI and directs the research process.
Following review by the AAM research committee, research resumes
are reviewed, approved, and signed by the CAMI Director (AAM-3).
The project can then be started. The Federal Air Surgeon
provides an introduction to the AAM RE∧D program book (all
approved task specific RPIs) indicating overall approval for the
program.
Resource Management
Analysis of Estimate/Issue Paper/FAA BGT
A summary of AAM budget requirements is sent to AVS accompanied
by written justifications and supporting statistics for all new
programs.
Analy of PGM by Subobject Class
The Regions submit local analyses of budget needs to ABU. ABU
summarizes the Regional and CAMI budget numbers and supplies a
paper copy of the summaries to AAM-120 via AVS. AAM-120 uses
these numbers to determine the surplus or deficit and then
adjust and generate an AAM budget.
Change of Station Report
A DAFIS monthly report which shows the expenditures associated
with an individual PCS move. Report lists PCS move expenditures
by person and object class.
Contract Status Report
A DAFIS monthly report which shows the status of all contracts
(including previous years) which have not been closed out.
Report lists contracts by program element and shows expenditures
vs. obligations.
Cost Center Detailed TXN Listing
Monthly report showing all invoices that Accounting paid,
obligated, or committed during the month. The report is used to
prepare the Quarterly Review and reconcile CUFF reports.
Cost Center Funds Status Report
The Regional accounting offices send monthly accounting reports
listing actual and budgeted expenditures for each object class or
budget category. An example of an object class is overtime pay.
The reports are generated by AAA from DAFIS, and are used to
complete the Quarterly Review requested by the Office of Budget
(ABU) and AAM-120. The reports are reviewed by AAM HQ and ABU
and used as input in revising the financial plan.
Evaluation Follow-up Report
Evaluation status reports contain the follow-up actions that the
Regions are taking to address the recommendations made by the
evaluation team. The reports are sent to AAM-110 on a quarterly
basis.
FAA Auth ∧ Invoice for MED SVC
The Regional Divisions track the invoices that they have received
from AMEs in order to estimate the obligated dollars for the
quarter. This information supplements the invoices-paid detail
from the Cost Center Detailed Transaction Listing.
FAA Budgetary Authorization
The FAA Budgetary Authorization contains the approved budget
numbers for the fiscal year. This includes personnel and
budgetary authorizations.
Flt Surgeon's Monthly Activity RPT
The Flight Surgeon's Activity Report contains Regional activity
statistics that measure the type and quantity of work performed
in the Region. Individuals in each program area (e.g. airman
certification, ATC certification) supply requested activity
statistics. The clinic at CAMI also submits this report because
they perform many activities typically performed by a Region.
****NOTE THAT THIS DATAFLOW EXPLODES INTO TWO RECORDS. THE
SECOND RECORD IS CALLED FS ACTIVITY REPORT PART 2 AND CAN ONLY BE
ACCESSED THROUGH THE DATA DICTIONARY FUNCTION.***
Fund Increases Summary
Each Regional Division and CAMI prepare an operational budget
that is sent to the local division of the Office of Budget (ABU).
The individual AAM budget numbers are summarized by ABU and sent
to AAM-120 via AVS. Budget information is for object codes such
as overtime or job-related travel.
FY Allowances
FY allowances are the dollar amounts that have been approved for
each program/cost center.
FY Financial and Employment Plan
Each region, center, and AAM HQ completes a financial plan which
allocates budgeted operational dollars across fiscal quarters.
The plan lists planned expenditures by object class and the
current format shows both quarterly and cumulative quarterly
figures. The employment plan summarizes month end actual on-
board figures thru the date of submission and requires on-board
estimates for the remaining months. The report is used to track
end-of-year (EOY) ceiling and calculate full time equivalents
(FTE). Both reports are updated and submitted on a quarterly
basis after completion of the quarterly review. The plan lists
the object class (such as base pay) and then both the estimated
dollars for the individual quarter and cumulative estimated
dollars.
Medical PGM Evaluation
This report lists the recommendations and supporting discussion
that resulted from the Regional program evaluation.
Monthly Activity Report
Certification division workload data such as the number of
applications received for the current month, special issuance
processing backlog, and correspondence received are listed in
this report.
Open Document Listing
A DAFIS monthly report which shows the status of all obligating
documents which have not been liquidated. Similar to the
Contract Status Report but also includes travel orders.
OPM Form 1170
The Supplemental Qualification Statement Medical and Dental
Officer, GS-11/15 (OPM form 1170) is submitted with the SF171 by
the applicant.
Performance Appraisal Form
Sent from Human Resources (AHR) for personnel management and
returned to AHR.
Program/Site Evaluation Report
Evaluation reports summarize the AAM program evaluation findings
along with the recommended actions.
Quarterly Review
The Quarterly Review justifies changes to fiscal year budgeted
dollars, mainly increases or transfers of dollars. Each major
change, which is noted on the spreadsheet as + or - over the
plan, is addressed individually in paragraph form. The primary
form in the Quarterly Review is the Quarterly Status Report. It
compares actual to planned expenditures, shows internal
adjustments, lists requirements for the remainder of the year,
and shows shortfalls/overages.
Quarterly Summary
The Office of Budget (ABU) summarizes the Quarterly Status
Reports and sends the individual numbers and the summary to AVS.
AVS sends the reports to AAM-120.
Regional Budget INC Paper
Narrative description of resources that the Region or Center is
requesting along with the supporting justification statement.
SF171
The Application for Federal Employment (SF171) is submitted by
the applicant to furnish education and work experience when
applying for a position.
SF50
This is the Notification of Personnel Action form.
SF52
The Request for Personnel Action form (SF52) is used by personnel
management to note requests for change in employee status, such
as promotion or reassignment benefits.
SF85
The Data for Nonsensitive or Noncritical-sensitive Position form
(SF85) is sent to Personnel Security to provide background
information for applicants.
SF86
The Questionnaire for Sensitive Positions (For National Security)
form (SF86) is used for background investigations of applicants
applying for sensitive positions.
Significant Activities Report
AAM branches/divisions located at Headquarters or CAMI report the
noteworthy or unusual activities that have occurred during the
week to AAM-100 for compilation into an AAM-wide report. The FAS
signs the report, which is forwarded to AVS. AVS receives weekly
significant activities reports from each of its subordinate
offices: the Office of Accident Investigation; Office of Aviation
System Standards; and the Office of Aviation Medicine. The
reports are intended to keep the Associate Administrator (AVS-1)
abreast of important activities under his cognizance.
Vacancies
Vacancy data specifies the positions that are currently open and
where these positions exist.
Workload Information
Workload information that indicates the level of Regional and
Center program activity. An example of regional workload data is
the number of problem airman certification cases that were
received, pending, and closed in a fiscal year. An example of
CAMI workload data is the total number of certification
applications processed in a fiscal year.
****NOTE THAT THIS DATA FLOW EXPLODES INTO THREE RECORDS. THE
SECOND AND THIRD RECORDS ARE CALLED WORKLOAD FORM PARTS 2 AND 3,
AND CAN ONLY BE ACCESSED THROUGH THE DATA DICTIONARY.****
Miscellaneous
AAM Budget Status Report
The AAM Budget Status report is produced by the Regional
Divisions and CAMI to report the actual dollars spent for the
quarter by object class. The report is prefaced by a summary
highlight statement that explains differences between actual and
estimates, internal adjustments, and surplus dollars or unfunded
needs. The report format is prescribed by the Office of Budget.
Biweekly Employee Data
A DAFIS monthly report which shows various employee-related data.
Checklist
Checklist of steps that need to be taken in preparation for a
Regional program evaluation. Examples of steps are "choose
tentative dates" and "contact manager".
Travel Advances Outstanding
A DAFIS monthly report which shows the employee's name, date of
travel, and the amount outstanding.
INTERVIEW NOTES
OFFICE OF AVIATION MEDICINE
DATA ARCHITECTURE PROJECT
INTERVIEW NOTES
Report Number: VS-ASAS-G-3793
Original Version - July 1991
Revisited - March 1992
Prepared by:
U.S. Department of Transportation
Research and Special Programs Administration
John A. Volpe National Transportation Systems Center
Cambridge, Massachusetts 02142
Prepared for:
U.S. Department of Transportation
Federal Aviation Administration
Office of Aviation Medicine
Washington, D.C. 20591
Table of Contents
Section Title Page
Document Control Page
1.0 INTRODUCTION . . . . . . . . . . . . . . . . . . . . .i
2.0 REFERENCING THE NOTES. . . . . . . . . . . . . . . .iii
HQ HEADQUARTERS . . . . . . . . . . . . . . . . . . . HQ-1
Plans, Evaluation ∧ Management . . . . . . . . . . HQ-1
Support Division, AAM-100
Medical Specialties Division, AAM-200. . . . . . .HQ-20
CAMI CIVIL AEROMEDICAL INSTITUTE . . . . . . . . . . . . . CAMI-1
Office of the Director of CAMI, AAM-3. . . . . . CAMI-1
Aeromedical Certification. . . . . . . . . . . .CAMI-10
Division, AAM-300
Airmen Education Division, AAM-400 . . . . . . .CAMI-37
Human Resources Research . . . . . . . . . . . .CAMI-58
Division, AAM-500
Aeromedical Research Division, AAM-600 . . . . .CAMI-71
Occupational Health Division, AAM-700. . . . . .CAMI-81
REGIONS REGIONS. . . . . . . . . . . . . . . . . . . .REGIONS-1
Eastern (New York, NY) . . . . . . . . . . . .REGIONS-1
Great Lakes (Chicago, IL). . . . . . . . . . REGIONS-18
Northwest Mountain (Seattle, WA) . . . . . . REGIONS-23
Southern (Jacksonville, FL). . . . . . . . . REGIONS-37
Southwest (Ft. Worth, TX). . . . . . . . . . REGIONS-41
INDEX. . . . . . . . . . . . . . . . . . . . . . . . . . .Index-1
DOCUMENT CONTROL PAGE
All pages are currently Revision 1.
1.0 INTRODUCTION
In its recently completed information systems strategy, the
Office of Aviation Medicine (AAM) outlined seven long-term goals
which express their Office Vision. One of the vision statements
focused on program integration and the need to provide employees
with the information they need to make decisions, solve problems
and operate the business of aviation medicine. To support this
vision AAM identified the need to complete the office-wide AAM
Data Architecture Project to describe and logically model AAM
data or information. The project directly addresses this need by
providing AAM with improved knowledge of, control over, and
access to AAM data.
The AAM Data Architecture project entails the review of data that
is received, processed, and distributed in Regional,
Headquarters, and CAMI Divisions. The data flow, or the movement
of the data from one process to another, is being developed to
gain an overall understanding of how data is used by the
organization. Information is then analyzed to determine the
logical relationships between data elements, characteristics, and
volumes. An entity-relationship modelling approach is being
followed to logically organize the data and look at the natural
relationships between elements. Entity-relationship models
identify major objects of interest or entities, the connections
or relationships between entities, and the attributes or
descriptions that provide additional information about the
entities. The entity-relationship model will be the basis for
future physical data bases that support integrated AAM
applications.
AAM is a dynamic organization that continues to grow and change
to provide services and support in the best possible manner. The
resulting data design will be flexible enough to support the
Office's changing needs.
In coordination with the AAM Data Architecture Project Advocate,
the AAM Automation Representative, Office of Program and Resource
Management, and others at the Civil Aeromedical Institute (CAMI),
AAM Regional Offices and John A. Volpe National Transportation
Systems Center a cross section of AAM personnel were selected to
be interviewed. The list consisted of people from each of the
several program areas which AAM has a medical and/or regulatory
responsibility. An extensive set of interviews with AAM
personnel were used to collect the essential knowledge about
information. Approximately one-quarter of the AAM staff was
interviewed during the course of the interview process.
The project team recognized and is sensitive to the fact that AAM
personnel had been interviewed for other studies. The results of
these earlier interviews and studies were used as much as
possible to learn about the AAM organization and to avoid
repeating the same questions. The interviews were designed to
focus on data that is the input or the result of performing a
function, not the function itself. The detailed analyses of the
functions themselves have been left to the project teams which
will perform the functional, and other requirements studies of
the specific systems identified within the AAM I/S Strategic
Plan.
This document contains the "raw" notes from the AAM Data
Architecture project interview process. No analysis is included
herein. As such, please note that the comments listed herein are
intended to be those of the identified individual as perceived by
the Data Architecture project team members. The practical use of
these notes by individuals outside of the AAM Data Architecture
project team will vary. In most cases you should use them to
find a general overview of the individuals responsibilities as
dictated by their job position or to compare the various
resources used by several individuals performing the same job.
You may also find benefit in locating people who may have
specific knowledge in a subject area.
2.0 REFERENCING THE NOTES
The notes are divided into three segments (Headquarters, CAMI,
and Regions) and organized by division and then alphabetically by
the interviewee's last name. To find a specific interview or set
of interviews, refer to the index. The index contains a cross-
referenced listing of all individuals, position titles, and
divisions (by name and routing code).
In order to cross reference the notes, some position titles have
been standardized. Standardization is most obvious in the
interview notes of regional personnel. To follow the position
titles reference the following.
Regional Administrative Officer. .Medical Administrative Officer,
Program Analysis Officer
Covered Position Certification SpecialistATCS Certification, Fads, ASIs
Airman Certification Specialist. . . . . . . Airman Certification
ADAP Manager . . . . . . .Aviation Drug Abatement Program Manager
AME Program SpecialistAviation Medical Examiner Program Specialist
Most of these should appear straight forward. These titles do
not come from any job description standardization efforts which
may currently be underway within AAM. They have been created for
the sole purpose of making the following information more useful
to the reader. Most other positions have common names or are
unique and thus could not be or required no standardization.
THIS PAGE LEFT BLANK
HEADQUARTERS
Location: Headquarters
Interviewee: Curt Maloy, Program Analysis Officer
Plans, Evaluation ∧ Management Support Division,
AAM-100
Date: 5/24/91
Interviewer: Carol Wasserman
Curt is in the process of addressing the orders, Medical
Guideline Letters (MGL), and advisories to determine the
information that is really available, where it is located, who
has the orders and directives, and their status. Each RFS took a
group of the MGL and evaluated them.
It would be nice to have the text for AAM directives on-line
along with the ability to update and track this data. AAM-100 is
also responsible for distributing orders when they come out.
Curt uses a Personal Management System (similar to WordPerfect
Office). He also has AAM personnel information in a WordPerfect
table. He keeps information such as phone listings, employee
grade, title, and organizational zip code. He thinks Mary Reid
may have similar information on-line.
Curt is looking forward to the development of the budgeting
system.
Location: Headquarters
Interviewee: Dennis McEachen, Program Specialist
Plans, Evaluation ∧ Management Support Division,
AAM-100
Date: 5/14/91
Interviewer: Jim Frey
McEachen is involved in rulemaking, policy-making, standards
development, and special projects, such as form development,
issue papers, briefing papers, surveys and instructional manual
revisions. His work with rulemaking and policy-making requires
support from writer-editors, program analysts, technical and
medical experts, and attorneys.
Rulemaking involves identifying the need issue, or problem,
forming a team, determining the draft language and writing a
draft document. The document and supporting issue paper is
presented to the "Murder Board," a high-level policy board that
decides whether the agency will formally provide administrative
and technical support for the project.
There are 3-15 team members who are "core" people so that things
don't get bogged down. Major rulemaking are usually multi-user
and require considerable man-hours of work. Establishing the
proper team is important. Sometimes industry gets involved.
Individuals who are concerned may meet with the team and this
involves recording transactions with individual representatives.
Regional Flight Surgeons or the public may bring up issues.
Rulemaking can affect 700,000 pilots. So, consensus is
important.
Rules are modified to allow latitude to accommodate groups such
as the Aviation Medical Examiners, Aircraft Owners and Pilots
Association, and Airline Pilots Association. The Office of the
Chief Counsel plays a significant role in rulemaking as experts
in litigation, rule language and interpretation. Dr. Hark
confers with the FAS for medical guidance as well as the Regional
Flight Surgeons and Dr. Audie Davis at CAMI. Flight Standards is
usually involved, as well as the Office of Aviation Rulemaking
and APO, which performs economic evaluations, such as
cost/benefit analyses. APO is second in importance to legal.
The rulemaking process may begin with an advanced notice of
proposal, a notice of proposal or the final rule. Minutes of the
early meetings are kept and used internally by the team members.
The rule is published in the Federal Register, which normally
generates written comments (50 - 1000+) that must be reviewed and
categorized by sender and subject matter. A summary of the
comments is developed that addresses the issues, proposed
revisions, and recommended actions to be considered.
Policy involves developing a draft that is revised by the
administrators. Regional Flight Surgeons, legal and any other
offices that the policy might affect have input.
Policy principally concerns airman certification and ATCs, i.e.
administrative matters, medical standards, and special issuances.
Medical Guideline Letters (MGLs) which are issued by AAM-100 are
distributed to AMEs. McEachen said that Shirlene Wilson handles
production of the MGLs but that the persons responsible for
composition in AAM-100 have retired. Agency orders contain
policy information for federal employees, such as ATCs and AT
employees and are distributed according to desired routing codes.
"Policy papers," i.e. MGLs, in memo format are signed by the FAS.
Their distribution depends on the agency's strategy, but will
generally be distributed to the Regional Flight Surgeons and
their staff and the group of employees who are affected.
[There's no distinction between a Policy Paper and an MGL.] CAMI
has a lot of unwritten policy, and rule-making puts policy into a
regulatory format.
McEachen does not have access to the RFS-BBS, but intends to get
it soon. He has online searches performed through the
Departmental Library, though he has not needed this service
within the last year. He also uses the FAA Library and the Law
Library. He has also requested information from the CAMI library
and received copies of articles regarding new medical procedures
in about a week. McEachen has received support from the Library
of Congress through the departmental library, but this normally
involves a time lag, although he can receive hard back books
within 2-3 days.
McEachen uses a list of specialists/consultants that is not the
same as Dr.Spann's, although the lists may overlap. When seeking
information, he will contact "alphabet people" from groups such
as AOPA, ALPA, etc., for their comments, views and insights. He
manages a "tremendous volume" of names, addresses and phone
numbers using a rolodex and maintains folders on different
projects. When requiring internal assistance, he goes to his
manager and approaches organizations when requiring external
participation. His work as a writer and liaison primarily
involves consensus development and significant brain-storming.
WordPerfect is McEachen's primary PC application and he has used
Paradox twice in six months to display economic evaluation data.
He has used Harvard Project Manager, but has difficulty with its
substantial memory requirements. He has E-mail (FAA Mail) and
receives a newsletter containing aviation news items via the LAN.
He would like more training in PCs and applications, especially
Harvard Project Manager, Paradox and spreadsheets.
Location: Headquarters
Interviewee: Mark Adams, Supervisory Program Analyst
Plans ∧ Evaluation Branch, AAM-110
Date: 5/23/91
Interviewer: Carol Wasserman
Regional Flight Surgeon (RFS) Activity Reports provide
information on workloads and accomplishments for the Federal Air
Surgeon (FAS). The reports are sent to the FAS and then to Mark.
Today they are also used by the evaluation team (Mae and Mike).
They reference the reports before going out to the Regions.
Carol Mattox keeps the RFS Activity Reports on file. Mark and
Carol are working on a plan to determine the appropriate
information that must be collected on the reports and then will
automate the reports. If the information were automated they
would be able to use it for trend analysis.
Monthly activity reports that are completed by the CAMI divisions
are also sent to the FAS and then to Mark. They serve the same
purpose as the RFS Activity Reports. Both these reports are kept
for at least 2 years and are a way of providing information to
the Inspector General if required.
Agency direction is provided by APR. This will probably change
due to the projected organizational changes. APR is charged with
providing a consolidated position for the AXR Offices. All
requests for information are supposed to go through APR but
oftentimes Mark is asked directly for something and he may
respond directly to the inquiry.
Mark may receive a draft order or advisory from either APR or
another Office and send the draft out to the region for input.
He would then forward their comments to the requesting
organization.
Mark has a 5 year plan for the evaluation program. This plan is
updated every year based on current year experience. A tracking
system is under development to track the evaluation results and
follow up activities. The evaluation program entails going out
and asking questions about how and what is done in the regions.
The evaluation is based on an order that describes how to do
evaluations. At the end of the evaluation, the evaluators brief
the RFS with their findings (for example, what they are doing
that is good, what is not so good, how to fix the problems).
They then brief the regional administrator on any interdivisional
problems or issues. A report is then written to document
findings and recommendations and sent to the regions. The
regions have 45 days to fix the problem and respond to the
report. Administrative people in AAM and the FAS are also
briefed on the evaluation results and the response.
An Action Tracking System is currently under development. It
lists summary information on the evaluation, the findings,
recommendations, and what the region has done to follow up. It
will enable the evaluators to do an automated Delinquency report.
Delinquency data is frequently requested by AAM-100.
The Action Tracking System is written in Clipper. It was
acquired from another agency and is being modified for AAM use.
While it is probably not 100% what they need, it is better than
the others that they looked at. It is taking some time to load
the findings into the system. Using the system is, however,
improving the evaluation program because it is enabling them to
see where recommendations were unclear.
Mark is also responsible for administrative activities. For
example, when the office physically moved to this building he had
to handle all the logistics. This activity involved telling the
Logistics area AAM's requirements.
All AAM directives are cleared through AAM-110. For example,
CAMI does the technical work to write an order and sends it to
Mark. He decides who should review it and ensures that it is
typed up in the appropriate format. He sends the draft to the
appropriate area (for example Airway Facilities) and receives
their input. Mark then distributes it through Management
Systems.
They are currently working on getting an accurate inventory of
AAM orders. Information that is being compiled is an inventory
of the orders, when they were written, and an estimate of their
useful life (i.e., when they should be reviewed and possibly
updated). There is a disposition schedule that describes how
long an originating document should be kept. This schedule
provides a means of telling people when it is okay to throw
something away. The directives and orders should also be
disposed of according to this schedule.
The Freedom of Information Act (FOIA) imposes some record-keeping
requirements. FOIA basically states that all government
information can be made available to anyone requesting the
information. All written requests for information that mention
FOIA must be responded to within a specified period of time and
the request is handled according to FOIA procedures. The Privacy
Act exempts certain types of information that Congress designated
as private from FOIA. For example anyone can ask (under FOIA) if
person X has a medical certificate. This is public information.
They cannot ask for the contents of the medical certificate
(i.e., medical conditions) because this information is legally
deemed private. Individuals with a "need to know" may be able to
access the data however. Anytime that anyone wants to collect
any information about privacy act data, they are supposed to
register this data collection under the System of Records.
AAM has several systems. They have the Aviation Daily (aviation
industry daily newspaper) on-line and the ability to download it
into WordPerfect. Everyone in this office can access this data.
They are in the process of getting a wide-area network to connect
the Regional Offices, CAMI, and Headquarters. Mark will then be
able to send Aviation Daily to all of AAM. This paper is one
thing that helps him to do his job better.
There is an internal mail system through WordPerfect Office that
AAM-100 currently uses. This will be a useful AAM-wide internal
mail system. This office also has the FAS Bulletin Board and
FAAMAIL. Everyone in this office has a workstation with access
to LOTUS 123, WordPerfect, Paradox, and Harvard Graphics.
The Correspondence Mail Control System is an automated system
that the secretaries use to track the status of incoming
correspondence that requires action. It assigns a control number
to each package that is distributed to someone in AAM and
generates a cover sheet that lists who it is from, who it is sent
to, subject, due date, action office, closeout date, and action.
Reports are then produced on all overdue items. There are
several communication protocols that everyone has access to
including ProComm.
The Medical Administrative Officers (MAO) are Mark's primary
contact in the regions. He has a weekly telecon with them that
the entire regional division is invited to attend. They discuss
actions that they need to or are currently taking on different
issues. Follow up information is typically sent in writing.
The role of the IRM Working Group is perceived differently by
different people. One view is that their responsibility is to
solve technical problems encountered by AAM users in the regions.
A second view (the prevailing view) looks at their role as
reviewing systems development and acquisition activities and
fostering and developing compatibility and standards. Mark is
currently considering addressing the need expressed by the
technical-problem-solving view by setting up a form on the
network where people can write in problems. At specified
intervals, someone will review and attempt to resolve these
problems.
Mark would also like to incorporate some of the drug abatement
program systems into the network (the upcoming WAN) to give the
regional ADAP people access to the software.
Mark would also like a way to track project status and dollars
for each project in the IRM plan.
All requests for purchases/acquisitions of computer
hardware/software are supposed to be through Mark's area. All
OATS purchases are entered by Carol Mattox on the Standard
Acquisition Management System (SAM).
Location: Headquarters
Interviewee: Mae Lapane, Program Evaluation Specialist
Plans ∧ Evaluation Branch, AAM-110
Date: 5/23/91
Interviewer: Carol Wasserman
The Appeals Information System (AIS) is the medical/
certification support system that used to be on the Wang VS100 at
Headquarters. The AIS contained data that documented final
decisions made on appeals and NTSB cases. The type of data
entered included the basis for the decision, the test and
abnormalities the airman had. A tracking system was later added
that documented when cases were received from Oklahoma City (OKC)
and the changes in case status until the appeals action was
completed and the case sent back. The purpose of the system was
to be able to disseminate reports to the Regional Flight Surgeons
(RFS) so that they would know what the latest decisions were on
certification cases and the background of the case. The goals of
providing all RFSs with this data was to foster more consistent
decision-making.
Last year, when AAM moved to the Tariff building, the system was
dismantled because data could not be entered from that location.
The system was transferred to Oklahoma City where Mae believes it
was the basis for the special issuance system.
Data entry on this system was also a problem. The information
was cumbersome to extract from the file and create reports.
Action Tracking System (New system developed using Paradox -
called Aviation Medicine Evaluation Tracking System (AAMET))
One of the summary reports from the system lists the
recommendations and the associated actions. The region is
identified, followed by the evaluation year, and each
recommendation (sequentially numbered). There is one line for
each recommendation.
The database contains a description of the evaluation finding,
recommendations, and follow up dates and actions. The system is
also intended to help them determine if a problem is national or
local as well as the status of the recommendations (action taken
or not).
When the evaluation report goes out to the field, all the
information will be on the system. Formal memos will only be
sent out to the regions on delinquent actions. The regions
submit quarterly status reports to Mae or Mike describing what
they have done with respect to the recommendations. All
evaluation information is currently maintained in a folder.
Location: Headquarters
Interviewee: Carol Mattox, Computer Systems Analyst
Plans ∧ Evaluation Branch, AAM-110
Date: 5/14/91
Interviewers: Claudia Cardile
Her responsibilities include overseeing the LAN at HQ and
evaluating software packages.
OATS
She is required to attend OIC meetings/telecons. She also
processes all OATS Purchase Requests for HQ and the regions. For
some of the regions and HQ she puts the Purchase Requests (PR)
into SAM. Some regions can access SAM and put their own PRs into
the system although she must still check over all the PRs for
correctness. She reviews the requests to make sure, for example,
that all the cables are ordered or the required software packages
are on the order. She also checks the configuration plan for
completeness and correctness. She then checks that the required
signatures are all present and that it conforms with the IRM
plan. She sends the PR to Mike Dunlap's office for a signature.
The PR then comes back and she makes a copy for her files and
sends the original to the requestor.
If she finds some problem or discrepancy, she will call the
requestor for clarification.
Equipment
She is the first contact with respect to maintenance or problems
with the equipment. If there is a minor problem (such as
rebooting the machine) she will take care of the problem. If
there is a major problem with the LAN the contractor who
installed it (PSI) will look at it. APR has a maintenance
contract which takes care of the equipment. If there is a
problem, she types up a memo and stores a copy of it.
LAN
She makes sure that the LAN is up and running. If there is a
problem, people come to her for a solution. She must check on
the problem.
She does not complete any reports. The contractor keeps a
written log of problems that is available across the network (for
network administrators only).
There are 9 OATS machines and 55-60 users with other types of
equipment (Compaqs, Dells). The OATS machines still run Novell,
WP, and Lotus. It will 2-3 years before they convert to the OATS
platform.
A brief list of software available on the machines is WP, Grammar
Check, Lotus, Paradox, Mail Control System, WP Office, HG, and
Communications - for people who need it.
Aviation Daily, Utilities, and an AAM-110 Application are
specific to her machine and a few others.
Cost/Benefit Study
When she does a PR, she puts the information on her copy of the
PR. She will look at different vendors for the best price and
use this information for future purchases.
She keeps a copy of everything she sends out of her office.
Logistics receives a copy of the PR with the vendor selected, and
they then go through the same process of looking for the lowest
price.
CAMI
She has contact with CAMI when they send a purchase request. She
also receives questions about software from them. She has
contact with Earl Folk about OATS matters.
Miscellaneous
She has no real contact with APR-110. She does have contact with
APR-300 when doing PRs. APR-300 gets involved when there are any
automation, maintenance, or OATS issues. APR is also in charge
of the OIC meetings, setting the budget for OATS, and training.
AAM automation contracts are all on-line.
She is in the process of trying to revise the RFS activity
report. They would like to automate this report. She will have
to visit the regions and ask for their input.
She gets access to the ASAS subsystems for other people. They
must fill out a form and she inputs the information into the
system. They then get access to the systems (HIS ∧ ISIS) She
sends a hard copy to OKC requesting access. She must authorize
the use of AAM databases.
Location: Headquarters
Interviewee: Mike Vachon, Program Evaluation Specialist
Plans ∧ Evaluation Branch, AAM-110
Date: 5/14/91
Interviewer: Jim Frey
Vachon is developing evaluation plans for FY92. Evaluations
involve travelling to the regions and clinics and spending a week
at the site while performing the evaluation. The evaluation
function identifies deficiencies, ensures follow-up and
resolution of problems, reports findings and amount of dollars
expended for resources annually.
Sites are notified by the FAS of an impending evaluation 90 days
in advance. No evaluations are performed unannounced.
Information provided includes: type of evaluation, length of time
required, number of people to be interviewed and requests for
specific types of information (personnel, training, etc.).
Preparation for a site evaluation requires about a month.
Workbooks are made up for each team member (4-5). These include
everything a team member will need to perform their evaluation,
including taking notes from interviews. The workbook is like a
catalog with a table of contents, segmented by program areas,
including all necessary orders and directives, information about
the site (site map, regional facilities map, organizational
chart, directory of personnel: titles, phone numbers, office
numbers, etc), itinerary, team member responsibilities and
agenda. Vachon said that the group should have training prior to
the site visit, but they don't because of money and travel cost.
On site, the team initially reviews the evaluation plan which
includes daily assignments for each team member of the eight (8)
AAM programs. Each team member provides a written report by
program area at the end of the day and must verify that
problems/issues are true and described to the best of their
ability. Information is gathered and entered in the workbook.
This includes findings, discussions/review of situation and
recommendations in long-hand notes (portable computers are used
for drafting close out reports for Regional Administrator).
Individual reports, submitted to the team leader within two
weeks, are consolidated into a final confidential report. The
use of names is not used in order to provide anonymity. Two
copies are sent to the Regional Flight Surgeon and Regional
Administrator. One (AAM-100) copy is kept and filed and the
individuals keep their individual reports. Some information is
summarized for tracking purposes for follow-up reports due back
for each region in order to close out all findings. The IG has
access to these reports and one copy is sent to higher levels of
the FAA.
While on-site, Vachon attempts to combine the interview reports.
An exit interview is held with the RFS upon termination of the
visit, at which point, it is very important to "have the facts
right." This is ensured by daily day-end meetings to review
information gathered from all areas and comparing notes.
Onsite visits include interviews with FAA personnel outside of
OAM's purview, such as the ATC or AF Manager and staff. It is
important to interview people with substantial "institutional
knowledge."
The final report is reviewed by Mark Adams, Curt Maloy and the
Federal Air Surgeon. It requires 5-6 months to complete the
evaluation process, part of which is due to a lack of clerical
support.
AAM-110/Evaluation staff receives monthly activity reports from
Carol Mattox regarding OATS contracts and budgetary information
(from Carole Kelly.) Mae Lapane handles historical weekly
activity report "of everything in Aviation Medicine" for FAS
signature through APR to the administrator. She receives
regional activity reports through the RFS-BBS for the overall
report.
AAM-110 keeps a comprehensive listing of all evaluation reports
from their start. Evaluations can be initiated because they are
requested by a person on-site or the Federal Air Surgeon or other
people within the FAA who are aware of a problem at the site.
Follow up evaluations are also conducted within one year to
ensure resolution of a previous problem. No sites are selected
randomly.
Evaluation Order/Aging spells out requirement for doing
Evaluations. The evaluation team uses any GAO, IG and Risk
Assessment reports in existence as a foundation for its work. IG
reports are provided on a "need to know" basis. However, the
relatively narrow scope of these reports does not make them
particularly necessary.
Team members primarily use word processing. Separate files are
maintained on Vachon's PC, which is networked to provide access
over the LAN to his associates. His hard-drive is segmented into
directories to organize correspondence and reports. Vachon will
look for information in computer files rather than hard copy and
re-uses word processing documents.
Vachon has access to RFS-BBS and participates in weekly telecons
for direct communication. The RFS-BBS is very informal and is
good for sharing medical information.
Vachon has a Clipper database on his machine called the "Action
Item Tracking System" that is used to log evaluation summaries
and run reports.
"Everything" is done in triplicate and a copy is kept in the
office files as well as in personal files, because office copies
tend to disappear.
Vachon handles all travel arrangements (flight, hotel and ground
transportation) through SATO. Hotels are generally selected
based on recommendations.
Location: Headquarters
Interviewee: Shirlene Wilson, Management Assistant
Plans ∧ Evaluation Branch, AAM-110
Date: 5/28/91
Interviewer: Carol Wasserman
Shirlene works with the forms and directives and has
responsibility for other of AAM's paperwork management. All AAM
directives and orders are currently maintained in a cabinet.
There are many of these documents although there is no current
inventory or document status available. AAM-110 is aware that
this is a problem and is working on a plan to catalog what's
there and determine whether each document should be updated or
discarded.
A Directives handbook which describes how to manage the orders
and directives is being updated by the Directive Management
Office (DMO).
Shirlene is the contact person for regional people, CAMI, and
AMEs who need forms and orders. She will send them forms if they
have them in stock and order them when necessary. She does not
typically log requests for forms, only if they are for large
numbers of forms.
If a directive must be updated, the draft order is sent to AAM-
110. The draft is reviewed by the required people and comments
are incorporated. The updated order with an accompanying form is
then sent to Management Systems (AMS). They start the processing
of the order and get it printed. The accompanying form lists
instructions for distribution. The original and the order form
are then returned to AAM-110 and filed.
Other information that must be maintained is vital records data.
Vital data is information about each order such as data written
and date it should be updated or discarded. This information is
not current for each order and AAM-110 is in the process of
developing a plan for recording and maintaining vital records
data.
Shirlene also deals with Freedom of Information Act (FOIA)
requests. All FOIA requests are channeled through APA. APA
sends applicable requests to Shirlene. She determines the AAM
organization who can respond to the request and sends them the
request. They send the information to the requesting party and a
copy to Shirlene. She sends a copy of what was sent to APA and
completes an annual report logging AAM's role in FOIA for the
year.
Shirlene also maintains non-AAM forms and orders that are used by
this Office.
Location: Headquarters
Interviewee: Carol Kelly, Financial Manager
Management Support Branch, AAM-120
Date: 5/28/91
Interviewer: Carol Wasserman
Carol is in the process of writing a standard operating procedure
(SOP) that describes the information that she needs and how to
supply it. The guidelines or SOP will ensure that all
individuals both in the region and at CAMI have the same
interpretation of all categories of information and provide that
information in the same format. One accomplishment this year was
to standardize the forms on which regional and CAMI data is
collected.
Program Budget information and workload data are the most
important information for Carol. The reason is that
Congressional OMB and other requests are focused on programs.
Workload data is necessary to justify requests for additional
positions and dollars. The four major areas for which budget
information is submitted are: Workload, Program Budgets, Figure A
object (accounting type breakdown), and contract summary.
At the present time it is hard to get clear information either on
current needs and their justification or on historical budget
information. Budget information was typically not maintained in
an easily accessible form and the information that used to be
provided was not always collected in a dependable or consistent
manner.
The "Call for Estimates" is a set of instructions on preparing
the budget. This year the "Call" was sent with a diskette (Lotus
spreadsheet) that requested the regions and CAMI to plug in
numbers. The regional budget preparers did not have to determine
formulas or formats. The regional people get their budget
together and send it to the Regional Budget Office who sends it
to the National Budget Office (ABU). ABU collects and
summarizes the information and sends the original breakdowns and
the summaries to AVS who sends the information to Carol Kelly.
AVS reviews the budget information but does not add or delete any
dollars or items. The breakdowns that Carol requests are not
part of ABU's call for estimates but separate AAM requirements.
Carol sends her requirements to AVS and also to the regions. AVS
does not send Carol a diskette of budget information. She only
receives hard copies from AVS and from the regions.
This office needs access to the Budget Information System (BIS)
maintained by ABU. The BIS contains current obligations and
expenditures. She currently has access to the Davis system
(accounting system). Access to the BIS is critical.
The absence of automated office-wide electronic mail makes
Carol's job harder because it is not possible to send or receive
files electronically. Currently information that is required the
same day is sent by fax and she has to re-enter and summarize all
the data.
There is a standard form for budget increase papers (a
justification statement). Carol is working with the regions on
ensuring that the justification information that they submit for
new dollars and positions meets her needs with respect to format
and content. She put together a series of questions that they
must answer that will give her the information that she needs.
Carol provides overall AAM summary requirements to ABU. She must
have clear and succinct justifications for new programs which
must be supported by the appropriate statistics. It is very
difficult to get the appropriate workload and activity
statistics. Types of programs that she must justify, for
example, are the resources required to re-open the clinics or
additional ADAP positions. Statistics on different problems that
people have for OWCP (workman's compensation) claims for example
would help justify additional Industrial Hygiene Resources.
Carol needs access to the Department of Labor OWCP claims system.
Carol also needs access to the TRIMATE system for personnel and
training information. The PMIS listings that they get often
contain out-of-date information, particularly with respect to
vacancies. AAM-120 sends a vacancy status report to Dr. Jordan.
Report information must be obtained from the regions and CAMI.
She works with Mary Reid to complete this report.
Other input that she uses to determine overall AAM needs are
reviews of rule changes and their impact and other regulatory or
common requirements that may have been overlooked. She reviews
the budget carefully with other Headquarters people to ensure
that nothing critical is overlooked.
The Budgetary Authorization report is a summary of allowances
that is sent from the National Budget Office to the regional
budget offices. It is up to the regional budget offices to
distribute it to the regional divisions. This is why some
regions said they received the report and others said they
didn't.
The regions and CAMI submit quarterly reports (financial plans)
to AAM-110. The plans indicate how they are allocating the
year's allowance. The quarterly report are by object code
(objects are a specified way of breaking down budget
information).
The quarterly plan and actual obligations are information for the
accounting system. They explain the difference between the plan
and the actual expenditures. Submission of this information
follows the same path as the budget. This information is also
requested by the budget office on Lotus diskettes. Carol doesn't
get this information on diskette and it is often difficult for
her to get a copy of the quarterly reports.
The Federal Air Surgeon approves the total AAM budget after it is
reviewed and approved by multiple individuals.
Carol is not highly involved in the research budget. The chapter
8 human factors research order documents this whole process.
There is less detail required for the research budget than for
the operations budget. This process is undergoing a major change
at the moment.
There is not necessarily any correlation between the workload
data on the Regional Flight Surgeon's Activity Reports and her
workload figures. It is the same thing with the monthly activity
reports. Carol must be aware of is the numbers that have been
submitted with respect to workload by a particular area. Her
numbers must tie with theirs. It is a risk area that different
groups are collecting and reporting on workload data.
Location: Headquarters
Interviewee: Martin "Doc" Miller, Supervisory Management
Analyst
Management Support Branch, AAM-120
Helen Zingman, Management Support Specialist
Management Support Branch, AAM-120
Date: 5/23/91
Interviewer: Carol Wasserman
The regional divisions feel that they are not getting all the
training they need. The proper way to acquire nation's training
is for the regions to write training proposals stating what they
need and then AAM-100 would bring the proposals to AHT. This
procedure is not currently followed.
All Washington DC regional training information is currently
maintained on-line on a Lotus spreadsheet. Data on the database
includes the person's name, branch, where they are going, whether
the training has been approved by AAM or AHR.
The "call for training" is a request for AAM headquarters
managers and his/her people to tell AAM-100 who needs training
and the type of training required. This information is submitted
to AHRT. The managers receive a computer printout telling them
the training courses and number of slots that they are receiving.
Funding for training comes from AAM and AHT-140 at the present
time. Different forms need to be filled out for different types
of training. A 10 part SF182 is completed for out-of-agency
training (such as OPM training). This form is approved by Human
Resources (AHR). Evaluations must be completed for out-of-agency
training. Form 3013 is used for management training at the
Center for Management Development (CMD) in Florida, the Academy
or in TSI at CAMI (form 3013 must be approved by AHR prior to the
training).
A memo of understanding was signed between the Office for
Training and Higher Education (AHT) and AAM that requires AAM to
submit a monthly report on how the training funds have been used
and the dollars that have been obligated.
Helen is completing a training plan for the next 4 years to
obtain additional funding from AHT. The next step is to send
training proposals to AHD and request guidance on appropriate
avenues of achieving this training.
Headquarters is involved with regional training when regional
needs cannot be met by the regional training people or when the
training involves AHT dollars. Training needs are determined by
an evaluation team, JTAs, and Telecons.
Helen would like to do individual training plans for all the
employees at Headquarters. She also wants to determine the
training courses that are required for each Headquarters
position.
Location: Headquarters
Interviewee: Mary Reid, Management Analyst
Management Support Branch, AAM-120
Date: 5/23/91
Interviewer: Carol Wasserman
Personnel deals with any issues, concerns, or regulatory changes
that deal with pay, policy, employee relations, staffing, job
classification, and related areas.
Mary deals with the people end of the budget. Carol Kelly
provides the budget expertise, Mary keeps all the vital
information about who fills the positions, the number of
vacancies and other employee-related data.
Her major source of automated information is the PMIS listings.
Mary does not have access to PMIS, she uses listings from PMIS.
She would like to have access to the all included region AAM
subset of PMIS data and be able to query this data. PMIS
employee data is supplemented by information that is sent in from
the other AAM divisions. This is mostly personnel data, what the
Divisions have done to fill the position, and verifying the
number of open positions. Mary also uses Federal personnel
manuals and the employment laws in her work.
PMIS is a monthly listing. The only thing that it doesn't show
is vacancies. Vacancy data is obtained from the regional office
and verified by Carol Kelly. Vacancy data from the regions is
obtained informally; as Mary needs the information she requires
either by phone or in writing them for it.
She is asked for many types of statistics about AAM employees
such as the number of employees who are eligible to retire in the
next 5 years. She would like to have automation support to
compile and report on these statistics. Right now she compiles
them manually.
If a system exists where all OPM regulations are stored, AAM
needs access to it.
One key personnel form is the SF52, Request for Personnel Action.
The SF52 is completed by AAM requesting the action and sent to
Personnel (OPM) for entry into PMIS. The Notification of
Personnel Action is then an output of PMIS. Other types of
reports that are completed include basic staffing reports.
Location: Headquarters
Interviewee: William Hark, M.D., Program Manager
Medical Specialties, AAM-200
Date: 5/15/91
Interviewer: Jim Frey
Hark has program control over the Employee Health Branch, Chief
Psychiatrist, Biomedical and Behavioral Sciences Branch, Medical
Standards and Drug Abatement. He is not involved in broad budget
or personnel issues. [Hark acts as a "filter" for the Federal
Air Surgeon (FAS), bringing issues to the FAS when necessary and
acting as an interface between the FAS and lower levels of the
organization.]
In medical certification, Hark is involved in policy-making and
handling individual cases. Much of this can have national
prominence and provoke congressional interest. He is involved in
almost all special issuance requests at the HQ level. Hark
reviews documentation provided by CAMI on Special Issuance cases
and plays a general trouble shooting role. Complicated cases in
which processing has been mishandled or doctors simply disagree
are time consuming. Congress may be "beating" on it and it can
require much research and review. Hark records documents in his
possession (he doesn't get files) and believes that a copy of the
denial letter is kept in the "Day" file, maintained by the FAS
secretary. The Day file contains all correspondence in
chronological order. AAM-200 extracts relevant information into
a Paradox database of cases they have reviewed. The application
is not very sophisticated, but provides quick reference (screen
display) to verify that cases have been received and reviewed.
There is a tremendous amount of correspondence from a multitude
of sources.
Policy-making primarily affects pilots, but also affects ATCs.
The ATCs are decentralized and they are handled by Regional
Flight Surgeons. The straight-lining of RFS to the FAS led to
new problems beyond the fragmentation and inconsistency of policy
for ATCs. Bringing consistency to ATC policy has gotten ATC
Unions involved.
In determining policy, Hark must coordinate with many people and
organizations. However, this process must be simply halted at
some point or otherwise it will continue forever. In
establishing policy, he must consider every possible effect
caused by policy change.
Hark plays a part in formulating policy, and can initiate change
and set policy. He often needs to be apprised of the "situation"
and policy. He will make recommendations, take direct actions if
necessary, and interact with many organizations.
Employee Health
Don Watkins is the head of the Employee Health branch. Hark
reviews individual cases and Dr. Watkins' decisions regarding
case disposition. Problems can arise from new policy issues that
are triggered by changes in politics, legislation and technology.
This leads to a review of the policy or regulation to determine
if it is still appropriate, leading to the development and
promulgation of new policy. Watkins tracks cases.
Hark reviews Employee Health program changes with Watkins. This
normally involves ensuring a consistent "view" or direction of
the program in concert with other FAA or government agency policy
and direction and that it makes "bureaucratic sense."
Much of Hark's job involves communication through individual and
staff meetings, telephone conversations, memos, E-mail and the
RFS-BBS. The Regional Flight Surgeons and the AAM-200 staff
check the RFS-BBS daily. Hark likes the RFS because of its
message handling, quick response, ability to log on from home and
"improved access without phone calls." He still sends memos for
a formal response. There is a tremendous volume of memos FAXed.
He also participates in the RFS telecons on Tuesday and with
CAMI.
Hark maintains reviews and evaluates the Chief Psychiatrist's
case evaluations of specific patients and employees. He
participates in developing basic policy for the certification of
pilots, medical clearance of employees and implementation of
broad employee programs, such as alcohol and substance abuse. He
is involved with problem psychiatric cases and acts as a
consultant to CAMI and the Regional Flight Surgeons. His overall
role is to review case decisions and form policy from a legal
stand point.
He is in court "constantly" and emphasizes the extreme importance
of wording to insure legal and medical accuracy in all
correspondence and discussions. (According to Hark, Jon Jordan
is an attorney.) OAM is supported by a staff of attorneys with
the general counsel who are "not as responsive as they should be"
because they're "swamped." Most communication with Legal,
located on the floor above, is face-to-face.
The MGLs have no legal function, i.e., they are only guidance.
An agency order requires compliance as does the Code of Federal
Regulations.
OAM has a broad need for experts/consultants at HQ. They have a
wide range of concerns due to the number of branches and programs
involved. Hark maintains a list of consultants/experts that
overlaps with CAMI's list. Consultants help reach consensus and
"keep everybody honest." He uses consultants to refer him to
other experts or people at the top of their field. Journals
point to authors. Files are sent out for review to consultants.
The library sends a newsletter from the publisher every two weeks
that reviews and summarizes 35-40 separate journal articles
encompassing the entire medical field. The Departmental (DOT)
Library, GW University or the National Library of Medicine
provide full text of articles that are delivered by courier or
electronically.
Don Watkins goes online (MEDLINE) and provides print outs of
citations. He gets too much sometimes. Hark also uses the Merck
Manual, PDR, USPDI, Drug Evaluations, The Medical Letter, and
unique texts.
Hark is less involved with the Biomedical and Behavioral Science
Branch. He gathers research requirements at HQ, discusses
research results and connects CAMI's and HQ's research
activities. He reviews research activities and reports, but
provides little direct guidance. His role is mostly advisory.
Drug Abatement is similar, but he has more contact (on a daily
basis) with ADAP. He has to be knowledgeable about ADAP
operations. His main concern is policy and direction, ensuring
the proper bureaucratic sensitivity, and makes suggestions
regarding program issues. Hark reviews "numbers" coming in from
carriers, which are of academic interest. The associate
administrator may have questions regarding these industry
reports. Harks uses ADAP carrier annual reports when necessary,
that show who is being tested, for what, etc. These are
extremely sensitive because of possible public inference
regarding substance abuse in the industry.
Hark receives a "stack" of activity reports from CAMI. Most get
thrown away. He receives monthly information that is "a quarter
of an inch thick." He has little concern for most numbers that
are only important for identifying bottle necks at CAMI. He
believes the FAS also receives these reports, but does not know
the extent to which he may review them. For his part, he feels
he could easily call and ask for them when necessary.
Hark mentioned a BBS that may be in development for Division
Managers. He believes that ultimately OAM will have a LAN, an
electronic document library and direct system links with CAMI so
that they will be able to call up and work on each others
documents. The agency's E-mail system is not implemented to a
large extent at HQ.
A database that summarizes cases reviewed at HQ dating back to
1981 was implemented on a WANG VS that is shared with other parts
of HQ. It is just being "terminated" and there is no money to
convert it to another system. OAM will lose the ability to
update the database, but will still have the data. The CAMI
Special Issuance database has "much less information." One
problem with this database is that because of the dynamic nature
of medicine, medical procedures and medical technologies, this
information quickly looses value and relevance. Cases must now
be tracked through the HQ paper trail.
Location: Headquarters
Interviewee: Steve Hecht, Administrative Officer
Drug Abatement Branch, AAM-220
Date: 5/14/91
Interviewers: Claudia Cardile
Action is underway to raise the Drug Abatement Branch to Division
status within Aviation Medicine.
Inputs
Besides the plans themselves, the aviation industry is required
to submit a semi-annual summary of drug test results from
aviation employers. This is usually a two page report.
A contractor puts the information about the employer anti-drug
plans into DPTS as well as the data from the semi-annual reports
of drug testing results.
Both DPTS and the CEDMS are stand-alone systems at this time.
The Branch would like them to be networked for greater access by
people at HQ and the regions.
Outputs
Summaries of semi-annual reports are distributed. The Branch
also does weekly activity reports which go to the HQ hierarchy
and to the Department Drug Office. They make periodic reports on
topics such as the drug plans and approvals, as well as special
analyses of drug plans, testing results, and compliance efforts.
Compliance
Letters of Investigation are sent out to carriers when there are
questions about their compliance status. There is a status
report of how many Letters were sent out, resolved, and still
pending. The data for this report is from DPTS. They will, in
the future, also use the DCMIS for this purpose.
The Compliance Program has standardized letters which are sent
out. Compliance Inspection is trying now to set up standardized
letters.
If a carrier is out of compliance, the Branch can use DPTS and
CEDMS to print letters saying why they are out of compliance and
telling them to send information to clear up the problem. If
these letters aren't answered, an investigation is opened. One
trigger initiating action such an action is the semi-annual
reports sent (or not sent) by aviation employers.
With respect to compliance inspections, they do an inspection and
the data is collected and analyzed. If an enforcement action is
necessary an enforcement letter is sent. The letter is somewhat
standardized except for the exact reasons listed as to why an
enforcement action is necessary.
For new company or entities which haven't filed a plan, a letter
is sent specifying that one must be filed.
The Compliance and Enforcement Data MIS contains inspection
information, scheduling of inspections, and enforcement
activities. The status of all these actions is recorded in the
data base.
AAM-220's MIS needs are documented in a study done by the
Battelle Organization.
Inspection
A checklist is contained in the CEDMS system. The inspectors
using a laptop computer with the checklist, simply write to the
file while doing inspections. This data is then loaded into
CEDMS. The checklist, when completed, can generate an inspection
report. The inspection reports receive a number of legal on
higher management reviews. before action is taken on them.
Outside Contact
Aviation employers call about interpretation of the rule, e.g. in
unusual cases. Clarification and interpretation of the rule is
often given over the phone. There are seminars and conferences
set up with aviation employers to better inform them about the
rule. In complex unusual cases, the Branch asks the employer to
send a letter before an answer is supplied.
Regions
There are weekly telecons with regional anti-drug personnel, as
well as frequent telephone contact as needed. HQ sometimes asks
the regions to follow up on employers based in the region. When
more personnel is added in the future, there will be more contact
with the regions. The regions will take over more
responsibilities and pass more information. They may participate
in changes in employer plans, and will be heavily involved in
compliance inspections and enforcement. This will mean that
there will be summary reports and correspondence on related
issues. He feels E-mail would be useful. The telefax is
currently a vital means of communication.
Procedures and Manuals
The Red Book is a collection of guidance including the Rule and
changes and clarifications to the Rule. The Rule is the Federal
Aviation Policy. The Red Book was developed at HQ and sent to
the Regions and the industry. There are also Administrative
Policy and Procedures which govern the FAA and affect Personnel,
Budget, Finance, and MIS. HQ's Drug Abatement Branch receives
much help in administrative functions from AAM-100. There are
not many internal procedures written down at this time. There is
also a Compliance and Enforcement Manual which tells how to do
inspections and what to do with the findings of the inspections.
There is currently no systematic procedure for capturing policy
interpretations to facilitate the provision of consistent answers
from the industry on questions about application.
Complaints
Some industry employees complain to the Branch about testing
procedures or results. These complaints often must be
investigated and may trigger an inspection. Usually if someone
calls in with a complaint, the Branch will ask that they send a
letter stating the complaint in writing.
Outside Contact
There is contact with the Office of the Secretary of
Transportation and other modes to coordinate policy throughout
the Department. The National Institute for Drug Abuse has set
national policy and certified labs to do Drug Testing. The FAA
must follow this policy. The NIDA sends lists of labs as well as
updates to the list. They also send reports on the amount of
drug use in the U.S. and how well programs are controlling this
use.
Any reports sent out by AAM-220 must be sent through the Federal
Air Surgeon. On a daily basis, perhaps 10-15 documents are sent
to the FAS.
Location: Headquarters
Interviewee: Kathy Ladika, Program Analyst (Plans
Evaluation)
Drug Abatement Branch, AAM-220
Date: 5/15/91
Interviewers: Claudia Cardile
The only system that Plans Evaluation inputs into is VIS.
The regulations they follow are: FAR Part 121 Appendix I (the
rule that is in the Red Book). They must also be familiar with
Parts 61, 65, 67, and 135. These are amendments to the Rule
which apply specifically to Drug Abatement.
The contractor has a checklist which is used to evaluate plans.
They don't access the VAX at CAMI.
Notes from the Battelle Report on Drug Abatement:
Data Management System - DPTS (Drug Plan Tracking System) and
CEDMS (Compliance and Enforcement Data Management Subsystem)
The Drug Abatement Branch accesses:
VIS - Vital Information Subsystem
CAIS - Comprehensive Airmen Information System
EIS - Enforcement Information Subsystem
AIDS - Accident/Incident Data Subsystem
AES - Automated Exemption Subsystem
ISIS - Integrated Safety Information Subsystem
DPTS/FAATS - FAA Drug Plan Tracking System
CEDMS - Compliance and Enforcement Data Management Subsystem
Inputs:
Regulations
Anti-Drug Plan
Amendments to Anti-Drug Plan
Inquiries from Regulated Entities
Inquiries/Complaints from Employee/Unions
Congressional Requests
Freedom of Information Act Requests (FOIAs)
Correspondence Related to Letters of Investigation (LOIS)
Reports from MROs on Positive Drug Test for Part 67 Certification
Holders
Semi-Annual and Annual Reports
Audit Reports
Data bases
Outputs:
Plans Correspondence and Approval
Response to Congressional Inquiries
Response to DOT/FAA Management
Letters of Investigation (LOIs)
Summary Statistics and Analysis Reports
Mailings to New Regulated Entities
Internal Reports/External Reports
Regional Reports
Audit Reports
Policy Statements
Docket Report - Pending Rule/Regulation/Policy Modification
Freedom of Information Act Correspondences
Schedules of Audits
Informative Bulletins
Location: Headquarters
Interviewee: Irma (Sam) Hart, Nurse Practitioner
Employee Health Branch, AAM-230
Date: 5/24/91
Interviewer: Carol Wasserman
Health Awareness Program
Sam is in charge of the National Health Awareness Program (HAP).
She sends the regions the names of national organizations where
they can get information on different program topics. The first
year she developed the topics based on what were nationally
recognized health issues (e.g., blood pressure, cholesterol).
The program initially presented a topic a month. Now she works
with the regional HAP coordinators to come up with broader topics
that will be covered each quarter. This year's topics are:
substance abuse, healthy lifestyles, cancer, and cardiovascular.
The regional people can determine the areas that are most
relevant to that region (for example skin cancer versus breast
cancer). If there is time, the region can also do multiple
topics within an area over the quarter. A quarterly program was
believed to give employees more time to get the screenings and
information, particularly in regions where employees are very
spread out. Monthly topics also put quite a strain on the
regional HAP coordinators. The coordinators send her quarterly
reports on what education and screening programs they did, number
of attenders and findings. This data is not submitted on a
particular form. Sam is in the process of developing forms to
standardize both how the coordinators collect data from program
attenders and report the data to her. Sam currently compiles the
information received from the regions and reports to the Federal
Air Surgeon (FAS). The report includes programs run in the
regions, articles published relative to the HAP topics,
participants, hands-on screening done, and findings. Follow up
reports are then done for the FAS to report on actions taken on
those individuals for whom problems were found.
Sam uses MEDLAR to search for articles relevant to the topic of
the month or quarter. MEDLAR enables you to find all the recent
papers and articles published by topic. The system provides a
brief summary of the data and where it is published (i.e.,
journal name). She would like the ability to put relevant
information on-line to share it with the HAP coordinators using a
facility such as FAAMAIL.
Sam also does education for both the HAP coordinators and
employees. Videos and corresponding text were acquired through
HSN to educate the nurses and physicians assistants on the
different topics.
Sam is in the process of putting out an order defining the
program and who is responsible for implementing it. It has
already been signed by Drs Hark and Jordan and will be signed by
the FAA Administrator.
Clinic Support Subsystem
The Headquarters clinic does not do physicals but it does see FAA
employees (walk-in visits) and do screenings (HAP). Employee
screening data is recorded on forms and a copy is given to the
employee with the results so that they can follow up with their
own physicians. The data is then entered into the system.
Screening or visit data is entered on the Clinic Support System
(relatively new on-line system). They do not keep paper records
anymore. All data is backed up daily (using FASTBACK). The
system has entry screens for background patient data (the
employee initially fills out an informational form). This basic
identification data also has space for any pertinent information
such as allergies or medications the person is taking. The
system includes clinic visit data, special services (HAP or
screening) data, bloodmobile data, vendor, and inventory data.
While screens are available for these last two categories, they
don't use them yet. The system is compatible with DBASE III.
The Bloodmobile program operates as follows: a group of assigned
people come down at specified times and are given posters made by
Sam; they put up the poster and go around and ask people to
donate blood. The names of potential donors are collected on
forms which are provided to the Bloodmobile people. The names of
donors are then entered on the bloodmobile screen on the Clinic
Support System. This information is maintained for awards
purposes.
The Clinic is planning to interface the screening results
obtained from equipment with the clinic support system. Much of
the equipment that they use for testing is computerized (for
example Body Composition, EKG, Pulmonary Functioning, and
Reflectron) and maintains employee name, results, and other
pertinent information. An interface would save the time of
reentering the data on the clinic system. The equipment prints
out the test results for employees as well as maintaining the
data internally. Sam is planning to train the regional health
professionals in how to use the Body Composition computer and
then have them obtain the equipment. Training will occur at the
National Wellness Institute conference to be held in Stevens
Point, Wisconsin during July.
Nationwide employee health data would be useful to Sam. Several
regions have offered to use the Headquarters computer program and
to supply input on regional needs and make the program useful to
the clinic. Sam would then like an evaluation to determine how
best to progress with a National clinic computer program. She
would also like a mini-network for the clinic because they are no
longer on AAM Headquarter's local network. With two nurses each
using a computer to enter their patient core notes the merging
has been a major problem. A nationwide clinical computer system
would offer a means of reporting and evaluation of the health
programs.
Sam is also going to determine the cost savings of the HAP by
looking at the impact of the program on sick leave and annual
leave. This will be accomplished by working with AAM.
Location: Headquarters
Interviewee: Dr. Andrew Horne, Program Scientist
Biomedical and Behavioral Sciences Branch, AAM-240
Date: 5/14/91
Interviewers: Claudia Cardile
He interfaces with the FAA and the NTSB. Accidents that have
medical interest come through here.
He oversees the Accident Investigation Research projects at CAMI.
He has done some research here, mostly putting together tables.
He did one project on incapacitation in this manner.
CAMI sends quarterly reports to enable him to keep in touch with
what is going on there. When CAMI publishes a technical report
or article, they must go through him for approval/disapproval.
He sends it back to CAMI with his approval/comments.
His original responsibilities were to set up the program for
Accident Investigation in the regions. He does this on request
from AAI and responds to major catastrophic accidents.
He has contact with Dennis Shuring (Great Lakes Region) and the
other Regions when there is an accident in their region with
medical interests. These are mostly General Aviation accidents.
The NTSB, FAA, and the manufacturer are involved in major air
carrier accident.
The regions send a medical report when he asks for one. The
toxicology reports are sent from CAMI on a fatal accident.
Annually, HQ puts together a report in the form of tables as to
the number of incidents of alcohol, marijuana, etc. involved in
accidents.
Rulemaking
When a new rule is required, it comes in as a petition for
rulemaking. It is sent to those involved for comments. The
comments are taken into consideration and the final decision is
made on the rule. Sometimes rulemaking will not follow this path
but will be considered immediately as an Advisory Circular. The
updates on the Advisory Circulars in this area are done by this
division. When they are written they go into a certain 'series'
and are distributed to those concerned and the libraries.
Depending on the subject they either go to the FAS (medical
issues) or Flight Standards.
Jean Watson writes the Current Issue Report for this section.
Location: Headquarters
Interviewee: William Shepherd, Ph.D., Supervisory Research
Psychologist
Biomedical and Behavioral Sciences Branch, AAM-240
Date: 5/28/91
Interviewer: Carol Wasserman
Dr. Shepherd and his staff review the 9950s for consistency with
the Federal Air Surgeon's (FAS) guidance and target non-compliant
projects. These are discussed with Dr. Collins out at CAMI. A
decision is made by Dr. Collins and Dr. Sheperd on whether they
will be a part of the final research package and the final group
of 9950's are then sent to the FAS for his signature. These
projects then become a matter of record and are the projects that
AAM is committed to working on. They are returned to CAMI with
the FAS signature.
The Technical Center is under a different organization and has a
different mechanism for proposing and tracking research projects.
There is a fair amount of informal communication between the two
organizations but no accountability since the Technical Center is
under AXD.
All draft research reports are received by Dr. Sheperd. He
directs them to the appropriate reviewers and makes sure that
they are technically correct and consistent with policy. They
are then returned (with comments) to CAMI. CAMI is responsible
for getting them published and distributed.
He believes that the responsibility for maintaining the book of
9950s will be the research committee's (and is now as well). The
chair for this committee is the deputy director of CAMI.
The new draft order for research describes the entire research
process including documentation that must be completed and who is
responsible for the process. This order will supersede the
current 9950.3A order.
Closing out and changing a 9950 follows the same path as getting
one approved. Both require the FAS signature.
There is an annual solicitation from the Federal Air Surgeon to
agency operating organizations soliciting research requirements.
Dr. Sheperd and the FAS receive the letter of response and put
together a guidance statement that is sent to Dr. Collins. Dr.
Collins then responds specifying proposed research to address
these issues or explains why CAMI can't address them.
The new process will require all research requests to be reviewed
by the committee before they are passed to CAMI management or
Principal Investigators.
Quarterly status reports are now a maximum of 2 pages. They are
sent from CAMI to AAM-240 and the FAA. Problem areas are
discussed with the FAS. Customers do not get them. Customer
contact is typically verbal and face-to-face until the final
report is produced. They then meet with the customer to review
the final reports and discuss how to interpret and use the data.
Final reports are accompanied by Technical Report DOT Form
1700.7.
The Federal Government has prepared guidelines for the protection
of research subjects. The FAA (i.e., Dr. Sheperd's office) will
produce an agency order prescribing methods the FAA will use to
ensure that these guidelines are met.
He has no outstanding information needs and does not currently
use any automated systems; however, he will need future access to
OAM's Research Tracking System as well as the FAA Human Factors
Research database that is being developed in Superbase 4. Only
data-related issue that he is aware of concerns the need for
timely budget data. He is involved with the budget but not with
its direct preparation.
Location: Headquarters
Interviewee: Jean Watson, Research Program Support
Specialist
Biomedical and Behavioral Sciences Branch, AAM-240
Date: 5/15/91
Interviewer: Jim Frey
Watson participates in environmental research projects, fleet
evaluations of commercial and commuter airlines and human factors
assessments in support of flight standards. She also acts as a
liaison to CAMI's research facilities, explaining to HQ personnel
activities at CAMI. Watson reports to Bill Sheperd and no one
reports to Watson.
Biomedical and Behavioral Science research involves aging
aircraft, including maintenance/inspection and human factors.
Watson collects data from the industry during fleet evaluations
by Flight Standards. She works in conjunction with Flight
Standards and turns in her individual report to the team leader.
There are normally 5-7 people on an evaluation team and the
evaluation may take from 2 to 6 weeks. Watson keeps a copy of
her report and Flight Standards distributes copies of the overall
report. These reports detail topics such as how mechanics
perform their work, what the working environment is like, etc.
These reports can be very sensitive and release must be cleared.
There are no summary reports.
As part of the research project, HFM∧I, Watson is also involved
in publishing the "handbook," which contains guidance and
materials on human factors and is used by the FAA and the
industry. Watson attends the HFM∧I conference twice each year
and is involved in the Aging Aircraft conference, handled by the
Tech Center.
Watson needs current information from NIOSH and OSHA Guidelines.
She relies on literature for information. She works with
consultants/contractors (Galaxy Scientific) through the Tech
Center and gets information or referrals to other experts. She
usually calls "known" experts under contract.
The Tech Center provides reports on expenditures upon request and
the Budget Office (AAM-120: Annette Lyles) provides information
on what's been spent, although this information is not always
accurate. Watson's duty in contract management is to check for
over-spending and re-program funds if necessary.
Watson coordinates with Dr. Collins, CAMI director, Dr. Hordinsky
and others at CAMI to provide CAMI's budget narratives to A.
Lyles. Watson also provides her own budget narratives to A.
Lyles.
Watson receives a quarterly research projects report from CAMI.
Each researcher submits a quarterly or monthly report to division
managers who route it through Dr.Collins to the Research
Committee. An overall research project report showing contractor
activities from the contractor. Watson uses these reports to
answer questions about specific research at CAMI. Questions can
come from anywhere in the FAA. This can affect workload, if it's
a hot topic. She can receive many phone calls and may have to
write a briefing paper to OAM for the FAA Administrator or the
Associate Administrator. Everything along these lines must go
through doctors Jordan or Hark.
Watson receives copies of CAMI technical reports that are
published at the end of each project. One copy is kept in the
OAM Library at the Headquarters building. Others are provided to
other people through the CAMI library. When she needs to find a
particular report, she uses the annual index to the reports.
CAMI provides 5 copies of these reports.
Watson receives reports from the industry, such as the Air
Transportation Association reports. She has also used the
Service Difficulty Reporting System which is used by the industry
to report particular problems by aircraft and more. Watson said
the system is not very useful from her perspective, needs changes
and is being reformatted. Watson scores ATC 16PF tests and sends
reports to the regions weekly. The tests are scored using a
optical scanner. She converts the test score data into
WordPerfect which she uses to format and print the test results.
Watson keeps the 16PF information on a floppy disk that is locked
up for security/privacy reasons. She maintains a summary sheet
of people showing if they are cleared or not. She answers
questions from the regions regarding ATCs. The original tests
are sent to Dave Shroeder at CAMI to support research.
Watson also processes FAM tests submitted by the regions. These
are hand scored, but she can use the optical scanner if the work
load requires it. She then calls the region with a response
regarding test results. She also generates a list annually to
send to the regions which is basically a quantitative activity
report showing how many people were interviewed, how many
cleared, etc. Watson would like access to the PETS system so
that she can enter test scores into PETS and avoid having to
generate a form to send to the regions. She keeps the Fads test
locked up and returns completed tests to the regions, where she
assumes they are kept in personnel files.
Watson needs to track federal topics and activities contained in
the Federal Register. (Current Contents) She also needs to know
more about what systems are available. She wants access to the
FAA National Plan for Aviation Human Factors (AXR-3) as well as
ISN a research database for information about public and private
research. She also would like access to Dialog Information
Services. She has had online searches performed at the FAA
library, but evidently received poor results. One search
returned a large number of marginally relevant citations and she
was not invited to guide the search.
Watson uses WordPerfect, Paradox, Quatro, Lotus, Harvard Graphics
and Harvard Project Management. She needs access to Windows and
Superbase 4. She does not have OATS equipment and does not want
it, because she perceives the hardware and software as bad.
CIVIL AEROMEDICAL INSTITUTE (CAMI)
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Minnetta Hall, Budget Analyst
Office of the Director - CAMI, AAM-3
Date: 4/18/91
Interviewers: Carol Wasserman
The Civil Aeromedical Institute (CAMI) operates under two major
fiscal appropriations - Operations; and Research, Engineering and
Development (RE∧D) - where performances and resources are
controlled with an administrative financial plan. The functions
that comprise each division or staff office determine the
appropriation to which that organization will be assigned. The
CAMI fiscal programs encompass authorized positions; hours
worked, i.e., full-time equivalents (FTEs); payrolls; travel;
transportation; rental; printing and reproduction services;
contractual services; supplies; and equipment. These needs
support medical goals, objectives, and policies applicable to the
mission of FAA. In addition, the research program is planned,
formulated, budgeted, and executed by task areas under the
auspices of tasks established in the RE∧D Plan and is in
consonance with the agency's medical goals and objectives.
The lead time for identifying annual resources includes the
upcoming 2 fiscal years. Tentative spending targets for the
first upcoming fiscal year will tie to that which will have been
approved by Congress; the second fiscal year will include new and
revised budget estimates deemed necessary to accomplish medical
goals and objectives.
Estimates of Operations and RE∧D requirements are developed in
accordance with guidelines outlined in two separate call for
estimates orders. In the calls. AU-1 specifies general and
uniform guidelines (applicable agencywide) that are to be used in
developing the Operations and RE∧D programs. The calls also
identify specific guidelines developed by the Washington Office
of the Federal Air Surgeon (OAM), represented by AAM-100, for use
in developing FAA medical budgets. AAM-3 submits requirements
via floppy diskettes and hard copy to OAM, who in turn ensures
that the requirements are considered as budgets are processed and
given approval through the FAA budget system towards ultimate
Congressional approval.
The budget path for the annual budget year (BY) submission,
depending on whether it is for the Operations or RE∧D
appropriation, is:
Implementing CAMI division -- AAM-6 -- AAM-3
-- AAM-100 (Annette Lyles - RE∧D); (Carol Kelly -
Operations)
-- APM (RE∧D); AVS (Operations)
-- ABU -- OST -- OMB --- Congress
At any point, a reviewing/approval office may send questions
regarding the requirements back through the budget path to AAM-
100, and ultimately to AAM-3. The answers to these questions
(Q∧Ss) provide data for the reviewing officials to consider when
determining the resources to be approved. Final approvals at
each level are known as passbacks.
The CAMI fiscal programs are executed within funding levels
approved by Congress in the Appropriation Act. when the
applicable execution year occurs, actual obligation must tie to
that year's RE∧D program, realignment between task areas is
allowed within a 25% restriction. This restriction can be over-
ridden and changed with a Congressional action.
As the approved budget is executed during the ongoing fiscal
year, quarterly reviews and financial operating plans are
prepared in AAM-6 for the Operations budget in response to an ABU
directive, and for the RE∧D budget through monthly procurement
and financial plans developed by APM. Minnetta tracks and
compiles actual FTE and dollar obligations that are reported in
the reviews and plans, and also used throughout the year in daily
execution of budgets. All fiscal obligations, e.g., those which
are related to all PC∧B, purchase orders, travel documents, etc.,
are obtained from the Aeronautical Center in hard copy and
through the Departmental Accounting Financial Information System
(DAFIS) which can be accessed at her desk. There is sufficient
detail via these means to meet her requirements related to
obligations and allowances.
A computerized agencywide network Budget Information System has
been developed by ABU for direct input of data by FAA OPIs for
accessing, updating, and reporting on financial information to
the Washington ABU office. A computerized RE∧D Management and
Control System (REDMACS) has also been developed by OAM that will
be available for networking within OAM Washington and regional
offices for updating RE∧D budge-related reports needed by APM.
Interfunctional budget requirements, e.g., space, training,
property management, stock and stores, etc., are managed,
compiled, and reported to the Aeronautical Center OPI by other
AAM-6 staff.
LOTUS, Word Perfect, and Excel software are used in developing
and executing ABU, OAM, and CAMI budget requirements.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Virginia Hicks, Supervisory Program
Management Specialist
Office of the Director - CAMI, AAM-3
Date: 4/18/91
Interviewers: Carol Wasserman, Claudia Cardile
The Program Management Staff provides administrative support
including procurement, for all CAMI divisions.
In this respect, almost all reports involving more than one
organization are summarized and submitted by this staff.
Examples are the weekly significant activity reports, position
vacancy, research tracking, training, special one-time reports,
etc. These reports are in addition to the monthly status,
quarterly, and end-of-the-year budget reports prepared by the
staff.
The staff prepares both the Operations and Research budgets for
the institute for submission to Washington. In addition to these
budgets, we also prepare budgets reflecting CAMI;s requirements
for support from Aeronautical Center organizations, e.g.
training, interfunctional equipment, telephone, procurement,
logistics, and ADP.
Any document, procurement requests, travel orders, etc.,
involving the expenditure of funds is submitted through the
staff. Reasons are to assure the items are budgeted,
appropriation and object class codes are correct, the document is
logged for expenditure and tracking purposes, and the
certification of fund availability. To expedite travel orders,
we have been given the responsibility of signing numbers to
travel orders before submitting to the Travel Section for
processing.
All requests for personnel actions are submitted for review and
approval. Position descriptions are submitted through the staff
office to the Classification Branch. A block of position
description numbers is obtained from the Classification Branch
for assignment to new position descriptions.
All incentive awards, e.g. employee suggestions, performance
awards, CAMI employee-of-year, and special type awards are
processed by the Program Management Staff. This involves the
review of awards to assure the justifications are sufficient, the
preparation of necessary paperwork for payment, preparation of
certificates, etc.
They receive all draft directives for staffing with CAMI
organizations. Comments are reviewed and summarized for a
consolidated reply. A file of published directives are
maintained in the staff office. Although there are files
maintained by divisions, our files are considered to the official
or most complete set of directives.
Work orders for services such as installation of electrical
outlets, painting of walls, any repair or modification to the
building, etc. are submitted to the staff for review and
assignment of a work order number before submitting to Dr.
Collins for approval. Other types of requests for services that
are reviewed and processed by the staff include telephone, office
moves, pickup of excessed property and materials, key core
changes, safety glasses and shoes, use and care of the
permanently-assigned GSA vehicle, etc.
The staff receives the shipment of equipment and supplies.
Checks for shortages and assures the material is sent to the
ordering office. Also maintains a central supply room for the
Institute.
Receiving reports for contractual services certifying payment are
processed and approved by the staff.
The staff also conducts personal property inventories for all of
CAMI, with the exception of AAM-300. The staff is responsible
for any reconciliation efforts needed for the inventories. All
equipment, with the exception of AAM-300's, is received and
inspected by our staff. Paperwork to input equipment into the
property system is prepared and submitted to the Personal
Property and Motor Fleet Section. Equipment is bar coded for
inventory purposes.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Dr. Henry Boren, Supervisory Medical Officer
for Aviation Medicine
Medical Review Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
The General Review section handles all airmen who have no medical
problems or are granted waivers for minor conditions that can be
corrected. Receiving a waiver is not the same as receiving a
Special Issuance (SI). [For more detail on the difference, see
Nova Green: Special Issuance.]
The General Review Branch evaluates normal applicant information
and issues a Statement of Demonstrated Ability (SODA) for static
defects. It also reviews and acts upon a wide variety of
applications that indicate various abnormalities that do not meet
the medical standards under FAR Part 67. Some of these cases may
fall in a specifically disqualifying category or the General
Review personnel may take an initial action such as deny request
for additional information or refering to the special issuances.
Some cases may fall into a category that does not meet the
medical standards although the case cannot be specifically
disqualified. These cases may require additional information to
determine final disposition and may be assigned a general denial.
Some cases are referred to an FAA selected specialist for
consulting and recommendation before final disposition. Most
applicants will request reconsideration and the general review
personnel will re-evaluate the case.
Doctors Russell and Carpenter are part of the General Review
staff who provide guidance to application examiners. If the
reviewer has a problem in handling an application, the reviewer
provides a summary of the problem on a worksheet (file
coversheet) that is routed to the doctor. The doctor will peruse
the application, looking for the problem and correlating it with
the note and reviewing the pilot's medical status. The doctor
may write a note to the reviewer requesting more information.
The file is returned to "Pending" and later delivered to a
doctor once any new information is received.
If an airman is denied, they are informed they need a SI.
The General Review Branch is also responsible for evaluating and
responding to all EKG's submitted to the Aeromedical
Certification Division.
Performance standards for employee evaluations are provided by
the Program Support Branch. Boren receives information about
operations through reports by supervisors at weekly staff
meetings, the minutes of which are published. He often
communicates using interoffice memos.
Boren receives requests for information primarily from airmen
calling about denial. AMEs and evaluating physicians also call
regarding the status of certification or reconsideration.
Congressional inquiries are routed from Audie Davis. AMEs and
Military Flight Surgeons need policy guidance or have questions
about regulatory issues.
Boren as well as other staff physicians (i.e. Dr. Russell and Dr.
Carpenter) take AME calls. Airmen are routed to the application
reviewers. If he must speak with an airman, he will request
their file first and call them back within 48 hours.
Regional Flight Surgeons (RFS) and their staff will call
regarding policy and procedure or may have rare certification
questions. RFS telecons provide the means for an exchange of
ideas.
Standards are provided by FAR Part 67, general MGLs that support
the standards, policy from the FAS and the AME Guide. Medical
information is gathered through discussions, lectures, AME
seminars, publications and the cardiology panels which are made
up of specialists on the cutting edge. The doctors share journal
articles and some information is received from AMEs and RFSs.
Boren receives a copy of the consultant list maintained by Dr.
Spann.
The Branch meeting provides a forum for open discussion. This is
the means for disseminating information to the staff with a
question and answer session each month. Lead supervisors also
bring questions to Quenton (the review supervisor) or to Boren
who has an open-door policy.
An airman who has been denied medical certification may ask for
"reconsideration" because they believe they meet limited
standards within a limited area and time. In this case they must
demonstrate that they are healthy enough to operate an aircraft
safely. If the airman falls into the Final Denial category, the
case may be sent to SI. Other cases may be referred to the FAS
for SI or final denial. Some airmen may be given a limited or
unlimited medical certificate if additional information indicates
that the airman meets the standards. Information about AMCD
operations is received at weekly staff meeting attended by the
AMCD manager and Branch Supervisors. Boren hires/contracts
consultants to review special cases. He fills out a worksheet
specifying that a file must go to the consultant. A transmittal
is completed with a brief description of the condition and the
consultant provides an opinion. No testing is performed on the
airman and the consultant will not examine or meet the airman.
Boren uses CAIS indirectly through his secretary who will look up
any information he requires. Boren is not computer literate, but
broached the idea of a system that would provide current medical
knowledge, policy and procedures supporting rapid storage and
retrieval.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Charlotte Clark, Medical Records Technician
Medical Review Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Charlotte leads a team of four people who handle incoming
telephone inquiries to the certification area. These generally
are inquiries regarding the status of airmen applications or
other documentation/medical reports begin funneled into the
certification area. Initially, the receptionists locate the
airman's records on CAIS using a SSN look up and check the "date
of Exam" field to determine whether the application is being (or
has been) processed. AAM-300 policy allows the receptionists
three minutes to resolve any inquiry and clear the telephone
line.
Further investigation may be required in order to respond to an
inquiry. This may entail locating the airman's file
(application) in order to review its contents. If an inquiry
cannot be resolved immediately, the receptionist fills out a
"tablet sheet" triplicate form detailing the inquiry, including
basic airman information, MID number, date of inquiry and nature
of inquiry. One copy is retained in order for the receptionist
to respond accurately to future/repeat inquiries from the same
airman. The others are placed in an out box, and are picked up
several times each day by contract people who locate the airman's
file and returns it to the receptionist, or pass the worksheet to
the "control desk" in the records unit who attempt to locate the
file. (The files are generally being reviewed in the doctor's
offices.) According to Charlotte, the Records Section has no way
of knowing where a file is once processing begins.
If a reviewer/physician needs more information, the file is sent
to the control desk, a.k.a. "pending." (This area has three
different names, which confuses new employees.) Incoming
mail/medical reports, etc, are matched with the file in "pending"
and then returned to the original reviewer. If an incoming
document is sent by express or certified mail, or FAX, a red tag
is attached, giving it priority, and it is sent directly to the
reviewer.
Receptionists will also receive calls from FSDOs, inquiring about
authorizations such as Statements of Demonstrated Ability (SODA)
waivers or they may want to know if a pilot is flying illegally.
A calling lawyer is turned over to Chuck Holmes, the Supervisory
Medical Records Technician, immediately.
Airlines may call to check pilot certification. AMEs call to
determine of information they sent has been received. An AME way
request guidance, and this will require "pulling" the file and
turning the AME over to a reviewer or a doctor.
Newspaper people may call. This requires determining their
information need and turning the inquiry over to someone within
the organization concerned with public relations.
Calls coming from overseas are treated as priority. The
receptionist informs the caller when to call back for a response.
The receptionists can also receive information from people
calling to report airmen who are flying illegally. In order to
take action on such a report, the receptionist must get the
informant's name and address (no anonymous tips).
If a file can't be found, the name of the airman is added to a
"phone" list, and during the day, people will mark off airman on
the list as their files turn up. The phone operator's don't like
to use microfiche, because it is difficult to locate looking
through hundreds of them, and if it is misfiled or attached to a
neighboring microfiche, it is very difficult to find.
The receptionists (contractors) keep track of the number of calls
received each day using hash marks. The receptionists rely on a
book of Path Codes which they sometimes reference in response to
inquiries.
A receptionist can respond to any inquiry about an airman, but
must only supply public information: date of last physical exam,
class certified, and any restrictions.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Shirley Dark, Supervisory Program Analyst
Officer
Aeromedical Certification Division, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Manages the Program Support Branch, which includes the Records
Section, Statistical functions (Leslie Downey) and on-site
technical support (Dave Bohnett). The administrative functions
include personnel actions (SF-52:Request for Personnel Actions),
employee evaluations and appraisals, position descriptions,
performance standards and training. Dark is the contracting
officer representative who signs off on invoices for Personnel
Services, which provides about 20 people providing on-site
clerical support (control clerks, telephone receptionists, etc).
The support branch includes the Records Section, the
Correspondence Unit, the Mail Room and Control Clerks who match
correspondence with hard-copy microfiche medical records and
submit it to an application examiner.
The statistical functions include publishing the "Aeromedical
Certification Statistical Handbook", AC 8500-1, (see Leslie
Downey/Statistical Assistant) and workload data.
Dave Bohnett is a computer specialist who maintains the WANG
system (about 12 users), provides support for CAIS, maintains the
Special Issuance (SI) Tracking (Paradox) database running on a
Compaq 386, and handles OATS implementation. Dave is also
involved in site preparation for the automated 8500-8 system and
performs some user training.
The budget is divided by Operations (people) and Interfunctional
equipment (typewriters, microfiche viewers, copiers, etc.). In
order to respond to a budget call, Dark uses the previous year's
budget, reviews/compares workload reports and reviews on-going
and potential activities. She needs lists of all activities and
proposed projects from HQ-OAM and feels there is insufficient
communication between HQ and CAMI, because there are often
"things in the works" of which she is not aware that could
significantly affect resource allocations. Also, she said budget
specifications are not shared in time and requirements may be
levied at the last minute.
Supervisors in CAMI's sub-units contribute to the budget process
with requests for additional contracts, people, equipment and
hardware. Carolyn Stewart, the division Administrative officer,
assists Ms. Dark in preparing the budget. The budget is
consolidated using wordprocessing and forwarded to Virginia
Hicks, CAMI's Administrative officer, who may use a spreadsheet.
Virginia passes her budget to Carol Kelly, formatted on diskette.
Shirley receives a copy of the final budget sent to HQ, which she
compares for variations in wording, since this may have been
modified and can cause very important communication problems with
HQ.
Shirley receives the approved budget from Virginia, which shows
variations in amounts allocated and supports Shirley in adjusting
programs and resource allocation. The general communication of
budget information between HQ and CAMI is Carol to Virginia to
Shirley, providing notification of changes in the budget, which
can happen at any time. In order to modify allocations, Shirley
consults with Audie Davis, the division manager, branch managers,
and supervisors.
Invoices for contracts provided by local contracting firm shows
how much of a budgeted amount has been spent and how much
remains. These reports are printed by the contracting firm. AAM-
300 has a "tenant agreement" with the Aeronautical Center (AC).
The AC Accounting Office handles PC∧B, overtime, travel/training,
contracted services. The Accounting Office issues a monthly
report showing the budget/balance/spent, which Shirley finds very
helpful, but it's always at least one pay period behind. Also,
the report details all of CAMI, and Shirley would like AAM-300's
figures broken out. All division managers in operations receive
this report. Shirley's secretary maintains a record of overtime.
A list of positions printed by CPMIS at the AC is used to
determine personnel costs, slot vacancies, etc.
Most training is furnished by the AC. There is a training branch
at the center and the management school in Florida. This is
usually budgeted from AC funds. CAMI's training budget is used
for: doctors to learn about new medical issues, WANG training,
EKG training, OATS, and other computer training. These needs are
all specific to AAM-300.
Carolyn Stewart is the Training Officer. She passes training
requirements to Virginia Hicks, who controls CAMI's training
budget. Training records are maintained on a PC using
wordprocessing.
The Equipment/Supplies Budget is a lump sum for CAMI. In order
to procure an item, Shirley must clear the purchase with
Virginia, initiate a procurement request (PR) that Davis ∧ Dark
sign and send it to Procurement (AAC-70). Procurement returns
the PR with a PR Number and a copy of the order or contract
generated showing the actual cost and supplier. Following
receipt of the goods/services, Shirley or a member of her staff
signs off and sends a copy to AAC-70 and the Accounting Office
(AAC-20). The vendor bills AAC-20, which checks for receipt
prior to payment. Shirley must also sign off on all contracted
services rendered prior to payment which involves different paperwork.
The depot maintains most office supplies and Shirley's secretary,
Bridget Stephenson, uses an automated system to order supplies.
Shirley is responsible for maintaining up-to-date (job) position
descriptions. Shirley writes performance standards for the PDs.
She also handles personnel actions (SF-52s) for recruitment,
classification, change of name, retirement, resignation, etc.
These are input to CPMIS at AAC-10 (Personnel). Carolyn Stewart
assists in all of these personnel areas.
Immediate supervisors evaluate employees annually by March.
Shirley evaluates nine employees. Evaluations are sent to
Personnel from Carolyn to Personnel on a dry run (only for CAMI)
which ensures that the overall personnel changes conform with
organizational requirements. Once feedback from AAM is received,
the final appraisal forms are sent to Personnel. Employees
retain a copy of their appraisal. The evaluation is input to
CPMIS and the evaluation is put in the employee's "201" file at
Personnel. Ratings can affect pay and promotion.
Job Descriptions are written by Dark and Stewart which are often
based on an outline provided by supervisor. Performance
standards and PDs are kept in binders in Carolyn's office.
Personnel maintains a database of generic PDs, and they can
retrieve examples. Shirley likes "reusable" PDs that can be
created, copied and modified.
People are always calling for statistics, such as HQ-OAM,
Aircraft Industry, Airline Pilots Ass'n, and health studies. The
statistical area supplies the "statistical handbook" and responds
to ad hoc queries. The statistical area has problems in
describing to people the limitations of the data collected and
the context within which it is collected. Leslie Downey, the
statistical assistant, fills out a query request and submits it
to Data Services Division. This can involve discussing the query
over the phone with a systems analyst. The request is returned
with the programmer's and computer time indicated. Data Services
will generate the listings/reports or dump data to disk.
All requests for data from CAIS are routed through Shirley. The
RE∧D divisions do not have access to CAIS because of the Privacy
Act.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Audie Davis, M.D., Supervisory Medical
Officer for Aviation Medicine, Division Chief
Aeromedical Certification Division, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Davis manages the division, performing evaluations, implementing
changes and handling crises. He is involved in setting policy
(Part 67) through the Federal Air Surgeon and the AME Guide. He
is responsible for training and developing team work. Davis acts
as a resource for Regional Flight Surgeons and Certification, and
provides guidance to AMEs and the industry (for special cases).
He participates in NTSB Hearings, court cases, depositions and
sometimes appears as an expert witness, but only regarding the
certification process, operations and policy. He also acts as a
liaison with HQ-OAM, translating demands into operations.
Davis receives quantitative monthly activity reports, showing
number of applications, letters and telephone calls handled by
AAM-300, which is useful because it shows the work flow and back
logs which he relies on for making decisions about resource
allocations.
Reports that show AME performance and errors determine changes in
focus of AME seminars and annual Path Code reports provided by
AAC-300 (CAIS) are helpful in referring to past operations
(precedent). Davis said AAM-300 needs a method to refer to
actions taken on past cases. He believes he sometimes receives
too much information, but what he gets is valuable in terms of
guiding resource allocation.
Moving information from his office into AAM-300 is generally
accomplished through staff meetings with the branch chiefs or
informal meetings.
Processing reports (quantitative) are sent to the Federal Air
Surgeon. Other information is transferred to HQ-OAM during
weekly telephone conversations. Davis responds to specific
requests for information, such as passing on any changes in
Special Issuance (SI) certification to Dr. Hark. Davis is still
involved in handling many certification cases.
Davis's contact with regions is normally in coordinating workload
during unusual periods and consulting Regional Flight Surgeons
(RFS) before they authorize a special issuance. He normally
deals with RFSs by telephone, but sometimes corresponds about
current certification areas of concern, policy and procedure. He
gets input regarding policy and procedure and seminar content
from the RFSs.
Standards are embodied in Part 67. All special issuance is
"outside" of the standards. The SI criteria is established by a
panel of consultants (see Joe Spann) who create policy. The
Medical Guideline Letters (MGLs) are the responsibility of HQ-
OAM, but they are usually not formulated without input from
Davis. The recognition of a lack of an MGL or obsolete MGL often
surfaces at RFS meetings. Normally, Davis will write a draft MGL
that will be FAXed back and forth from HQ-OAM before it is
finalized. The Federal Air Surgeon's opinions and the political
climate influence MGLs. Davis said that MGLs often are produced
in response to a crisis in the field, and that there should be
more MGLs to clarify policy and procedure.
Not much medical information affecting policy comes from AAM-500
or AAM-600. There is some clinical research, but most medical
information affecting policy is derived from the panel of
consultants and conferences of consultants and specialists.
Davis uses the CAMI library to perform literature searches to
find information about new medications and procedures.
Davis has to follow the performance of AMEs and inform RFSs where
problems exist and which AMEs are not performing properly. He is
involved with AME seminars nationally.
Davis is also involved with providing seminars for pilots and the
industry and presentations to management regarding certification,
drugs and alcohol. He consults airline directors regarding
specific cases. Davis noted that the industry is concerned about
standards and waivers and often test precedents.
Davis refers to CAIS to answer inquiries, looking at Path Codes,
PI number and pilot class. No one ever discusses a SI case
without the file in hand. He can check CAIS for the Path Index
number, call records and have the file delivered to his office.
He discusses cases with Dr. Spann before talking with airline
representatives. Davis also responds to congressional requests,
replying to congressmen about actions taken on specific airmen,
usually about 10-12 per week.
Davis provides depositions. Attorneys will call to request
certified copies of files, who are referred to Aeronautical
Center's Legal department. He may be subpoenaed, and subpoenas
are routed through Security to Legal to CAMI. Legal coordinates
with Davis by telephone or FAX. Davis can provide certified
copies of files and factual statements to court cases. Normally,
the court expects him to appear as an expert witness, but he
avoids this because of the frequency and drain on time. If he
does appear as an expert witness, it is only as a representative
for the FAA.
Toxicological and autopsy reports are input to ASAS, but Davis is
trying to transfer this responsibility to AAM-600 (see Leslie
Downey/Statistical Assistant: Dr. Verano). Davis uses the AME
Directory and receives quarterly reports from AAM-400. He
requests reports from Nova Green's SI database on an ad hoc
basis. He would like access to the library's databases, but he
is unsure of the possibility or his personal ability to search it
effectively.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Leslie Downey, Statistical Assistant
Statistics ∧ Records Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Leslie works for Shirley Dark of the Program Support Branch and
produces statistical reports monthly and annually. This job
requires collecting information from various sources. Some
information is contained in reports provided by AAC-300 (POC Andy
Burris), which is mostly workload and activity information, e.g.,
Aviation Medical Examiner (AME) error rates, generated by CAIS.
She also collects manual activity reports from many sub-units of
AAM-300. Much of her job involves consolidating information from
a variety of sources, creating new information by combining data
from reports, formatting reports and requesting information from
many areas. Leslie does not have an education in statistics, but
has 9 years of work experience in statistics.
Leslie requests reports from AAC-300 using a memo to specify
content, format and delivery date. Normally this is necessary to
respond to a single/unique request for information. Leslie then
provides the report to the individual who originally requested it
on hard-copy, computer tape or PC disk.
People requesting these reports are sometimes from within the
FAA, e.g., the Inspector General's Office. A substantial number
of the requests received are from outside the Agency, e.g.,
students performing studies, airline companies, etc.
Annual reports are produced during the first half of January and
are all stored. Leslie uses the Path Code Summary Report for
reference in responding to queries. This report provides the
numbers of active airmen assigned each pathology code used in
medical certification. This report is also printed by age and
status (pending, denied, waiver). She receives the Examination
Time Period Summary broken down by region, including military and
international AMEs, showing how many airmen are active.
The Specific Path Code on Denied report shows every path code
with totals of airmen denied by class. She also receives the
Denied Airmen by Occupation and Class Applied for report. These
two reports are not used by Leslie on a regular basis; however,
if statistics concerning medical certification denials are
required, they are both utilized.
Leslie prepares the Aeromedical Certification Statistical
Handbook, containing monthly activity reports provided from
within AAM-300 and AME data from AAM-400. The Handbook is
provided to the regions, HQ-OAM, Dr. William Collins (CAMI's
director), individuals on the distribution list and anyone else
requesting it. The Handbook is also used for reference in
answering phone inquiries regarding medical certification
statistics.
The Annual Record of Physical Examinations Report, generated from
8500-8 processing on the IBM 3090, is published in July for the
previous calendar year. It is distributed to HQ-OAM, Dr. William
Collins, Shirley Dark and Dr. Audie Davis. This report provides
complete information on all activity. It is intentionally run in
July of each year, to ensure that final medical certification
action has been taken in all of the previous year's cases.
Leslie receives two monthly listings of AMEs, one by number and
the other by name, from the Aeromedical Education Division, AAM-
400. Every October, AAC-300 prints the Path Purge Listing that
is used by Charles Holmes (Records Section) to purge individual
dormant files. Leslie doesn't use this report put passes it to
Holmes.
Leslie prepares the Monthly Backlog report is on the first day of
the month for the prior month. This shows workload and activity
for AAM-300. The following people provide activity reports to
Leslie:
Ruby Lorenz Records Section
Shirley Scott ECG Section
Quenton Duren Review Branch
Jo Powers Data Entry Unit
Debbie Licastro Correspondence Unit
Sherlene Teague Special Issuance (Appeals)
Nova Green Special Issuance (Recertification)
Secretaries Doctor's Offices
The Aeromedical Certification Processing Summary and Summary of
Monthly Division Workload Processing Reports are distributed to
Shirley Dark, Dr. Audie Davis, HQ-OAM and Dr. William Collins.
Leslie has recently acquired an AT∧T STARLAN Network PC that is
equipped with Word for Windows, Harvard Graphics, Arts and
Letters, Superbase 4, Excel, etc. It is also equipped with ICOT
S∧A 3270 Emulation for connectivity to the CAIS database system.
She also accesses the COMPLETE system on the IBM 3090 for AME
information. With this new system, viewgraphs and chars needed
for presentations that were previously requested through the
Audio Visuals Department can now be produced in-house.
Leslie maintains an AME database of only AMEs which she uses to
manage the FAA National EKG Network. Approximately 2,600 AMEs
are currently transmitting on the network and the database shows
which ones. She also uses the database to refer AMEs to other
AMEs in their community/area who may be interested in
establishing an EKG Network Group. Participation in the Network
is required for all Senior AMEs.
Regions send Leslie information on new Senior AMEs, including a
monthly roster of all new AMEs. She also receives a monthly
roster from AAM-400, which serves to double-check other rosters.
Regions also forward change-of-address and other information to
Leslie about AMEs. A duplicate AME database resides at the FAA
EKG Network Technical Support Center (Marquette Electronics,
Inc.) in Florida. This database contains data for all AMEs,
including military and international. Leslie experiences great
difficulty in gathering accurate information and maintaining the
database.
The Medical Accident System database resides on the Data General
at CAMI. According to Leslie, the database fell out of use about
3 years ago, but had been in use for approximately 10 years
prior. The input was values from toxicology reports, pilot
information and other medical details regarding each aircraft
accident. Leslie receives courtesy copies of the autopsy and
toxicology reports, which she currently files. Originals of
these reports are sent to the National Transportation Safety
Board (NTSB). She was tasked with the update of the NAS
database. However, because of limited time and the addition of
other job duties, she has not updated the database in the past 3
years. A new physician, Dr. Stephen Veronneau, Manager, Aircraft
Accident Research, AAM-611, has assumed the accident
investigation role for CAMI, and the databases (and all
accompanying hard-copy files) will become his responsibility.
Leslie would like access to print reports normally run by AAC-
300, but lacks technical expertise.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Leslie Downey, Supervisory Medical Records
Technician
EKG Analysis Section, AAM-300
Shirley Scott,
EKG Analysis Section, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
The EKG Unit receives about 65,000 EKGs per year, primarily from
1st Class pilots who must have one at age 35, and then annually
from age 40 on. About 500 per month of these EKGs are received
as hard-copy from doctors whose initial transmissions were
unsuccessful. (Upon successful transmission of an EKG, it is
stored on computer and printed out (hard-copy) for review by an
EKG technician. The system also prints out the airmen's previous
EKG for comparison, it one exists.) Generally, ten or more
minutes may pass before an EKG technician becomes aware of an EKG
transmission problem or failure, and must call the doctor to
request another transmission. In order to retransmit, the doctor
must repeat the EKG on the patient, who, by this time, has often
dressed or departed.
Some doctors transmit directly to the EKG Unit, while others have
arrangements with Service Bureaus that receive and "interpret"
the EKG. "Interpretation" means to assess and note the airmen's
physical condition based on the EKG. Information on the print
out includes the airman's name, social security number, date of
birth, height, weight and current medications. If the EKG has
been reviewed by the service bureau, it will have been assigned
appropriate pathology codes, otherwise, the EKG staff interpret
the EKG and apply necessary codes. If EKG personnel are not
comfortable with their ability to accurate interpret an EKG, the
EKG is sent upstairs for a doctor's review, file and all. The
doctor may write comments on the EKG print out.
Once the EKG has been interpreted fully and accurately, the
information resulting from the process is input to CAIS and the
EKG system itself. The information input to CAIS is generally
pathology codes, indicating a normal or abnormal condition, or a
code that indicating that the EKG itself was defective (error in
transmission). When this happens, the staff always contact the
AME, not the Service Bureau (if applicable).
If the EKG was submitted to a doctor for review, the doctor's
comments must be added to the stored EKG itself. This is a
process called EKG "editing", which involves selecting: the
appropriate EKG, the application's Edit Mode, and any number of
codes that represent standard comments normally applied by
doctors to EKGs.
After resolving the EKG process, the hard copy print out of the
transmission is discarded. (Access to stored EKGs is by SSN and
YEAR.)
Hard copy EKGs sent by the AME to the EKG Unit as a substitute
for transmitted EKGs are microfilmed and stored in a file cabinet
by NAME and DOB. All hard-copy waiting to be microfilmed are
noted on a list which is kept in a folder for one year, showing
basic Airman information and the EKG's interpretation. This list
is useful in tracking an EKG's location, providing interim
information, and details for the CAIS system update, since they
must be sent out for microfilming. After microfilming, the hard-
copy is discarded.
EKGs are often received by the Records Section and placed in
Airmen records. This may be caused by initial receipt, or
problems resulting from the circulation of EKGs and files
upstairs and procedures for returning records and EKGs to their
separate locations.
Dr.'s requesting EKG information will send the Airmen's file to
the EKG Unit with a routing slip attached, specifying the dates
of the EKGs to be printed out for review, or may simply pose a
question that can be answered by an EKG technician. If the EKG
must be sent to the physician, it will be printed out if it is
stored in the MUSE system, or the microfilm will be sent.
Sometimes, the EKG personnel will check files in Regular Review
for EKG hardcopy. When the file is returned from the doctor, it
may be routed through the EKG Unit or the Records Section.
Whoever receives the file has the responsibility of separating
the contents and ensuring their return to the proper facility.
For instance, if the file is returned to the EKG Unit, the
personnel will return microfilm to its storage area and walk the
file/application across the hall to the records section.
The MUSE system provides reports on EKG traffic, such as daily
totals of EKGs transmitted. EKG personnel also use hash marks to
tally EKGs requiring edit, EKGs already edited (service bureaus),
EKGs received as hardcopy and hard copies to be filmed. The MUSE
system generated monthly reports for total EKGs by service
bureau, which is used as part of their upward statistical
(quantitative) reporting which is provided to Leslie Downey, the
statistical assistant. This information is also used AME
seminars and presentations to orient AMEs regarding the
certification operations and process. The reports are maintained
for two months.
The service bureaus store EKG files for several months following
transmission from a doctor's office and can be approached to
provide hard-copy. The AME will call the service bureau to
determine if a retransmission to the EKG Unit is possible.
The MUSE system operates on Radal-Vadic equipment. There are
four terminals available to the health technicians. One shows
the workload of the MUSE system and incoming transmission by
channel. It also provides information to basic AME data, which
is required in order to contact AMEs if a transmission fails.
The second terminal provides access to the MUSE applications for
retrieving EKG files, printing hard-copy, editing EKGs and
performing system maintenance.
The third and fourth terminals are CAIS terminals used to update
the CAIS system. Users must change terminals in order to perform
the tasks described above. EKGs are usually collected (about 50)
before someone will update the CAIS system.
The MUSE system was implemented by Marquette Systems(?) of
Florida. Marquette can be reached at 1-800-558-7070. POC is
Bill Swindell (Tech Support). Bill Smith is the technician who
services CAMI.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: James Evans, Supervisory Applicant Examiner
Medical Review Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Applications are received in the mail room. They are stamped
with a MID number. They then are sent to Coding where they are
assigned Pathology codes. The applications are sent to data
entry where much of the information is entered into CAIS. The
computer compares the application's data to FAA standards for the
Class applied for and will reject about 40 percent. AAC-300
prints a report of the applications listing applications with
discrepancies.
The reviewer will scan an application for problems and double
check basic data input as well as existing files from unit if
needed. If information is needed, the airman is sent a letter
which may or not be a form letter. This is requested through
"Typing", a.k.a. the Correspondence Unit, which generates and
sends the letter. A dummy letter is put in the Pending file in
the Records Section. When the airman responds, the file is
pulled and given to the reviewer with the incoming
correspondence.
Evans receives medical and policy information from the doctors,
as well as the FAS Guidelines, informal conferences and staff
meetings. He uses the AME Guide, Physician's Desk Reference
(PDR), Merck Manual/Medical Book and Medical Dictionary for
medical information.
If the reviewer is unsure about how to proceed with a case, a
cover sheet is attached to the file routing it upstairs to a
doctor or to a review supervisor. Standards guiding their
decision making are the AME Guidelines, the doctors at CAMI and
the FAS MGLs.
Class I pilots must apply every 6 months.
Class II pilots apply annually.
Class III pilots apply every 2 years.
Examiners can update CAIS with codes showing pathology or to flag
airman (mark record to indicate a problem). They also obtain
historical information, such as checking for the latest exam.
This same information is in the file only if the current exam
matched within the database.
If the AME makes glaring mistakes, Evans will send the AME a
letter. If the applicant has a certificate illegally, Evans
sends a letter to request its return. If a "602" certificate is
issued, the FAA has 60 days to question it. No time limit exists
for a "609" certificate. Both CAMI and the regions handle AME
errors and requests for additional information.
Industry drug testing is not yet affecting Exams, and the affects
it may have in the future are unknown. If an applicant is a
Special Issuance (SI) case, it is given to SI.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Nova Green, Special Issuance Recertification
Coordinator
Special Issuances Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Special Issuance (SI) processing is divided into two sections:
Appeals and Recertification. Appeals handles all new SI cases,
while Recertification handles the renewal of all SIs. Nova is in
charge of Recertification.
[SI implies a medical condition that will prevent a pilot from
being certified, however, if the pilot is stable and meets
certain criteria, they can be certified with stipulations.]
Normally, a SI case is channeled through Regular Review to
Appeals to obtain all pertinent background medical information.
The complete file is sent to Dr. Spann for review and decision on
new SIs.
Nova handles alcohol cases. All substance abuse cases are
handled by Dr. Pakul at HQ in D.C. In this case, an approved SI
will be returned to Nova who writes a letter to the airman
detailing the conditions of the SI with the certification
included. Normally, the pilot will be in an established
rehabilitation program or will have completed it already. The SI
files are kept in a separate location from the Regular Review
files and their contents are kept in chronological order.
People with a significant medical history (e.g. cardiovascular,
neurological, psychiatric, alcohol and drug) get more involved
reports and the testing may be more elaborate. Nova must pay
close attention to required reports, review reports and identify
abnormalities or significant change from previous reports. If no
change is detected, she approves SI with no changes in the
airman's certification conditions. Otherwise, the case is sent
to doctors for review.
SI certification has several types of limitations. Examples of
these include:
Operational: Specify duties performed while flying (Class
I excepted) or how to operate the aircraft.
Vision: must wear glasses or corrective lenses.
Time: set a time-limited certification.
Hearing: must wear a hearing aid.
Prothesis: must wear artificial limb.
Standards for SI are: FAR Part 67 and Guidelines for SI (1988),
published by HQ, AAM-200. This is a broad outline that specifies
what information to gather, how to analyze it and what type of
information to collect for follow up work.
Doctors and the cardiology panels generate policy on medications
and determine what follow up reports are required. HQ influences
via the medical guidelines. This information is received via
memos, staff meetings and word-of-mouth.
Cases requiring review are given to Dr. Spann with a cover sheet.
He returns the case with an opinion. Nova then sends a "scratch"
letter to the Correspondence Unit who in turn generates a letter
and sends it to the airman. The file is then returned to its
normal place in the stacks. If further information is requested,
Nova logs when the letter is sent on her calendar and checks the
file when the calendar indicates it is time. If the material has
not been sent by the airman, she will request it again and log a
new date on her calendar. Currently, we have a pre-review
position and that person contacts the airman and requests
additional inquiries. This is usually done by phone. A log of
these files is kept.
Pilots in SI for Alcohol abuse are required to have an EKG
annually. AMEs must send (label) applications and reports
directly to SI or the application will go through the normal
review channels. They ask the airman to have his AME forward the
FAA examination directly to AAM-322 so what they can handle the
re-coding first. Next, they forward the 8500-8 to be recorded on
the computer.
[Pathology Index (PI) numbers are assigned to pilots with a
significant medical condition/problem. PI numbers are sequential
unique identifiers assigned to an individual airman. Anyone with
a PI number has a file that stores historical applications and
medical reports. PI numbers are assigned in Regular Review for
moderate risk pilots, who generally have problems with their
senses (eyesight, hearing, etc.). All SI airmen have PI numbers,
but they are considered high risk pilots with heart conditions,
psychological or substance abuse problems. The PI number is used
to locate files in the stacks.]
Each examiner is given a block of unassigned PI numbers to apply
to new cases. A log book is maintained to manage the
distribution of PI numbers.
[In the Regular Review section, a few stacks are set aside for
"clear" pilots--those with no certification problems. These
applications are stored in files of 200 applications each and the
access point is the MID number, a sequential number assigned by
the mail room upon receipt. Clear applications are kept for
three years which means a healthy Class I pilot flying longer
than 3 years should have 6 applications scattered in the Clear
section. The MID numbers are recorded on CAIS (in chronological
order(?)). Other stacks store files for individual airmen who
have been assigned a PI number. These files consolidate all
incoming and out-going correspondence, medical reports, etc. The
access point to the file in the stacks is the PI number, also
recorded on CAIS.]
'File Maintenance' is the term used to describe the actual
processing of an airman's paperwork. CAIS is updated after every
action and a small worksheet is completed for input to the SI
Tracking system, a database kept on a COMPAQ 386 in the Special
Issuance area. When a sufficient number of sheets are collected,
they are input to the Paradox-based database. [According to Dave
Bohnett, this database is slated for Oracle conversion and OATs
compatibility. Screen prints and some documentation are
available with these notes. This database duplicates basic
airman information already available on CAIS, but also supports
additional information required by SI. According to Nova, a LAN
is slated for August 91 providing local access to CAIS and the SI
database.] Currently, we are able to access to CAIS, but the SI
data base is still not available. The original idea was to have
each person in SI have a computer and that we be networked to
each other. The reason was so that we could utilize electronic
mail and other networking capabilities. The computers would also
be linked to CAIS and COMPAC 386. As it turns out, we have 107AA
employees and 6 contract persons and only 4 computers that have
DOS/Windows. We have 1 wordprocessor with Word Perfect and 2
computer terminals that access CAIS only.
Contact with regional offices is usually to request return of a
"terminated" airman's certificate. This requires sending the
airman's file to the Regional Desk in the Records Section, where
it is copied. The copy is then sent to the Region by mail.
The Regional Flight Surgeons (RFS) are authorized to issue SI and
they often call for an update on policy and procedure. Sometimes
they need to check to see if SI has received any reports or
paperwork for the airman that they may need to certify the
airman. There is some duplication of effort between the regions
and SI, and interference with duplicate actions.
FSDOs and regions may call to request the file for pilots
involved in an accident, but they "will call just about anybody"
in the records section.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Chuck Holmes, Records Unit Manager
Statistics ∧ Records Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Incoming correspondence is 'clocked in' with a date/time stamp
and, if necessary, matched with the appropriate file. The mail
room will send everything to General Review unless it is marked
for Special Issuance (SI).
Routine applications are bundled in quantities of 25, taken to
the reviewers and placed in file drawers. The reviewers pull
applications from the drawer based on date when they need more to
work on. Priority applications/correspondence is delivered
directly to the reviewer.
The Records Section responds to requests for medical records,
certified medical records and certified statements. It sends out
medical records and duplicate medical certificates for pilots who
have lost the original.
The records are handled by 7 people, who each take a portion of
them (A-C, D-F, G-K, L-N, O-P, Q-U, V-Z). A 6-digit MID number
is assigned to the file and Coding may assign Pathology Index
(PI) numbers that take priority over MID numbers. The 1st digit
of the MID number represents the year.
A portion of the General Review PI files have been converted to
microfiche and all incoming documents for files maintained on
fiche must be added to the fiche. They are then discarded.
CAIS prints a list of incoming applications that have been
flagged because of errors or values outside of FAA guidelines.
All applications that are rejected by the computer are sent to
the reviewers and all that are 'Clear' are filed. Any incoming
correspondence is stapled to the application in the file.
When a file is removed from the PI section, its contents are
removed and the file cover remains in the stacks. For
microfiche, the original is copied and sent to the requestor.
The microfiche is 'signed out' to show that the information is
being used by someone by putting a slip of paper with the master.
A duplicate of the master is stored in a remote location for
back-up / security reasons.
Regions requesting records will be sent fiche, but any other
person or organization will receive hard copy. Microfiche
records can be converted back to hard copy and certified. The
regions can call in requests, but requests from anyone else must
be made in writing.
Clerks who send out duplicate certificates have access to CAIS
with basic update capability. People working the Region Desk can
also update CAIS.
All activities are quantified and reported upward. The date/time
stamp counts pieces received. These are tallied at the end of
each day and weekly reports are submitted to the supervisor.
There are also monthly tallies. Chuck reports to Shirley Dark.
Performance standards are based on activity. Each individual has
(mostly quantitative) standards which Holmes maintains on a PC.
Employee evaluations are submitted to Carolyn Stewart.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Tina MacMillan, Secretary to Dr. Spann
Special Issuances Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Tina proofs all incoming invoices and bills from consultants
(doctors reviewing Special Issuance (SI) cases). Some include
travel expenses. These must include receipts. Hotel invoices
are screen for personal call expenses which are deducted, as well
as "side-trip" expenses. Tina checks the per-diem and matches
travel dates against all bills. She also double-checks
calculations to find any arithmetic errors.
For Services Rendered, she keeps copy of the bill and the
consultant's report in a binder.
Bills are prepared with a "Speed Memo" and forwarded to Dean
Lacy, a budget analyst at CAMI, who returns the original with a
signature. Lacy needs the invoices for cost and services data in
order to track expenditures against budgeted funds. Tina keeps a
running total in a binder to prevent exceeding budgeted funds.
Tina then takes the bill to Accounting. Accounting holds the
bill for 30 days and most doctors are paid within 30 days. Money
for the fund is allocated quarterly. Accounting doesn't return
anything to Tina. Lacy gets a report showing charges and totals,
but Tina doesn't get a "run."
Tina handles dictation and recruiting correspondence. She also
makes hotel reservations for panel members and monitors flight
schedules for pick up and departure (ground transport of
physicians).
Tina uses WordPerfect, Travel Lightning and a Smart system
spreadsheet. She has 3270 access to CAIS which she uses to
determine if a file has been sent to a consultant, a pilot's
certificate rating or to check the processing status for an
airman. She is authorized to update CAIS by adding or removing
codes, but she rarely updates. Mostly she corrects typos and
will only make changes at the request of Dr. Spann.
Tina maintains a list of consultants, as well as files for each
consultant that contains a "CV" or Curriculum Vita. The
consultants are characterized by specialty. Only international
correspondence is kept in the files. Tina maintains a log of all
airmen files sent to consultants. The file is routed to
Charlotte Dyer who copies and mails it and logs this transaction.
The consultant returns an invoice, report, file copy, films,
etc., to Charlotte. Tina needs to ensure a response from the
doctor and also must watch funds budgeted for services rendered.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Carolyn Stewart, Administration Officer
AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Shirley's secretary (Donna Davis) handles time cards and
submission to payroll. All overtime and compensation time
requests are also handled by her.
Carolyn handles SF-52s, training, employee evaluation, office
supply ordering and position descriptions (PDs), awards,
Interfunctional Budget and assists with Operational Budget.
After completing a SF-52, it is sent to Personnel, but a
"pending" copy is kept, and copies are sent to Virginia Hicks
through Audie Davis. The original and a copy are sent to
Personnel. Virginia returns a copy of her copy bearing her
signature to Carolyn. (Carolyn believes that AVN has direct
access to CPMIS and can request employee action without the SF-
52.) The SF-52s are filed in Carolyn's office with a sequential
number assigned. A summary sheet is maintained for quick
reference that shows pending items.
The SF-7B Employee Record card is used for ladder positions to
determine when the employee is due for time-in-grade change.
Carolyn uses FARs to determine grade requirements and works
closely with Personnel.
Carolyn coordinates training with Virginia Hicks for 3-years in
advance. The training branch sends lists of training available
and Carolyn requests training by filling out a form and
submitting it to Hicks. Hicks sends Carolyn a print out listing
employee training which she thinks comes from AAC-17. Training
is very flexible and subject to constant change. Carolyn needs
software to track training and handle training requirements.
Most training is conducted at the Aeronautical Center, OKC
Community College or Oklahoma University. Carolyn does not
apparently know which employees have received what training. She
has to ask employees to list training, if she needs to know.
Position descriptions (PDs) are kept in four binders (division
and three branches). Carolyn uses word processing to process and
store PDs on computer. The introduction of automation has often
resulted in drastic changes in PDs.
Carolyn needs to know Personnel policies, i.e., formal policies
regarding personnel as conducted by Personnel/Human Resources
(TS-23: US Civil Service Communications(?): Bureau of Policies
and Standards).
Carolyn uses EPAMS to print annual employee evaluations (PERs).
This application saves the form as a file that can be retrieved
and edited. The diskette is kept in a locked cabinet, because
this information is not only private, it is quite sensitive.
The evaluations are performed for a fixed time frame, but
supervisors don't like this contrived arrangement, e.g., because
of circumstances concerning new employees who should not be
reviewed at such an early date.
Supervisors keep the standards which are often both quantitative
and qualitative. Carolyn maintains a list of employees and the
rating submitted for each one. This list is destroyed after all
PERs are submitted and cleared. She also reviews all PERs. The
PERs are submitted to Personnel and the employee retains a copy.
Supervisors submit awards through Carolyn to be reviewed and
coordinated. When branch secretaries fill out employee forms,
they come to Carolyn to get basic employee information.
Bridgette Stevenson orders office supplies through the automated
system which automatically deducts costs from AAM-300's budgeted
funds. She also maintains the Purchase Orders.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Joe Spann, M.D., Supervisory Medical Officer
for Aviation Medicine
Special Issuances Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Special Issuance is a mechanism whereby the Federal Air Surgeon
may certify certain airmen,at his discretion, who are mandatorily
denied by the Part 67 of the Federal Aviation Regulations (FAR).
In Special Issuance, the Federal Air Surgeon establishes the
requirements of testing individual airmen prior to Special
Issuance certification and on follow-up for recertification. All
third-class and limited second-class airmen can be certified by
physicians within the office of Aviation Medicine, that is the
Regional Flight Surgeons and SI Branch of Aeromedical
Certification Division. All first-class and unlimited
second-class airmen (as established by the Federal Air Surgeon's
medical guidelines, December 22, 1988) will require a
consultation by one or more of the Federal Air Surgeon's
consultants prior to Special Issuance.
Part 67 (FAR) and the 1982 amendment of 67.19 is the statutory
basis for the special issuance procedure. The Medical Guidelines
issued by the Federal Air Surgeon, an intra-agency memorandum
delineates the method whereby the Regional Flight Surgeon and
AMCD, (AAM-300), will process groups of airmen who have similar
conditions in order to evaluate for special issuance and
reissuance. It is noted that the individual AME cannot give
special issuance nor are they authorized to reissue special
issuance.
The Federal Air Surgeon's cardiology panel is a unique function
of the consultant specialists. This panel convenes about every 60
days to consider any cardiovascular case requiring special
issuance but deal primarily with first-class and unlimited
second-class applicants with cardiology problems for special
issuance. Approximately one case per panel will concern a
third-class applicant whose unique case might become a precedent
or prototype for further special issuance decision. Over time the
panel's deliberations and recommendations have established
precedents based on new and existing medical knowledge and its
application to individual cases. This deliberation is documented
and may become policy with further feedback from the consultants
to the Federal Air Surgeon
There was a select panel convened only one time in late 1986 and
early 1987 to discuss complaints about the SI process. By the
direction of the Administrator, Admiral Engen, this panel was not
primarily to review specific cases but to investigate the status
of the special issuance process which obviously did include
reviewing individual cases. This select panel recommended that
the special issuance process be continued but with better
documentation in its records whereby the decisions do not appear
to be arbitrary. In fact, the panel recommended a special
issuance tracking system and other record keeping that would
allow an evolutionary process of decision making whereby new
policies could be established by the Federal Air Surgeon allowing
more liberal special issuance for the benefit of individual
airmen while insuring flying safety.
Because of the dynamic nature of the medical field and the
evolving medical procedures and medication, special issuance
policy is subject to re-evaluation which includes the old
diagnoses and existing procedures as well as the new procedures
and clinical entities. It is noted that AAM-300 has no in-house
specialists who are practicing their specialty field other than
in Aviation Medicine. MGLs may result from a panel discussion.
All psychiatric cases including psychoses, personality disorders,
alcoholism, and substance abuse of first- and second-class pilots
are sent to Dr. Bart Pakull in Washington, DC, AAM201. In this
particular area, third-class Special Issuance relies on
individual psychiatric consultants and are usually processed
locally. However, an occasional third-class case may be sent to
Washington, DC AAM-201 for further evaluation.
Dr. Spann's secretary may need Privacy Act/FOI information.
After the Federal Air Surgeon's consultant activity was
transferred from Washington, DC to Oklahoma City in March 1989,
some of the original consultants were reluctant to participate in
Oklahoma City and it became necessary to recruit well-qualified
consultants in all medical specialties but particularly
cardiology. AAM-320 was tested to find people with outstanding
qualifications who were also interested in supporting a program
in Aviation Medicine. Chairmen of Departments of Internal
Medicine and Sections of Cardiology were mailed questionnaires in
all the medical school in states contiguous or near to Oklahoma.
From this group, I received approximately 12 replies of
cardiologists with outstanding qualifications who would be
willing to participate as a Federal Air Surgeon's consultant.
Note that one of the considerations in this mailing was an
attempt to lessen the travel costs incurred when flying
consultants in from the East and West coasts. The nine Regional
Flight Surgeons identify and employ consultants from their own
regions which were not to be confused with the Federal Air
Surgeon's consultants.
We are allowed to pay our consultants $260.00/per day, a rather
paltry sum when compared with private practice income. Invoices
for panel participation and review of individual files are sent
to us at the time the physician submits his consultation on the
fire. Dr. Spann signs the invoices and his secretary (AAM-320)
handles payment of the invoices. Every effort is made to expedite
these repayments because of some large costs incurred in
purchasing airline ticket which are carried on individual
consultant's credit card. AAM-320 still does not comprehend why
the airline tickets for consultant's travel cannot be purchased
by the agency, i.e., the FAA as is done by General Counsel when
they use the same consultants for NTSB hearings. A considerable
savings could be had for the agency and U.S. Treasury in
purchasing these tickets at government rates and it would
certainly be helpful to consultants who have to carry this
considerable sum on the individual credit cards. The more
important part of the function of processing the invoices is that
Dr. Spann (AAM-320) will approve or deny individual applicants
for Special Issuance based on the consultant's opinion or
recommendation. On a rare occasion it may be necessary to bring
an individual file to a panel or other consultants if the issue
is that precedent setting or unusually contentious.
Spann says that Federal Air Surgeon's consultants participate
because of the pleasure and satisfaction in an academic exercise.
The panels provide a playing field for physicians to compare
themselves with other consultants in a similar field and from a
different part of country. In fact, it also provides an update
and exchange of medical knowledge and information to all
participants. He has been impressed to note that the exchange of
information from one consultant to each other. It is Spann's
belief that this is important function of the Special Issuance
Branch of Aeromedical Certification Division to facilitate FAA
intercourse with the medical academic community. Spann confers
with people outside the area on an informal basis. A recent
survey to medical schools provided 50 replies to a query
regarding a heart problem.
The consultant list is kept with updated CV on each consultant.
The Federal Air Surgeon also maintains a copy of the curriculum
vitae of each consultant (this is a recent addition to the
process) and must review new appointments. Cardiology panels have
been held in the Civil Aeromedical Institute in Oklahoma City
starting in May 1989. To determine which consultants will
participate in any given panel, a questionnaire is circulated
annually, usually in December, to determine the consultant's
availability, then the panels are tentatively scheduled. The
consultant confirms the dates for which they are scheduled.
Consultants also review individual cases that are sent to them
(usually not highly litigious or controversial case). In this
event, the airman's file is copied and sent to the consultant who
renders an opinion and returns the case materials within 2
months. (See attached sheet: consultant's report.)
Panel proceedings are tape recorded and reproduced verbatim.
Additionally a stenographer takes notes in shorthand and the
attending staff, Spann, Teague, Bernardini, also take notes. More
recently the Federal Air Surgeon's representative, Dr. Robert
Poole, is present and also makes notes regarding the decisions.
The general procedure for each panel requires a preparation of an
abstract of the airman's file. This is done by the Appeals'
(AAM-321) Supervisor Sherlene Teague. This results in the
production of a protocol and acquiring all of the necessary raw
data in the form of coronary cardiac cinegram films,
scintography, echocardiography, etc. At the time of the panel,
the airmen's files are distributed to individual panel members.
One physician then will review the protocol and the raw data in
the films, etc. He will then present the case with his opinion,
the films, etc. to the rest of the panel. After this presentation
then the panel will vote regarding its recommendation to the
Federal Air Surgeon.
After reaching a decision, the applications recommended for
issuance will be reviewed and signed by Dr. Audie Davis, Manager
of Aeromedical Certification Division. Denials are sent to the
Federal Air Surgeon in Washington, DC with appropriate working
papers. The denial letter and the working papers are produced by
AAM-320 and are sent to the Federal Air Surgeon. The working
papers are necessary because an appealing airman's physician
often attempts to contest the panel decision. After the Federal
Air Surgeon has made his decision, that is confirmed the denial,
this information is fed back or sent to the individual
cardiologists who participated in the panel as well as on
individual files that the consultant reviewed. It is noted that
there have been no significant reversals in three years of panels
held at CAMI.
Spann maintains a list of recommendations, decisions, and
precedents that have been established by the panel. This has been
an informal process but involved identifying such diverse areas
as: (a) What is adequate an EKG recording of a stress test? and
(b) How old is a "current" coronary cardiac catheterization? The
Federal Air Surgeon's consultants represent a primary source for
the cutting edge of medical information, new procedures,
medications, and their opinions are the driving force for
evolution of the Federal Air Surgeon's issuance policy.
Spann also uses the CAMI Library for obtaining medical
information. In one online search performed by the librarian, he
received a list of journal articles. He selected about 30 of the
articles as relevant and very few were provided immediately.
Many were provided within 2 weeks, but some required up to 3
months to obtain. Copies of medical journal articles are also
provided by panel consultants.
The consultants review Medical Guidelines for special issuance
and indirectly provide recommendations to Headquarters for
changes.
Once an airman requires Special Issuance, he usually remains
Special Issuance. The identification of an special issuance
problem is usually done by an Aviation Medical Examiner, but
sometimes this occurs when information comes to the CAMI
Certification Division.
If approved, a letter is sent to the airman, describing the
conditions under which the airman will be allowed to fly. This
normally involves a time limitation, instructions on how to
proceed, any special tests, test dates and how to perform them.
All correspondence from the airman is placed in the airman's
file. All correspondence to the airman is copied and placed in
the file. The file is taken to the SI section on the first floor
with disposition forms attached to it and this is converted into
a form letter.
Retrieving an airman's SI certificate through the region is rare.
Most have such short time limitations that it reduces the
necessity to do this.
SI's greatest interest in Accident Investigation is to determine
if the pilot in command was Special Issuance and to determine if
adverse changes health conditions necessitating and SI could have
caused the crash. This information is a performance indicator
and is fed back into the SI system.
Spann provides presentations to AMEs during seminars at CAMI and
in all Regions. Dr. Spann presented Special Issuances information
to nine AME seminars in 1991. Additionally, he provided to
military flight surgeons general information about the FAA and
specifically about the Special Issuance area.
Spann receives routine reports from the Special Issuance Tracking
System and shares emerging patterns of SI with the industry. He
feels the need to "exploit the potential of systems" to
accomplish these goals and track more medical information. A
nagging problem is the information vacuum left when a pilot does
not re-apply for SI. Determining whether the airman is "dead,
broke or ill" is an important performance indicator that SI does
not receive.
It costs considerably more, at least 150 times as much, to
certify a Special Issuance as normal certification. Should
Special Issuance airman be charged a service fee for the
application process for this greatly increased cost otherwise
borne entirely by taxpayers? It has been noted from a preliminary
survey that less than one-half of Special Issuance third-class
airmen with a cardiovascular Special Issuance are flying at the
end of two years, we are concerned why an SI airman no longer
flies. The determination whether an SI airman is dead, broke, or
ill is an important performance indicator that SI does not
routinely receive. It would be highly desirable, if possible, to
implement the feedback as a condition for the original Special
Issuance.
Spann recognizes the value of the information that SI collects.
In addition to the medical information that is used directly in
the SI branch and in the Office of Aviation Medicine, we have a
unique opportunity or vantage point from which to receive and
review large volumes of cases that have been treated from all
parts of the United States of America and from the world. For
instance, this provides us an opportunity to evaluate certain
types of surgical procedures for revascularization of the
myocardium. At present, we are involved in the evaluations of
aortic dissections as well as the risks of atrial embolization of
airmen who have a trial fibrillation.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Sherlene Teague, Supervisor Applicant
Examiner for Appeals, AAM-321
Special Issuances Branch, AAM-300
Date: April 22-26, 1991
Interviewer: Jim Frey
Sherlene's section handles all cardiac cases and is tasked with
acquiring all hospital records since the 'event.' Standard
procedure requires a minimum 6-month recovery period after which
she will ask for current tests. Incoming mail will be routed to
Appeals and a clerk will match correspondence with an airman's
file and deliver it to the appropriate reviewers.
Sherlene handles all Class I pilots. She looks at the test
results on a worksheet and if the airman is not certifiable in
her opinion, she sends the file with "work up" to the doctor, who
may return the file with a request for more information/tests.
The file is then placed in the Pending area and if the individual
responds, the file is pulled and returned to the doctor for
review.
Sherlene also handles all case work for the Federal Air Surgeon's
cardiology panel. This entails writing airmen to request films
(showing flow of blood through the heart), compiling paperwork
and ensuring that the case is prepared prior to the panel
convening. All Class I pilots with a cardiac problem have their
certification reviewed by the panel. If there is no chance (a
mandatory denial) the case is sent to Dr. Spann for review and he
will issue a Final Denial with a 67.19 paragraph stating he has
also received consideration for special issuance.
[There are 10 mandatory reasons for a Final Denial. A Final
Denial cannot be appealed. A General Denial means that the
airman's condition(s) warrants denial in the opinion of
consultants, but denial is not mandatory. These denials may be
appealed.]
A stenographer provides a transcript of the panel dictation which
is included with the airman's denial. A letter is sent to the
Federal Air Surgeon (FAS) for signature with a copy of the
working paper (panel transcript). If the airman is certified,
the films are returned to the airman immediately and is filed in
Recertification, AAM-322.
For 2nd Class pilots, she does the case work up and sends it to
an individual consultant, most of whom are cardiologists. This
includes a copy of the file, all films and a stress testing. The
consultant sends back an evaluation that is routed to Dr. Spann
who certifies or denies the airman. In some instances, a case
may go before the cardiology panel.
Special Issuance may issue waivers (Statement of Demonstrated
Ability--SODA) for airman who have cardiac problems as well for
things such as eyesight and hearing. Eyesight and hearing
problems alone are not special issuance.
The SI database, a Paradox database running on a COMPAQ 386
provides information on SI actions, such as certification status,
follow ups required, etc. [See Nova Green's interview notes for
more information on the SI database.] This is useful in
responding to telephone inquiries. Sherlene always talks to
Class I pilots, because it's urgent to get the tests in. All
incoming and outgoing correspondence is kept in the airman's
file.
When seeking policy and procedure guidance, Sherlene goes to Dr.
Spann and then Dr. Davis. Sherlene attends monthly meetings to
share this information. She learns medical information from
medical reports, panel transcripts and Dr. Spann.
Regions call to request information about an airman's status. In
the event of an accident, they will request a copy of the
airman's file. Also, they may need guidance concerning tests
that an airman should submit. If the (CAIS) has an "FO3" code,
indicating that the region is working the case, Sherlene will
send any information to the region and vice versa.
Some RFSs will handle SI, while others don't, because according
to the guidelines it is their prerogative. In this case,
physical exams go to the Region before CAMI. Sherlene will
update the SI database to show that the region is handling the
case and input any results received from the region.
If issued, Sherlene sends a follow-up request to the AME for
tests that will be submitted with the next application
(Recertification: Nova Green) and stored in the file.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Doug Burnett, Medical Education Program
Officer,
Acting Division Chief
Airmen Education Division, AAM-400
Date: April 22-26, 1991
Interviewer: Jim Frey
AAM-400 manages the AME and Drug Abatement seminars. This
involves establishing contracts with hotels (often through
corporate HQ), requesting bids, checking available space, rates
and accommodations. The seminars are scheduled/planned by
fiscal year, a year or two in advance.
Speakers are chosen from a list of private doctors, specialists
and consultants. A list of seminars is sent to the speaker, who
selects one (or more?) based on time, place and preference. The
presentation can deal with any medical theme, but it must be
aviation oriented. The list of speakers is maintained by AAM-
400, containing basic information about the speaker (name,
address, specialty, etc). Some speakers are recommended by
Flight Surgeons. AAM-300 and AAM-400 assist each other in
locating speakers and consultants by exchanging updated lists.
After the seminar schedule is published, it is sent to all
speakers, Regional Flight Surgeons and FAA people who are
involved in the seminars. The AME database is used to generate a
report of AMEs in the area where a seminar is scheduled who need
to attend in order to maintain their AME designation. AAM-400
generates mailing labels from the database and invitations are
mailed to AMEs along with a request for information about the
AME's preference for accommodations. The hotel confirms
accommodations with the individual AMEs. This information is used
to build a list of people staying at the hotel and for making
hotel reservations. The seminar agenda is created and sent to
printing.
Letters are sent to the speakers (informal contract) and
paperwork sent/received is filed by seminar. The speaker agrees
to AAM-400's terms (pay, time, date) by signing and returning an
agreement. A Purchase Request is "cut" and the speaker is
scheduled to receive a check.
The hotel is contacted to arrange food for functions, AV
equipment and other seminar support. The agenda is carried to,
and distributed at, the seminar. Name tags and individualized
receipts are generated by computer, as well as rosters to
distribute to AMEs/MROs showing the names and addresses of people
attending the seminar.
AMEs/MROs pay the hotel, which is hosting the seminar, for
accommodations, etc. Receipts are kept for two years.
The Aeronautical Center Contracting Office selects hotels and
prepares contracts for meeting space and audio-visual equipment
for AME and Drug Abatement seminars.
Regional Flight Surgeons, Administrators and AME coordinators
sometimes call to coordinate with the seminar. The RFS usually
notifies new AMEs of an upcoming seminar.
AAM-400 distributes the AME performance report annually and
quarterly (generated by AAC-300). The computer flags AMEs with
poor performance.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Keith Guest, Computer Systems Analyst
Airmen Education Division, AAM-400
Date: April 22-26, 1991
Interviewer: Jim Frey
The AME database resides on the IBM 3090 located at the Mike
Monroney Aeronautical Center (MMAC). AME database is supported
by ADABAS, using NATURAL and COBOL/ADAMINT programming languages.
AME application is supported by the Registry Modernization
Section (AAC-322).
The regions receive applications from AMEs and they process and
appoint AMEs. The regions send copies of the application and
show appointment through letter/correspondence. AAM-400 handles
all military and international AMEs, acting as a "region" for
these communities. (Military Flight Surgeons are actually AMEs.)
The applications for military/international AMEs come directly to
CAMI and Dick Boylan designates AMEs.
Clerks perform data entry and the paperwork on all AMEs is stored
in files, ordered by last name. Class IV AME files are kept
separate. These AMEs do not want to be listed in the AME
directory, because they do not perform public exams. Other
classes include:
Class I - First Class Examiner, able to certify Airline
pilots (Pilots that require exam every 6
months)
Class II - Second Class Examiner, able to certify
transport/commercial pilots (Pilots that
require exam every year)
Class III - Third Class Examiner, able to certify private
pilots (Pilots that require exam every two
years)
AMEs are classified this way both manually and in the AME
database.
Incoming mail generates updates to the database. All
correspondence is stored in the AME file. On occasion, it is
necessary to pull a file for congressional review. Only copies
of the file (sometimes certified) will actually leave the office.
A global monthly AME listing is printed for internal use. Four
reports are generated by four access points: name, state, AME
number and unmatched. The internal report(s) are used to look up
AME listings and respond to inquiries from AAM-300, regions and
AMEs.
Other reports printed include an AME Gain/Loss report, a New AME
report, a Reinstated AME list and an Inactive AME Status List,
including voluntary and involuntary status.
AMEs must sign designation cards annually, and this information
is input to the computer, including the date the card was
received and renewal/deactivation.
Quarterly Performance Summary reports show AME error rates, type
of error and number of exams performed. The reports are sent to
the AMEs, regional AME coordinators/Flight Surgeons and are used
as feedback to AMEs to correct problems and by regions to support
decisions in re-designating AMEs. The reports are maintained in
a file at AAM-400. A Regional Summary shows all AME activity by
region. The quarterly is only printed to show AMEs due for re-
appointment in the coming quarter.
The Training Summary lists AMEs and seminar training by region.
A copy is sent to each region and a copy is maintained by AAM-
400. These reports may be referenced in response to inquiries.
Performance data is only maintained on the 3084 for one year (4
quarters) and then it is purged.
Annual Performance reports are "file dumps" sorted by Region,
State, County, City, and name. This is also sent to the regions
and AAM-400 only keeps the most recent annual report run.
AAM-400 publishes the AME Directory, prints labels on request for
the regions, AME seminars and NASA. AAM-400 can also merge names
with form letters for mass mailings.
Information that results in an AME database update includes:
changes of address, appointment, separations (de-designation),
actions against an AME (put into paper file, not 3084), training
information such as last seminar attended, and re-appointment
cards. Actions include additional classification or Accident
Investigation status. Performance data is collected via an
interface with the CAIS system. Data is passed during
processing.
AAM-400 is currently managing the distribution of new 8500-8
forms, recording order and distribution information.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Janice Nakagawara, Librarian
Airmen Education Division, AAM-400
Date: April 22-26, 1991
Interviewer: Jim Frey
The librarian operates a library providing journals with
associated indices, technical reports, books, and information ∧
referral services upon request. Requestors are primarily CAMI
staff but an increasing number of requests are received from the
center and regional flight surgeons, general public, private
industry, and other libraries around the sate, nation, and world.
Non-library housed library materials are acquired as desk
references for all CAMI offices. This endeavor requires
identifying, budgeting for, ordering, in processing (categorizing
and classifying), distribution, and accounting to follow through
on each title. Understanding the organization's goals and
objectives are essential to discerning the information needs and
products required to support the facility. Vendor mailing lists
and publishers' advertisements are scanned for relevant
materials. Blurbs are copied and routed to CAMI staff to guide
in the selection of library materials.
Literature searches of online bibliographic databases, cd-rom
products, paper indexing sources, Federal Aviation Regulations,
Advisory Circulars, etc. are conducted upon request.
A journals holdings list is updated and distributed inhouse
annually to assist the staff. Users may note titles of
continuous interest to them for which each issue's table of
contents is then routed as the issues ar received. Incoming
journal issues' tables of contents are scanned and users are
alerted to items in their particular field of interest. Receipt
of individual journal issues is monitored using a database
management system to ensure the integrity of the collection (i.e.
identify nonreceipt of issues for claiming with the vendors,
monitor the need for binding, assess price increases). All
subscriptions have been converted to a common expiration date and
the procurement is facilitated by making use of an interagency
agreement through the Library of Congress Contracting Branch.
This process requires coordination through AAM-6, Legal Office,
Acquisitions (procurement) office, Accounting Office, Library of
Congress through FEDLINK (Federal Library and Information Center
Committee) and various vendors.
Books are acquired based on user demands and availability of
funds from the most cost and time effective source. This process
requires knowledge of existing GSA contracts, publisher, vendors,
available discount, acceptable payment methods per
vendor/publisher, history of past service timeliness and
services. No clerical support is provided the library. Thus,
after determination of titles to be ordered, verification of
bibliographic information, source determination and availability
of funds, purchase requests must be typed. These purchase
requests are forwarded to the division chief, then to AAM-6, then
to AAC-66d (Aeronautical Center Library IAW). The (obsolete but
still in force) directive on FAA Library Programs, then on to
Acquisition for procurement. An accounting trail must also be
maintained to ensure that any price changes between the purchase
request and Acquisition Office's actual purchase order still
meets fund availability, no errors are made between the PR and
PO. Once an item is received, receiving reports must be
completed and forwarded to AAM-6, the Acquisitions Office, and
the Accounting Office. any discrepancies are brought to the
attention of the vendor and the procurement officer and resolved.
( To the best of Janice's knowledge, the process of receipting
items is not done at this level in other offices - most CAMI
areas are provided this service by AAM-6).
A self-service circulation system is the one used in the CAMI
Library. Circulation is for two week periods with the borrower
shouldering the responsibility for renewal/returns due to the
nonavailability of clerical support. A dual card system is
employed to facilitate the clearance process (turnover). Given
the limited library user population (approximately 175 registered
borrowers), overdues and circulation monitoring are of the least
priority. An alert librarian, knowledgeable in the interests of
library users, can retrieve any item checked out within a few
hours 95% of the time. Library materials are circulated
primarily to CAMI staff, AC staff, or on interlibrary loan.
From AAM-300, reference question generally concern drug, drug
incompatibilities, new medical procedures, and directory
information. This is the most undeserved of CAMI divisions.
Medical dictionaries, medical work books, EKG manuals, atlases,
zip code directories, thesaurus and general dictionaries, CFRs,
directories, and assorted textbooks are acquired for this
division on a routine basis. Some literature searching and
interlibrary loans are also provided.
The library collection consists of few clinical journals. Most
requests from such titles are requested on interlibrary loan.
Informal reciprocity agreements are initiated and maintained by
the librarian in order to obtain interlibrary loans in the least
costly and most timely manner. 350-500 interlibrary loans are
processed each moth with lag times ranging from a few hours (fax
service) to a month (items acquired on purchase requests, form
GOD, NTIS, SAE deposit accounts, or from international sources).
Most interlibrary loan requests are completed within five working
days.
Deposit accounts are justified and documented through the library
annual budget submission and are administered by the librarian.
An audit trail is maintained by the librarian without
intervention nor supervision by any other office.
Deposit accounts are justified and documented through the library
annual budget submission and are administered by the librarian.
An audit trail is maintained by the librarian without
intervention nor supervision by any other office.
CAMI staff was introduced to online bibliographic retrieval in
1987 upon library receipt of a personal computer from AAM-300.
As the credibility of both the searcher and the products are
demonstrated, the demand for the service increases each day.
$5000 is requested annually in the library budget submission for
this service. Users are encouraged to conduct end user searches
with the stipulation that the costs must be monitored by the
librarian. Few users are convinced of their abilities at this
point and prefer the more cost effective librarian meditated
searches. Recent introduction of CD-rom products, complicated by
the long term nature of our budget process, has helped to
increase library users' awareness of state of the art library
services. This has also been a byproduct of the recent hiring of
additional researchers used to such services at universities and
private industry. Currently, cd-rom services are single user
access in the library to Science Citation Index, Defense
Technical Information Center;s technical reports database, and
the HIS (material safety data sheets) database. With the
assistance of AAM-505, plans are developing for network access to
these and other library services.
With AAM-505, connectivity plans with the Internet for CAMI staff
is also leveling at the impetus of the librarian. Future plans
developed by the librarian include adding such cd-rom products as
PsychLit, NTIS, GPO, CD PLUS MEDLINE, etc. as funds and
documented justification of need develop.
CAMI Library services as a resource library for regional and
center physicians using the GratefulMed ∧ LoansomeDoc software of
the National Library of Medicine. Bibliographic citations are
identified by the user at his/her FAA expense from the MEDLARS
database, selected for retrieval by the user and electronically
transmitted to CAMI Library. The LoansomeDoc system is accessed
daily by the librarian for retrieval of requests. Reprints from
CAMI Library's collection are then retrieved, copied, and
distributed by mail or fax as is appropriate. Those citations
are not available from CAMI Library are then routed on to lenders
electronically as interlibrary loans must be absorbed by the
library.
CAMI Library mails free copies of OAM reports in response to
requests received by mail or phone at a rate of 150+ per month.
Requests are received from ATC facilities, airlines,
international organization, AMEs, private citizens, other
government agencies, etc.
Library activities are reported monthly to the division chief and
include such statistics as the number of reference questions
responded to, number of photocopies produced, databases accessed,
interlibrary loans processed, circulation statistics, significant
accomplishments, annual and sick leave taken, and continuing
education courses attended as certification by the Medical
Library Association requires.
Knowledge of the organization's activities, necessary to the
effective provision of quality, proactive library services, are
not readily available to the librarian.
Recent US Army Medical Library Command task and manpower analysis
directives indicate one interlibrary loan requires 45 minutes to
complete. This points to the fact that this library is
inadequately staffed and cannot provide quality services.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Jannice Duskin, Computer Systems Analyst
Frank Elliott, Computer Systems Programmer
Robert Link, Computer Systems Analyst
Dennis Rester, Computer Programmer
Technical Information Systems Branch, AAM-500
Date: 4/16/91
Interviewers: Carol Wasserman, Claudia Cardile
AAM-500 (Human Factors Research) is supported by a VAX cluster
that is integrated with a network of PCs. Most researchers,
however, use the VAX. There is a network server to run DOS
applications for personnel who use a VT class terminal who do not
require a PC. Personnel who utilize storage on the VAX, do not
need to perform PC backups since that is taken care of through
the VAX network automatically. The client/server relationship
between the VAX and PCs ensures that everyone is running the same
software and the same version.
The TIS responds to questions and problems from the Human
Resources Research Division as well as other division within
CAMI. The primary goal is to make the users as self-sufficient
as possible while maintaining compatibility across multiple
platforms. Questions that are asked by people within the
Division are typically asked informally.
The Data Services Division provides some PC application software
in the area of Employee Performance Appraisals and Travel which
is loaded to the server for use by VAX and PC users.
Activity reports that contain the programs and support provided
by the section are made available to the division manager.
Computer usage analyses are run fairly frequently which indicate
most of the VAX disk and processor capacity is utilized.
The VAX is a clustered system utilizing a VAX 6210, VAX 8350 and
VAX 11/780; if one CPU falls out, the other(s) take up the work
load. The Local Area Vax Cluster (LAVC) is composed of PCs, VAX
3520s, VAX 11/730, and MicroVAX II. There is a direct connection
with the Radar Training Facility for mail and file transfer,
independent modem capability, and Starlan access in order to
communicate across all current platforms utilizing a multitude of
protocols.
Security is very good. Users get access only to what they need.
AAM-500 does not currently access other CAMI data bases. If the
regions or anyone else in CAMI need access to AAM-500 data, all
they need is authorized access to the system. No specialized
equipment or software is required.
TIS is currently in the process of working toward CAMI- and FAA-
wide mail and file transfer capability. It is also desired to
have access to academia and DOD networks which could be utilized
by all of CAMI for information and research exchange.
Training for how to use the VAX editor and the system is all on-
line. All software that they use is licensed and AAM-500 has all
the manuals.
TIS receives tapes from the Consolidated Personnel Management
System (CPMIS) that contain ATC identification and training data.
Portions of the data base are loaded from these tapes.
Guidelines and standards are generally informal. With respect to
data standards, the basic rule is that the name must be something
recognizable and meaningful. All programs are documented
internally with information such as the purpose of the routine,
special modifications, purpose, date, and by whom.
AAM-500 is currently taking one system at a time and converting
the files to Powerhouse, a 4th generation language which utilizes
a relational-like structure. Powerhouse does not have a unique
or proprietary data structure which allows for easy access and
utilization by a large variety of other Database systems as well
as systems which cannot access proprietary data structures.
The data files used to exist as extremely large flat files.
These are being restructured into a relational model which will
be easier to manage and access. A large part of the re-
structuring effort is being contracted out. This process entails
completing a statement of work which is a document that specifies
requirements such as compatibility, useability, and user
approval. The winning contractor then gets the file formats and
layouts. The contractor is monitored closely by TIS staff
members and the requiring users. The contractor provides a
delivery schedule as well as status reports, interim
deliverables, training, and documentation.
TIS performs a market analysis which helps determine the
approximate cost as well as system impact of doing the work
before putting a project out to bid.
There are approximately four major data bases:
ATC Training and Tracking (these data bases are tied to the
ATC Attrition database)
ATC Attrition (contains ATC who have quit or died - this
data base is tied to the CPMIS data base)
CPMIS extract data (this data base is tied to the scoring
data base)
Scoring system (contains ATC preliminary test scores)
All of these data bases are broken down into smaller relational-
like files.
User guides and instructions on how to use the servers and
individual systems are written by TIS. User guides and
instructions are written in WordPerfect. There is an informal
checkout system to keep track of who has the manuals for 3rd
party software.
Primary PC software is as follows: WordPerfect, SPSS, Harvard
Graphics/ Drawpartner (heavy users of these packages).
VAX software is as follows: WordPerfect, Fortran, C, SPSS,
Powerhouse, Vivid (graphics).
The division owns a Software Bridge which has the capability to
convert WordPerfect into Microsoft Word and vice-a-versa. In
this way they are able to be compatible with OATS software and a
variety of other popular software packages.
There are approximately 45 individuals who use the system
regularly. Users also have the capability of running more than
one session at a time.
The division also owns a MacIntosh FX so that surveys can be
created locally and to scan text and image documents for
inclusion in reports. The MacIntosh is also networked with the
VAX and PCs.
The division also owns an NCS 2020 scanner which is the source of
the majority of data input. This scanner reads bubble sheets,
pre-printed scan forms which are filled out by the regions and
ATC students. It is also capable of reading scan sheets produced
by the MacIntosh.
Another large data source is via 9-track tape. These primarily
come from the Academy but there are smaller inputs from CPMIS and
occasionally from other sources.
The overall data processing approach is modular to ensure that
users have the needed capacity, are able to grow, and are
integrated both within the department and with other areas.
The main load area is shared by all PCs. There is an image
backup of all work that is done plus daily incremental backups.
TIS is composed of: 1 GS-334-12 Computer Systems Analyst
1 GS-334-12 Computer Systems Programmer
1 GS-334-11 Computer Systems Analyst
1 GS-334-9 Computer Programmer
1 contract Full Time Computer Programmer
This staff currently supports all ADP/FIP activities within the
division including, but not limited to: contracts, consulting,
wiring, training, development, configuration, design,
programming, acquisition, documentation, division ADP inventory,
and operations.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Frank Elliot, Computer Systems Analyst
Technical Information Systems Branch, AAM-500
Date: 4/17/91
Interviewers: Carol Wasserman, Claudia Cardile
Frank is the system manager and network administrator. Primarily
he works with the DEC server 250. The satellite systems
connected to the network can use and share the resources as well.
The system does all the software installation for the network
machines. This procedure ensures consistency of the versions.
VMS has facilities that handle updates/install notes (directory
and files), and a history of the installations and updates.
He works on the databases to make sure they are un-fragmented,
backed-up, and to maintain the hardware.
Reports
He does monthly status reports, these are combined with Jannice's
and David's for the unit.
Vendor Searches
He does Technical Searches for vendors to look into new
technology, search for specific products, or to fix problems. He
keeps his notes on file electronically and keeps a log of phone
numbers.
Miscellaneous Work
When researchers need coding/developmental work done he or one of
the other analysts does the coding or fixing of programs.
They want to know what the researchers are working on in this
area and their needs for upcoming future projects (including
software and equipment needs). They don't have knowledge of what
the other divisions are doing and feel it would be useful to have
some knowledge in those areas. If they knew what resources are
available in the other divisions this could help them do their
job better.
Security is an issue with respect to accessing the research data.
There is no set policy at the CAMI with respect to the computer
networks. This issue should be looked at to see if it needs to
be more structured.
Data Stored
Tapes are kept that contain a record, log notes, and time, with
respect to the tapes. Backups are done quarterly, monthly, and
daily. If everything on the system were lost, at most only 8
hours of work would be lost.
Data Processing
Data processing development and planning occurs separately in the
two research areas. AAM-500 has networked PCs attached to a
mini-computer cluster. AAM-600 has individual PCs that support
each research section.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Carol Manning, Personnel Research
Psychologist
Training Systems Section, AAM-524
Date: 4/16/91
Interviewers: Carol Wasserman, Claudia Cardile
AAM-500 has two branches, the human factors research branch and
the training and organization research branch. The human factors
research branch simulates operational situations for various
employees in a laboratory setting and studies the results.
Carol works for the training and organization branch. This
branch does evaluation research where they look at the success or
utility of various programs. She develops and maintains data
bases that contain background, history, and air traffic
controller (ATC) test performance in selection and training
programs. Statistical analyses are then run on this data. They
are trying to expand the population that they work with to
include pilots and airway facilities people.
With respect to the ATC data base that contains the selection
data and test scores, the Office of Personnel Management (OPM)
administers an initial test. When Carol's area makes a special
request, OPM sends a tape that contains the test information.
They load selected data from this tape onto the data base
contained on the VAX computer system. She would like to receive
the tape of the test scores and related information regularly.
They also get 16PF (psychological test) data. This data as well
as medical exam data and security clearance data is used as the
initial selection criteria for hiring ATC.
The ATC is hired and then comes to the Academy for 9 weeks for
another selection procedure. AAM-523 receives lessons and tests
which are graded. AAM-500 scores the ATC tests in conjunction
with the Academy to provide a double-check. The tests are
received on bubble sheets. AAM-500 receives the original forms
which are scanned into the VAX. The scoring results are sent to
the Academy via modem and cross checked with the results
generated by another unit to ensure accuracy of results.
At ATC orientation the new hires are asked to complete bubble
sheets with biographical information. This information is then
scanned into the computer. The biographical information, academy
information, and OPM data are all maintained on separate files.
They are in the process of integrating this information.
Supporting data such as prior experience, age at entry, race, and
sex are all manually entered from a non-automated source.
Analyses are done on this information to see how different
breakdowns of people will perform (e.g., male versus female).
They receive a fair number of short-term, informal requests for
this data.
When people graduate either from the Academy or other hiring
programs, they go to the field facilities. Carol tracks training
performance at those facilities. When training is complete at
the facility, someone at the facility (e.g. a training manager,
supervisor, or an administrative employee) fills out the scan
form and sends it to Carol. They track all the people who are
trained at the facilities. It is more difficult to identify the
training results for non-academy controllers and people who left
the program. CPMIS provides status information on employees
which is integrated into our data base.
Another problem with receiving scan forms is that they are not
always sent in. There is an order that tells the training
managers how they are supposed to fill out the form. It is hard
to track all the people who cycle through.
Air Traffic is in the process of developing FMIS through ATZ-320.
This system is currently just for the Air Route Traffic Control
Centers (ARTCC). It will track daily training of the ARTCC's
controllers and the resulting report for each completed training
phase will be sent to Carol. The FMIS system will enable them to
check for errors in the data up front. There are over 300
terminals from which they receive information. It takes a long
time to determine if all the forms have been turned in. Once
every two years they go facility by facility to determine whether
everything has been turned in and to obtain the information if it
was not submitted.
Field information is maintained by Carol. Dana Broach maintains
Academy information. Field data consists of academy graduates
plus ATCs who were hired through a special program such as the
GS9 military hire program (military controllers). The biggest
problem with special program hires is matching them with the
CPMIS list. CPMIS is supposed to code the people from special
hire programs but sometime their codes don't match AAM-24's or
CPMIS writes over the old code. CPMIS information is used to
complete some of the codes in the training data base and to
identify people with incomplete information.
Dana produces standard reports on every input (group of Academy
graduates). The reports are produced approximately every month.
Carol now produces reports for the en-route option, by facility
and region, that tracks each phase of a controllers training
since the strike and over the last three months. These reports
are sent to each facility, the ATZ Division, the several
divisions in the Human Resource Management Division Office, and
to several Headquarters branches.
Carol also produces reports in response to informal requests.
Most of the work in her area is outside of AAM. She gets
requests for EEO-oriented reports.
The Supervisory Identification Development Program (SIDP) is the
method the FAA uses to determine supervisor candidates in several
occupations. Files for this program are maintained in AAM-500.
Jennifer Myers is in charge of the program.
The budget is submitted 2 years in advance. They write a short
project description and the estimated dollars for each planned
project. The year before she does a project she completes a
research resume (9950) which provides a more detailed project
description.
The input for the 9950s is based on a request from other
organizations or the Federal Air Surgeon's "Call for Research"
(Note: This is not the official name). There is a "Call for
Requests" which is a memo that goes to the other FAA offices.
Carol may work with personnel in the other offices to develop
their response to the Call for Requests. The Call then goes back
to the Federal Air Surgeon. The Federal Air Surgeon develops one
letter of priorities and uses the responses to the Call for
Requests as justification.
Researchers are encouraged to get direct money sponsorship
through other sources. In this case, the researcher writes a
proposal (research resume) and the sponsor says okay we'll fund
it. The researcher then makes informal or formal periodic
reports back to the sponsor.
The research resume format changes frequently. The current
format contains a hypothesis, set of questions they plan to ask,
timelines, and milestones. They present the project to aviation
medical people and to Dr. Sheperd and Dr. Rueley at AAM
Headquarters for approval.
Copies of research resumes are kept in a notebook in the
Division. Worksheets containing project summary data are
maintained manually and on the computer to track on-going
projects.
Quarterly reports are completed for each task. They are one page
long and contain timelines; milestones; and original, revised,
and actual completion dates; and accomplishments made during the
quarter. Reports are done on the computer using WordPerfect.
The individual researcher determines how each project will be
conducted. He or she may consult with other researchers for
advice. The research experiments are set up before Carol runs
any analyses.
The Monthly Activity Report is one-half page per branch. The
most significant activities are noted on the report. She also
keeps a phone call list that is turned in to Dr. Collins at the
end of the month.
One issue that Carol brought up is that better communication with
other related development efforts such as FMIS would be helpful.
Requests for statistical reports are submitted by the Air Traffic
and Human Resource Divisions in the Regional Offices.
Internal technical reports are completed according to Order
1700.8c, Standards for Preparing, Printing and Distributing FAA
Formal Technical Reports. People within the Division initially
review the report. People with knowledge of the area outside of
the Division then review the report. A technical writer at CAMI
reviews the report and then it is sent to Dr. Collins for review.
After that the report is sent to Headquarters for further review.
The secretaries format the technical reports.
Hard copies of the reports are readily available from the
library. The library is the delivery point. The reports are
hard to find if you need an on-line copy. They are available
from NTIS. There was no intention to make a computerized version
available to the public.
Carol sometimes presents statistical briefings at EEO hearings or
discrimination complaints. There are no associated reporting
requirements.
When presentations are made at conferences or anywhere else, a
short report outlining what she will be speaking about is
prepared and run through a short review at CAMI or Headquarters.
Carol has access to VAX electronic mail although not to FAAMAIL.
She doesn't have a real need to access FAAMAIL.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: David Nelms, Computer Systems Analyst
Technical Information Systems Branch, AAM-400
Date: 4/17/91
Interviewers: Carol Wasserman, Claudia Cardile
David is involved with the National Job Satisfaction Survey. His
role involves sending out surveys and data sheets (bubble sheets)
that are read into the computer. The data is then statistically
analyzed. These surveys are sent out every two years.
He is also working on the Supervisory Identification Development
Program (SIDP) which identifies personnel with supervisory
potential, in the ATC and Airway Facilities.
Programming
The programs are documented internally. There is usually a one
or two page summary of instructions given to the user of the
program.
Monthly Reports
His individual report is combined with Jannice's and Frank's and
given to Dr. Schroeder. This took a good deal of time so they
standardized the process within the Division by using the same
word processing package and version.
Miscellaneous
Data Services keeps some data bases. Right now Data Services
sends tapes of information such as CPMIS or the Airway Science
Program, and, when requested a monthly update tape of SIDP. He
would like a direct link to these data bases instead of relying
on tapes.
Sources of Outside Info
A project that will take information for the Age 60 ruling from
the NTSB, CAIS, and other DBs and maintain it as one data base in
Human Factors Research is in the initial stages. Pam Delrocco is
responsible for the project. Jannice is helping with the
selection of hardware and David is helping with the software
selection.
Data from the National Training and Tracking Program comes in on
the bubble scanning sheets and is maintained on a data base.
Information for several data bases are obtained through the use
of bubble scan sheets.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: David Schroeder, Ph.D., Supervisory Research
Psychologist for Human Resources Research
Human Resources Research Division, AAM-500
Date: 4/17/91
Interviewers: Carol Wasserman, Claudia Cardile
Research Process
The 9950 is a brief description of the research project,
containing expected start and completion dates. The 9950, along
with a more detailed plan is developed for each project and is
required by the research committee for each project for the
entire review process.
A project file is kept in the primary investigator's office and
updated with research results and other letters, reports and
notes that document the course of the project. Once the project
has been completed, the file is reviewed and the relevant details
maintained. The file is archived in the Division where the
research is done. This procedure is changing to make a CAMI-
based archiving facility. Following appropriate Federal
guidelines, the maintenance at CAMI for the appropriate time
period and are boxed for shipment to the storage facility in St.
Louis. The researcher knows if the file is here or in St. Louis.
With the new order, the Research Committee now reviews the entire
OAM research program. Investigations are expected to conform to
existing federal guidelines concerning human and animal use and
to relevant performance standards.
Information for the 9950 is based on the researcher's own
knowledge, appropriate literature reviews, material from previous
studies, and other data bases. The 9950s are prepared by the
individual researcher, reviewed by the Division Manager, The OAM
Research Committee, and the CAMI Director. The CAMI Director has
been authorized by the FAS to approve the OAM research program.
The Research Committee is comprised of the Division Manager, AAM-
240, and a Regional Flight Surgeon. Following approval, an OAM
R,E,∧ D Research Program book, containing the 9950's is developed
prior to the beginning of each FY. Dr. Jordan's signature in the
books indicates his approval of the research program at that
time.
The research resume review process will occur as needed during
the quarterly meetings of the research committee. In the past,
studies were reviewed every year to see if they were still
viable. Currently, investigators can receive approval for their
research proposal for one to three years.
A new book of AAM research projects is created every year. It is
archived in the Division Office, the library at CAMI, and at
Headquarters. They do not have a system where the information
can be stored on-line. The book is of active projects. A close-
out form is required to end of each project. A copy is kept in
the Division, CAMI, and at Headquarters.
Research direction is based upon maintaining contact with FAA
operational personnel, the OAM call for research, the National
Plan for Aviation Human Factors - Volumes I and II, and the FAS
guidelines. Potential research projects are analyzed with
respect to available resources within AAM, current project
requirements, and available resources.
The Research and Development (RE∧D) Plan lists current and future
FFA RE∧D efforts. The RE∧D Plan contains equipment design and
Human Factors research. Each year you have describe the projects
that you want to initiate in the future on a form based on FAA
Form 7921. The budget planning document contains a narrative
task description, project areas, budgetary information, employee
years, and equipment necessary for the project. There are about
2-3 pages per project. The budget is sent to Virginia Hicks'
area to be put together. After the budget requirements for the
two Division are compiled the budgeting information is sent to
Headquarters, the FAA, the Office of the Secretary of
Transportation, the OMB, and Congress. Cuts can be made at any
level.
The 9950 is initiated the year following approval of the research
budget. These forms are completed based on what was planned in
the budget plus new requirements. There has been discussion of
moving the creation of the 9950 to coincide with the preparation
of the budget requests.
The Order for OAM Research contains all pertinent regulations
regarding the care and treatment of animals. A Department of
Transportation Order is in process that will contain the rules
and regulations regarding the treatment of human subjects.
There is an FAA Order concerning the format for the preparation
of FAA Technical Reports. Investigators are encouraged to
publish results of their research both in OAM Technical Reports
and in the open scientific literature.
Communications with the regional medical divisions is on a
limited basis. It varies according to the project. The HRRD
(AAM-500) conducts research on Air Traffic Control Flight Deck
and Airway Facility maintenance human factors.
Transfer of data between the regions and AAM-500 is basically on
floppy disk. Ability to transfer data by magnetic tape and modem
is also available.
Activity Reporting
Monthly activity reports are prepared by the individuals. They
go to the secretary who puts them into the proper format for
approval by the Division Manager. A copy of the reports is
provided to AAM-3 and AAM-1.
Quarterly research status reports are handled on the 9950 form.
The fact that the 9950 is a status report is indicated by
checking a different box on the form. Status information
includes what was accomplished relative to the milestones;
required revisions and the justification. The status report has
the same distribution as the research resume. Dr. Bill Sheperd
receives quarterly status reports and filters them to the users
(he also coordinates the Call for Research).
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Dennis Canfield, Ph.D., Supervisory Research
Chemist
Aviation Pathology ∧ Toxicology Lab, AAM-600
Date: 4/15/91
Interviewers: Carol Wasserman, Claudia Cardile
Dr. Canfield identifies substances such as illegal or
prescription drugs or alcohol which might be influencing aviation
accidents. Any drugs that are frequently seen in accidents are
potential topics for research. For example, pilots performance
under a particular drug would be tested for deterioration.
If he notices a problem with respect to a particular drug, he
would alert the Certification area; this has not happened to
date.
Dr. Canfield writes his own software to analyze data base
information. Programs are written in compiled BASIC. Analytical
information is provided by his staff and scanned into the
computer using bubble sheets. The information on the form is the
results of tests performed on the specimens.
Dr. Canfield is alerted of accidents by the Aviation Bulletin (a
teletype at the Communications Center). Someone has to
physically go and get the hardcopy Bulletin (it would be much
easier if the teletype was sent directly to him in an ASCI II
file). This information is then entered into the data base on the
personal computer. He tracks the number of accidents that took
place versus the number that they investigate.
The second alert is a tox box alert. Either the NTSB field
officer or the FAA field office phone or fax to tell him that a
tox box is being sent. The call also provides more up-to-date
information than that contained in the teletype. If Dr. Vernneau
goes to the accident scene, Dr. Canfield receives additional
information such as names, ages, whether there was a fire, and
medications found. If this information is not obtained from
someone on the scene, he does not get the medical condition.
The tox box containing the specimens is typically sent by the
pathologist although it could be sent by the FAA or NTSB. The
shipping bill is sent to procurement and a copy is kept in the
case folder. A case folder is started when he receives an alert
that a tox box is being sent.
Hard copies are kept of toxicology results for 2 years if the
result is negative, 5 years if the results are positive. After 5
years he would like to put all results into the computer (Dell
PC). Right now he has 20 years of hard copy data.
Specimens are logged in. A bubble sheet of names, addresses,
dates, type of aircraft, and type of specimens is filled out and
scanned into the computer. This action opens a computer file for
the case and assigns the case a number. Portions of the
specimens are then analyzed by the staff. An analysis report is
completed on the specimens and reviewed by Dr. Canfield to make
sure everything looks okay. If everything is okay, the report is
put in the case folder. If things are not okay, he reviews the
process to see where the problem occurred (an example of a
problem is inconsistent results).
The analysts have 10 manuals that provide standards and step by
step procedures on how to conduct specific tests. When all the
test results are in the folder (e.g., alcohol, carbon monoxide,
cyanide, drugs), Dr. Canfield fills out a scan card with the
drugs that were found and scans the data into the PC. An interim
report is printed out to verify correctness of the data, then the
data base is updated. Data is always current, it is scanned in
within 15 seconds of time received. The end product is a
computer report on a specific case that is mailed to the NTSB
regional office (of the region where the accident occurred) and
to the Regional Flight Surgeon (RFS) (becomes part of the RFS
report). If a positive result is found, a copy of the report is
immediately faxed to AAI-100. The report contains the
methodology used, sensitivity of instruments, and the drugs
found.
Dr. Canfield provides weekly, monthly, and quarterly activity
reports to Dr. Hordinsky (AAM-600).
He currently uses the CAMI library for research. He does not
have access to but would find the medical records on the accident
victim from the Certification data base useful to determine if
the victim was on medication or had any illnesses. Deceased
individuals are not covered by the Privacy Act. He would also
like to be able to access NTSB's data base.
Drug (molecular structure) database access is prohibitive due to
the cost.
Dr. Canfield is involved in workshops for flight attendants and
pilots. He will occasionally run an analysis or answer a
question for an airline.
He publishes articles in scientific journals. The journal sends
you copies of the article so that you can distribute them when
asked. Before an article is submitted it goes through a
technical review in the lab, 3 people at CAMI review the article
and then 3 people at Headquarters (HQ) in Washington D.C. review
the article. The journal also reviews it before publishing. Dr.
Collins has final review.
An annual report is provided to Congress (via HQ) that contains
the number and types of drugs found in accidents and some
statistical information. This report is provided by the computer
based on data entered over the year.
Dr. Canfield provides Dr. Hordinsky with the information
specified by the budget area. The format changes frequently. He
also completes the 9950 (Research Resume) for planned projects.
Information (i.e., reason for doing research) to complete the
9950 comes from computer results or a new methodology. Research
resumes are sent to Dr. Hordinsky -> Dr. Collins -> AAM-1.
The Federal Air Surgeon's statement of need contains one line
topics for research. He reviews this document to see if it fits
what they are able to do.
Dr. Canfield occasionally receives requests for research from the
airline industry (verbal). He will perform some preliminary
tests to see if the idea is viable.
Consulting activities are mostly verbal communication. He
receives requests from the NTSB, the FAA, and the RFS. He also
receives calls with respect to the random drug testing program.
He has some communication with the Substance Abuse Program
Manager.
He is called on to be an expert witness to help the FAA prove a
case of whether an individual was or was not impaired. He
submits a short report to the FAA prior to testimony stating his
views on the case.
Dr. Canfield has requested access to the FAA's electronic mail
system.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Boyd Endecott, Chemist
Toxicology and Accident Research Laboratory, AAM-
600
Date: 4/16/91
Interviewers: Carol Wasserman, Claudia Cardile
Boyd was asked if he wanted to get onto the network but he didn't
feel he needed access. He has access to commercial data bases
and Paradox, but does not use them. They use commercial
databases in conjunction with forensics such as dbase III, dbase
IV, and Paradox. They also get research data through the CAMI
library.
His main responsibility is performing experiments in biochemistry
and inhalation toxicology.
Experiments
Right now he is performing experiments involving the level of CO
(carbon monoxide) to give 5 minute incapacitation, level of CN
(cyanide) for 5 minute incapacitation, and CO and CN together for
5 minute incapacitation. The second part of the experiment were
these sets of experiments for 35 minute incapacitation.
When the raw data is collected, it is entered into a program
written in BASIC that captures the information and stores it.
This program does the analysis on the data. He records the
atmosphere in the chamber, and plots the concentration of the
gases using a gas chromatograph. He writes the lab conditions,
settings of the equipment, the methodology, etc. into a lab
notebook. All the data collected from the gas chromatograph is
entered into a BASIC program.
Once an experiment is finished, a report of the method and
findings is made and a paper is published. There are two or
three reviewers of the paper before it is sent out of the
division. Reviewers are generally Mike Wayda, Dr. Hordinsky, and
Dr. Collins.
He completes biweekly, quarterly, and monthly status reports.
The reports contain a list of who called them, consultation work,
and progress on experiments.
With respect to closing out a project, it usually finishes when
the report or publication is written. Some of the projects
closing out now are from a year or two ago. The 9950 is kept
open until the report is written. The report contains
information on what they did and the results of these
experiments. When closing out a project, a close-out form is
filled out and sent in to AAM Headquarters (HQ).
Consultations
They keep a log of calls received identifying the caller and how
much time was spent on the call.
9950
The 9950 states the protocol or what the project will accomplish.
It contains the schedule, equipment to be used, and the process
which will be followed. The ideas for the 9950 come from
requests from HQ and from doing their own research.
At the start of a new project, a literature search is done. They
go to the CAMI library and do a search on a topic. They can
access other databases and literature through the modem. They
have contact with the Oklahoma University library.
They read scientific journals to keep up with what is going on in
the outside such as the work being done in inhalation toxicology.
Data Books
The experimental data books contain information that describes
what was done on an experiment. This includes the set-up,
columns on gas chromatograph, the experiment, and experimental
data published in papers. The lab books are stored in the lab
office in bookcases.
His area keeps records on all their own 9950s in files. HQ will
send letters asking for updates on status of experiments.
The regions call him when the need information on specific
topics, usually AMEs call for information.
Miscellaneous
Some of the work they do at CAMI overlaps work done at the FAA
Technical Center in Atlantic City. The work at the Technical
Center is typically on a larger scale.
All data collected is open to the Freedom of Information Act.
Procurement Requests
They initiate a procurement request (PR) when they need something
for a new project. They fill out the PR and send it to the front
office for a number. It then goes to the supervisor, Dr.
Hordinsky, and Virginia Hicks. There is a person who handles the
OATS PRs, if computer equipment is needed. These PRs must go
through Security. They keep a copy of the PR and the original
goes out for processing. Procurement sends a copy of the PR back
when it has been processed. They store these copies in the
office.
They submit the budget based on money needed for equipment,
people, and supplies. Budget requests are submitted 2 to 3 years
ahead of time.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Earl Folk, Research Mathematical Technician
Data Analysis Branch, AAM-600
Date: 4/18/91
Interviewers: Claudia Cardile
General Responsibilities
Earl's responsibilities include: General research design
methodologies which involve developing randomization schemes,
setting-up experiments, and working on data reduction and
storage. At the present time data is stored on floppy disks,
worksheets, and magnetic tape. There are 10 -14 years worth of
sled impact data. We have the necessary equipment to move the
Sled data to the VAX.
Earl selects statistical procedures which are deemed appropriate.
Then, he performs computations for research projects and
documents the method used to determine the calculations,
results, and conclusions. The report is given to the Principle
Investigator (PI) on the project.
Earl is also involved with the IRM working group (he gathers
information on hardware and software in surveys). Based on a set
of requirements, he helps determine the automation equipment that
would be requested for AAM-600. Earl is involved in archiving
data at the Institute and also works on the IRM budget.
Surveys are also done to look at PC hardware and software in
order to find the best purchase price. There is a network being
set up connecting Virginia, Dr Collins, and Washington and will
connect all division managers in AAM.
There are 45 million records here (mostly in Certification) which
they would like these to store using document imaging technology.
Earl is on a committee with other CAMI Division representatives
that is looking at this issue and proposing solutions.
Earl helps people with software problems and also helps to
install and run programs. He is the PC coordinator for the
division and is responsible for PC maintenance.
There are 3 PCs and a Hewlett Packard 100 minicomputer in his
area. A bulletin board (BBS) is set-up in this area and anyone
in the impact area can call files up and share data. When
applicable, persons outside CAMI exchange text and data files
associated with particular tasks (research projects) which is
often accomplished on the BBS. He has access to FAAMAIL.
Statistician
When he does work as a Statistician, he frequently receives the
data on spreadsheets. When he does his own research as a PI, he
writes up his methods, conclusions, and the results. A copy of
the report is sent to the Division Manager. If other areas ask
him to do work, he writes a summary and gives it to his manager
describing what work he has done and for whom.
Reports
He documents both his non-division and division activities for
the Monthly Activity Report.
Miscellaneous
He is the OATS coordinator for CAMI.
He occasionally accesses data bases at Wright-Patterson AFB on
injuries and crash results.
Earl wants to be able to access in the following systems:
Medical Certification,
Accident data bases,
NTSB data bases, and
Academy data bases.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Gerald Hanneman, DVM, Veterinary Medical
Officer
Veterinary Medicine Staff, AAM-602
Date: 4/18/91
Interviewers: Carol Wasserman, Claudia Cardile
Dr. Hanneman has project-specific procedures that describe how to
care for different species of animals.
The Health and Human Services Department, US Public Health and
other organizations have guidelines for general care of animals.
These guidelines are applicable to all animal care facilities.
CAMI is accredited by the American Association for Accreditation
of Laboratory Animal Care (AAALAC) and uses the same books and
documents for animal care as other organizations. A site visit
must be done by the AAALAC every 3 years.
The Department of Agriculture's Animal Welfare Act provides
guidelines for the care and use of animals which does not change
very often. Recently they have become more uniform in
inspections and requirements.
Records are kept on animal care for all animal subjects used in
research. Limited paperwork is involved as they currently have
only rodents. He made up some forms for dogs, cats, and other
animals that aren't currently in use.
The FAA has certain regulations on how long they need to keep
records. They keep data up to 10 years because the time
regulation changes annually.
He reports any changes or additions to the original facilities or
project management rule changes to AAALAC. He is available as
needed for other facilities or divisions in the FAA, and has
worked closely with the Department of Agriculture in areas such
as animal transportation.
He is on the Animal Care ∧ Use Committee which must approve the
animal care and use protocol of 9950s for all projects that are
doing animal based research.
He doesn't have computer support but would like to keep
information on a computer. He uses computers for compiling
research data, manuscripts, activity status reports, and
procedures. These documents are distributed internally and
externally, and are used to complete the annual reports. Most
reports go through Dr. Hordinsky and Dr. Collins.
He uses libraries for reference on subject areas relating to
animal care studies.
The non-government sector has computer programs that can be used
for the care of laboratory animal management although they are
more appropriate for larger facilities.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Jerry Hordinsky, M.D., Supervisory Medical
Officer for Aeromedical Research
Aeromedical Research Division, AAM-600
Date: 4/16/91
Interviewers: Carol Wasserman, Claudia Cardile
Research Process
The current Research Working Group is transitioning to a research
committee. Their purpose is to look at the current research
process and put together a new draft order that will cover AAM-
500, AAM-600, AAM-240, and any OAM group initiating research.
All research resumes (9950s) would go to the committee who would
review the ideas and make recommendations to Dr. Collins. The
research review process would be brought under CAMI's
responsibility. Currently the 9950 is reviewed by an AAM
committee chaired by the senior person in AAM-240 (Dr. Bill
Sheperd).
The scientists use their acquired technical knowledge and
information obtained from the library and interested parties such
as NTSB to complete the 9950s. The 9950s are placed in an annual
book after they have been approved.
The 9950 projects must be consistent with the FAA RE∧D Plan
process.
This year the Human Factors plan had to have its projects divided
into 6 environments and multiple domains within each environment.
This resulted in a great deal of work. Aeromedical Research was
able to keep the same groupings this year. The whole RE∧D Plan
format is still in flux.
There is currently no standard repository for inputs to the
research process. Ideas are collected from various sources such
as letters, phone calls, or the Federal Air Surgeon (FAS).
Inputs from various FAA areas are coordinated by Dr. Bill
Sheperd. He puts out a call for research to other areas of the
FAA. CAMI accepts research projects
identified by this call, consistent with resources and
priorities. The groups requesting the research are identified in
the 9950 and are provided feedback and research identified.
With respect to Regional or Headquarters contact or input into
determining the research projects, a RFS is a representative on
the Research Working Group and the FAS' management team provides
research topics as well. There was a 9950 order that provides
the protocol for writing the research resume but the new draft
research order provides a more efficient process.
Standardized quarterly reports have a simpler format than they
used to have. Everyone at CAMI completes the same report. This
report is not necessarily completed at either the Technical
Center or for any work done at the Regional level. The quarterly
reports go to Dr. Collins and Dr. Jordan (FAS), a repository in
the library, the research committee, and to select research
sponsors.
Research questions from private citizens or companies often come
through the Federal Air Surgeon. Regulatory requirements-related
research doesn't always wait for the call for research.
The principal investigator is the repository for the origin
research data and status reports. Project files are individually
maintained.
Pilot studies are occasionally done. They may look at the
feasibility of one approach versus the other.
Computer Support
Each research area has section-level personal computer support.
They are thinking of implementing a network to address Division-
wide administrative needs. Additionally, AAM-600 plans to
increase the current level of PC support. AAM-600 does not have
a dedicated computer support person. They try to recruit
researchers with computer experience and knowledge.
Other Data Base Access
Access to the Certification data base could help the accident
investigation, cabin safety, or vision research areas. These
groups do not currently have easy access to this data.
Joe Young in anthropometry cross-references national civilian and
military data bases over modems. Dr. Veronneau and other
investigators tap into many research-specific bulletin boards and
data bases.
The Privacy Act impacts human subject research (data flow, who
can access).
Budget
The budget process is administratively centralized. The budget
sheet form is distributed from Virginia Hicks. It asks what they
need for FY93/94 (typically the next two years) and there are
standardized guidelines for completing the form. The completed
forms go to Virginia Hicks where they are compiled and then the
total budget is sent to Washington D.C. The research budget in
OAM is a small part of the FAA budget; therefore, it must be
coordinated with this larger element and, as a consequence
frequent adjustments in funding levels occur throughout the
course of a typical fiscal year.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: William Worner, Computer Program Analyst
Data Analysis Staff, AAM-601
Date: 4/18/91
Interviewers: Claudia Cardile
Responsibilities
Bill's main responsibility is to be a troubleshooter for AAM-600.
He worked with the VAX (Human Factors Research) for 6 years and
has worked in this area for 6 months. There are 55 PCs in this
division, and he works with the hardware and the software. He
helps with software questions and does some training on new
packages when needed. He is the Network administrator for the
AAM-600 LAN and the CAMI-WIDE LAN. He is also responsible for 13
PCs in AAM-3 and AAM-6. He maintains the AAM-600 Electronic
Bulletin Board that is used throughout CAMI to transfer data to
and from outside users. As CAMI;s Assistant Site Coordinator for
OATS, he is responsible for ensuring the accuracy of OATS PRs.
He also tracks the status of OATs purchases and certifies all new
OATS equipment. He maintains records of all OATS equipment in
CAMI and sign off on all OATs receiving reports.
He fixes programs, writes new programs, utilities, and writes
data entry programs for the divisions' researchers and for other
CAMI divisions, including AAM-3 and AAM-6.
He is involved with AAM-600's computer needs including purchasing
equipment and upgrades, designing networks, and determining
workstation configurations.
Programming
He does his own programming for inventory data.
When he does programming for other researchers, he documents the
changes and gives the program and documentation both to Earl and
to the requestor.
At this time, each researcher has his/her own machine. The
machines are stand-alone and there is no data sharing. When OATS
comes about, they anticipate that they will share data.
Troubleshooting
He jots down on the calendar when he helps someone and tells Earl
how much time was spent doing it. If it was a major task, it
will be listed in the activity reports.
Upgrades
He determines the current versions, finds out the quantity and
type of data currently being used, and determines what needs to
be done to the data. He then tries to determine how to make the
upgrade compatible with the master plan of the STARLAN.
He keeps files of literature from his studies on upgrades for
future use. Earl uses these files as well.
If OATS equipment is involved, he handles the data on a
spreadsheet. He provides a listing of required and recommended
hardware and software to be included in the PR. The purchase
request is done by the requestor. Bill or Earl check all ADP PRs
for accuracy before initialing them. The request then goes to
the front office for procurement.
ADP Lab Needs
With respect to case study data, their goal is to archive the
data n a case-by-case basis. The ultimate goal is to put the
data into a data base. The present users of the data would be
the future users of the information in the data base. The labs
would then be able to work together.
Monthly Activity Report (MAR)
Contents of the activity report include meetings he has attended,
consultations, and programs worked on.
He keeps a log of computer problems.
Inventory
He performed a hardware/software inventory of the Division to
have a basis for upgrade analysis and to determine what is OATS-
compatible. This information was given to Dr Hordinsky.
He keeps a list of who needs new software packages. The
librarian is given this list so that she can provide relevant
articles and related documents.
Access
He feels access to the following data sources would be helpful:
NTSB database,
NASA, NTSB, AF bulletins boards, and
Airman Certification.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Lita Arnold, Industrial Hygienist
Clinical Operations Branch, AAM-700
Date: 4/18/91
Interviewers: Carol Wasserman, Claudia Cardile
They base their policy on the standards set by OSHA. OSHA
doesn't tell them what to do but does issue citations if
standards are not met. The OSHA standards are a minimum and can
be exceeded.
The National Institute for Occupational Safety and Health (NIOSH)
and other advisory groups are contacted for information. The
burden is upon the employer to make sure they get the needed
information. The EPA concerns at the center are addressed by a
separate group.
29CFR Part 1960 is an OSHA directive that requires Federal
Agencies to do inspections of facilities once a year and to be in
compliance with OSHA regulations.
Executive Order 12196 (February 26, 1980) also orders the FAA to
comply with OSHA safety and health standards, including
1. Occupational Noise,
2. Radiation,
3. Hazard Communication,
4. Air Contaminants,
5. Hazardous Chemicals in Laboratories, and
6. Bloodborne Pathogens.
Under the General Duty Clause, OSHA can cite violations for
safety or health concerns for which OSHA presently lacks
standards.
There is a joint tenancy agreement between CAMI and the Center
that requires CAMI to monitor and advise the Aeronautical Center
on health and safety issues. CAMI is a microcosm - a little of
everything exists here so Lita must have knowledge in many areas.
There is a special budget so they can go on 24 hours notice to an
emergency. A phone call starts this process.
The Safety and Health Inspectors in the regions are supposed to
do annual, routine inspections and send the reports to CAMI. The
reports are not typically sent to CAMI. If the regions have a
problem, then they call CAMI. The Industrial Hygienists are
supposed to function as consultants; not do the regional
inspections. The ideal situation would be to receive health and
safety reports from the regions and enter the data into a data
base for analysis and storage. Right now there is a manual
filing system. Information is difficult to access and analyze.
An Industrial Hygienist is needed for each region to provide I.H.
Services and to relay information to CAMI. AAM-700 has requested
57 hygienists, 1 for every 1000-2000 people. This number
includes one minimum Certified Industrial Hygienist in each
region plus a minimum of one technician in each region to assist
the Industrial Hygienist.
There is currently no Industrial Hygiene (IH) Program Manager.
Dr. Watkin (AAM-200) has an oversight role. Annual survey
reports containing the number of surveys, and the number of
regions and facilities visited, once were sent to Dr. Watkin. It
is hard to coordinate nationwide efforts and to keep up with
policy changes without a Program Manager.
Lita has developed forms to gather industrial hygiene data at the
Aeronautical Center. She performs surveys at the Center to make
sure that work is done in compliance with OSHA health standards.
The forms are based on OSHA forms. The forms document the
problem found and any associated follow up. Separate forms and
inspections are done for noise levels; VDT (magnetic field
strength) surveys have been done; radiation from radar
facilities; and indoor air quality surveys.
It is her job to bring the Center into compliance with OSHA
health standards. An initial Hazardous Assessments Study is done
for every facility to provide a baseline. This inspection
identifies low and increased risk facilities. The increased risk
areas must be inspected twice annually. She goes to every
facility once a year, at the invitation of the Safety Manager who
has primary responsibility for safety and health of the
Aeronautical Center.
OSHA has guidelines for indoor air quality. For example, she
received complaints from employees about the air. Lita did a
survey to determine what was bothering employees, took
measurements, analyzed the data and was able to resolve the
situation. Lita also works with the laboratories at CAMI to make
sure that they have adequate ventilation.
Copies of the results of studies are supplied to the Safety and
Health Manager who then forwards copies to appropriate line
management personnel.
Lita must provide the Safety and Health Manager with written
notification of a problem situation and her recommendation. The
Safety and Health Manager must follow-up on the recommendation.
Lita does not have the authority to enforce the recommendation.
Dr. Davis generally approves a final report on the situation.
The report summarizes the findings and lists appropriate
recommendations and may include attachments containing supporting
data.
Lita prepares a monthly activity report for Dr. Davis. She has
some files on-line that document things that she has done (PC
files).
Material Safety Data Sheets (MSDS) give information on hazardous
substances in any work material. Regulation 29CFR 1910.1200
(Hazard Communication Standard) requires that workers be informed
when they are in contact with hazardous substances. Contractors
are required to bring MSDS when bringing hazardous chemicals on-
site. The problem is that the FAA authorizing organization may
receive the MSDS from the contractor and not send them on to the
industrial hygienists. It is then difficult to determine the
cause of a problem if an incident should occur. The process
should require that the industrial hygiene area have a MSDS on
all hazardous chemicals before the contractor starts a job.
Lita is trying to automate listings of MSDS. She occasionally
gets NIOSH alerts that a substance is a carcinogen and can use
the automated listings to determine where the substance is in
use. Thus, she can alert users to the new information.
The MSDS that she receives can also be out of date. Lita
therefore double-checks the OSHA standard.
Surveys are prompted by requests from the Safety Manager. Annual
hazard assessments or calls from an employee or facility manager
assist in deciding what surveys are needed. There are paper
files of all surveys.
There are legal requirements for retaining some of this data.
For example, data on noise must be maintained for 2 years; data
on asbestos must be kept for 30 years. Past data is also good to
keep to show OSHA that the Aeronautical Center is meeting OSHA
standards.
Lita maintains regular contact with the Aeronautical Center
Safety Manager.
Lita produces directives for CAMI on things like how to dispose
of hazardous chemicals. She also writes and reviews CAMI's
safety-related standards to ensure that they are current.
With respect to budgeting, Lita gives a needs assessment to Dr.
Davis.
With respect to regional contact, the regions sometimes send
samples in for analysis. The regions may contact the industrial
hygienists if they have problems with contractors or the
contractor's work. They get sporadic calls for routine inspections.
Mike Lenz (ALR-200) manages a Safety Management Information
System (SMIS) that is used to transmit accident/illness data from
the regions to Washington D.C. They would like access to this
system to look for occupational health trends. There is a form
that the regional Safety and Health Managers have to fill out and
send into SMIS. For example if a compensation claim is filed for
medical care, this data goes into SMIS.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Joe Beasley, Substance Abuse Control Program
Manager
Environmental Health Branch, AAM-700
Date: 4/17/91
Interviewers: Carol Wasserman, Claudia Cardile
The Clinic provides medical care to ATC students, Aeronautical
Center employees, and contractors. They also do pre-employment
and courtesy drug testing. Human Resources Management does the
random drug testing. He gets involved with the specimen
collection and chain-of-custody aspect of random drug testing
when asked. If the results come back positive, he gets involved
with the Labor Relations area.
Pre-employment physicals are performed when an employee needs a
government drivers license, for Occupational Health needs, and
occasionally a flight physical.
With respect to the Drivers License physical, personnel notifies
the Clinic and makes an appointment. The employee comes in and
the medical record is completed (SF600) and put in the medical
file. The driver license form is completed and sent to the
Personnel department.
The same physical form is used for the Occupational Health
physical. If the results are abnormal the employee is telephoned
or a letter is sent to the employee. The chart is updated with
the results of the action.
With respect to pre-employment drug testing, Personnel makes an
appointment for the employee. The drug testing is performed in
conjunction with a pre-employment physical. Both a form from
personnel and a physical form are completed. A Compuchem form is
also filled out - 1 copy goes to the employee, 1 copy to the
medical record, and the specimen and the form are sent to
Compuchem. From Compuchem he receives the results and an
official chain-of-custody form. The chain-of-custody forms are
kept in a separate file in his office. A copy of the results are
sent to the Drug Program Manager and to the Regional Flight
Surgeon in the appropriate region.
The Chronological Record of Medical Care (SF600) is kept on file
in the employee's folder. CA16 is the insurance claim form that
is filled out for injuries. It is filed in the employees file,
sent to the insurance company, and 1 copy is filed in the
physician's office.
Everyone who has injuries must come into the clinic with a 3900
form (request for medical services). One copy is sent back to
the supervisor with the patient with notes on the treatment and
one copy is retained in the employee's file.
He keeps health-screening-related statistical data and compiles
it in order to determine if there is a potential research
project.
He also provides medical back-up to research people.
As Deputy Branch Manager, Joe signs procurement requests. The
individual who needs the item fills out the form. Joe signs it
and sends it to Administrative Services (Virginia Hicks' area).
A Monthly activity report is completed for Dr. Collins.
A data base with health screening program data is maintained in
the Clinic. The program results are sent via modem to Washington
D.C.
Any changes in qualifications for maintaining pilot certification
are communicated via Dr. Davis.
Regional contact is informal - through phone calls or letters.
The only formal contact with the Regional Flight Surgeons is
generally when there is a problem with someone from their region.
He communicates the results of drug tests to the Regional Drug
Programs. Sometimes he is asked to do drug tests on students
because they haven't been done or they have been done improperly.
Joe keeps a copy of all his correspondence on floppy disk.
Dr. Davis developed an Emergency Readiness Plan to ensure that
they are prepared for potential disasters. Each medical person
has assigned duties.
Joe has access to the Federal Air Surgeon's bulletin board. He
has occasional contact with the Aeromedical Certification
Division. He was involved in the pilot program for the new 8500-
8 form.
Clinic data is reported to Dr. Collins. A RFS activity report is
sent to Washington.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Bill Davis, M.D., Supervisory Medical Officer
for Occupational Health
Occupational Health Division, AAM-700
Date: 4/18/91
Interviewers: Carol Wasserman
Policy statements in this area are general statements of how
their mission is interpreted for CAMI (i.e., what they are
prepared to do for students, employees, contract employees, and
others).
His clinic's responsibilities are different from other FAA
clinics because they have treatment requirements with respect to
students. Others do this also.
The future responsibilities of the Occupational Health area are
up in the air right now. They have proposed an organizational
structure and estimated staffing requirements but resources are
yet to come. Their information needs may therefore be different
in the near future than they are today (undoubtedly expanded).
Another open question is whether industrial hygiene
responsibilities will remain within Occupational Health. There
is the potential that they may move out of Aviation Medicine.
Budget data is organized electronically and transmitted to
Virginia Hicks area. Budget information includes contracts,
referrals, equipment, travel needs, and supplies.
The Academy provides estimates of the number of students for
input into the Clinic's budget process. A program that includes
all budgetary items possible and the preparer is able to pick
those that are applicable would be useful. The program would
also show last year's budget.
Monthly reports are compiled by the clinic, they are not prepared
by each individual. Monthly reports are prepared by the
environmental health area as a way to enable the two hygienists
to be aware of what the other is doing. Reports also enable the
group to organize what they have done and help determine what
they have to do.
Dr. Davis serves as an AME for the Aeromedical Center. He submits
EKGs electronically to the Certification Division; exams are
submitted manually.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Noal May, Ph.D., Industrial Hygienist
Environmental Health Branch, AAM-700
Date: 4/18/91
Interviewers: Carol Wasserman, Claudia Cardile
General Information Needs
Needs a computer bulletin board to transfer entire files
(eliminates faxing them).
Needs a better way to identify facilities, the type of work
done within these offices, individuals within the
facilities. The ability to call up this data is also
required.
Needs a central purchasing budget for new Regional equipment
and a way to record the serial numbers, model numbers, last
calibration date, and when it needs to be calibrated again.
This has to be accessible to the regions. The issue here is
to track the instruments that are in the regions and to
ensure that they are operational. They would like the
hardware people from TSC to come out and talk to them about
setting up these systems.
Needs to keep up with samples taken at the facilities, get
the results, and merge the results with the samples. The
information should be in a data base for future analysis and
comparison.
OSHA changed the asbestos standard. The impact is that they
need to pull up all facilities measured in the past that
don't meet the new, more stringent standard. The data needs
to be stored in a data base to make future compliance
easier.
Medical screening is required by OSHA. The Health Screening
information that OSHA requires is contained in the Safety
Management Information System (SMIS). The Industrial
Hygiene area would like access to this data.
Would like to have a data base that will enable the local
region to enter and access their own data but provide
inquiry-only capabilities to the other regions.
Training
They would like to have beginners manuals as well as updated
procedures and instructions for using computer systems. For
example, the Safety Management Information System (SMIS) has no
manual and they would like to have one.
Regions
They call the regions to keep in contact with what is going on
out there, what they are doing, new equipment they have received,
and other related topics.
Dr. May has contact with OSHA, EPA, NRC, FDA, Agriculture, Public
Health Services, and the US Air Force. Sometimes he calls to see
if they have noted a specific problem or just to see what is new.
Since he traveled in the regions for 12 years, he knows what
types of problems exist and is sometimes able to talk through the
situation with the Safety and Health Manager over the phone. If
that does not work, he will have to travel to the region to
address the situation. He has looked into issues such as food
facilities, radon, asbestos, and lead in the water.
He completes a report and recommendation and sends it to the
Regional Flight Surgeon and to the facility with the problem.
The airway facility people and the region are responsible for
ensuring that the problem is fixed. He does not have the
authority to enforce the recommendation. It is up to the
Regional Flight Surgeon to pass the information along and make
sure the problem is taken care of.
Sometimes there is an issue with a local union because the safety
problem affects their workers. In those situations, he will
provide the union with a consultant list to verify that what he
has found is true.
Miscellaneous
Epidemiology - They need ways to look at this (for example,
if 3 out of 4 people at a site get cancer). There needs to
be a tracking system of FAA employees that would follow
their movement over time.
There is currently no means of looking at occupationally
related use of overall sick leave. There can be trends in
the sicknesses that might indicate health hazards at one or
more facilities.
They keep all the information that OSHA needs on file here. The
files not in priority use are kept in boxes or in a storage room.
There is no index or easy way to access this data. Files are
initially in the filing cabinet, then they go to the boxes, and
finally to St. Louis. Reports need to be put into a data base to
make them more accessible.
Program Management
The greatest Industrial Hygiene need is Resources. It also needs
someone to do effective program management. They need someone
who knows what is going on in Washington D.C. and is able to keep
them informed at CAMI.
There is an Executive Order which states that Industrial Hygiene
and Safety people must respond to a situation within 24 hours.
They then complete a trip report which states what they did, what
they found, and the recommendation. It is read, reviewed, and
approved by the supervisor at the facility (a person can refuse
to go into a facility if they feel that it will endanger their
life until something is done.) The biggest problem is with
asbestos, it gets wet and falls to the floor.
There needs to be a means by which they can record results on-
site and directly transfer these reports. An indication must be
able to made that a change was made and why.
Location: Civil Aeromedical Institute (CAMI)
Interviewee: Peggy Meyer, Occupational Health Nurse
Clinical Operations Branch, AAM-700
Date: 4/17/91
Interviewers: Carol Wasserman, Claudia Cardile
Clinic Programs
The 8500 form is filled out for airman flight physicals and sent
to Certification. The EKG is sent electronically to them as
well. Physicals are performed for those airmen and air traffic
controllers (ATC) who work at the Center. The ATC instructors
from other regions must go to their region for their physicals.
The Clinic keeps medical files for everyone who comes through the
door.
The Hearing Conservation Program services anyone in an area that
has a potential to cause hearing loss. This is determined by the
Industrial Hygienist. Once identified, the employee's name is
place in the HCP (Hearing Conservation Program) for annual
hearing examinations.
Each month a list of employees names is sent to the clinic for
testing. Manually, notices of appointment times are sent to the
employee and their supervisor.
The actual testing is performed on a computerized Tracor RA 500
audiometric system. Patient history, previous, previous tests,
and work location are stored and updated during each testing.
If an employee displays a hearing loss, the Industrial Hygienist
is notified by the clinic nurse.
The Occupational Health Program works in the same way in
identification of employees, notice of appointment times are
scheduled by the clinic secretary. The type of examination the
employee receives is dependent on what hazardous substance the
Industrial Hygienist believes the employee is exposed.
The Occupational Health physical may include blood work, X-rays,
hearing, vision or spirometry (lung capacity). They all include
a physical examination by the clinic physician or physician's
assistant.
The test results are placed in their medical file. All of this
is performed manually.
The Occupational Health Program checks the blood-work of
employees who work with paint or other hazardous substances.
Data is not maintained on an automated system.
If anyone at the Center is injured, they can come in for
emergency help and are then referred to outside facilities for
additional work. This process is not automated.
The ATC students can receive primary care while they are at the
Center. Their records are sent to the region when they finish
the course. This process is done manually.
If a contractor gets sick or has an accident, they receive
emergency treatment and then refer them out. A file is kept for
contractors.
All employees who require a pre-employment physical can have them
done at the clinic. Examples of employees requiring physicals
are those who need drivers licenses, warehouse workers, pilots,
and employees who transfer to the Center.
Peggy is the Health Awareness Program coordinator. They have
held weight loss clinics and other health screenings including
blood pressure and cholesterol checks.
Once a month she completes the Regional Flight Surgeon (RFS)
Activity Report. The report contains all the activities she has
performed in the last month. It is sent to HQ. This data is
compiled manually.
The clinic coordinates with the Industrial Hygienist with regard
to industrial accidens. When an employee has an accident, they
have the right to seek medical treatment from any medical
facility. If they choose to be treated at CAMI, the staff will
treat them and return them to work as soon as they are capable.
If several accidents appear to have similarities, this would be
brought to the attention of Industrial Hygiene.
Reports
Once a month clinic activity is reported to the Federal Air
Surgeon. The statistics are collected from the log book kept on
the counter in the clinic. Everyone requesting medical care, or
medical information sign their name, date and time of visit,
their class or routing number and the service they are
requesting.
This collected information is placed in specific category on the
FAA From 1380-9 by one of the clinic nurses. The clinic
secretary then types the form and forwards the form to Washington
D.C.
Drug Testing
A student may arrive for the ATC (Air Traffic Control) screen
that did not complete a required urine drug test in their
regional That region will contact the clinic and make
arrangements for testing while the student is in the screening
program. The results are forwarded in the mail system to the
requesting region.
Health Awareness Program
Quarterly health topics are selected by the coordinators at their
meetings. The topics chosen are to be the center of the
coordinators health programs in their regions. Each quarter has
a designated topic on which to focus. This adds continuity from
one region to the other.
Each quarter the coordinator sends a report to the Health
Awareness Program manager in Washington D.C. The report includes
type and number of programs presented. Number of participants
for programs. The name of lectures, and any publications.
The third Wednesday of the month a Telecon is held.
A medical file is maintained in the clinic on employees and
students. A 3900 form is filled out whenever anyone comes into
the clinic. A copy is given to everyone as they leave following
their treatment. The 3900 form outlines any restrictions from
class or work. It may contain a referral or a return date for
follow-up treatment.
The 3900 is a triplicate form. In regards to students, the top
copy is sent with the student as outlined above. The second copy
is sent to student services and the third is kept on file in the
clinic.
In regards to the employee, the top copy of the 3900 form is
taken to the employee's supervisor. The second copy, if illness
or injury is job related is sent to the Safety and Security
Division. The third copy is placed in the employee's medical
folder with a brief narrative note entered by one of the medical
personnel of the clinic.
Miscellaneous
With respect to telephone inquiries, they keep a record of all
the calls received (on a CAMI form). The secretary keeps this
and a copy goes to Dr. Collins and to AAM Headquarters.
She would like access to MEDLAR. She receives current journals
to keep up with the latest health care findings.
REGIONS
Location: Eastern Region
Interviewee: Carmen Alejandro, Airmen Certification
Program Specialist and
AME Program Specialist
Aida Tizzio, Airmen Certification Program
Assistant
Date: 3/28/91
Interviewers: Claudia Cardile, Jim Frey
Airmen
If there is a violation reported either from OKC, the Hotline, an
anonymous call, or from an individual, it must be verified. A
violation can be 'failure to provide' or a 'disqualifying
condition' (usually CAMI starts this action) or 'falsification'.
Once contacted, the Region sends out a correspondence stating the
charge. The response time given is 30 days. If 30 days has gone
by with no response, then it is sent to legal for 'failure to
provide'.
The office cross-checks the EIS, if there is an existing
enforcement, the file is updated. If this is a new enforcement,
a file is created. When the issues have been resolved the file
is purged from the EIS.
If the enforcement comes from CAMI, then paperwork is sent with
it, this paperwork is put in the medical file. A transmittal
form is used and a copy goes in the file. If the case goes to
legal, then a copy of the file is sent to legal. Copies of all
the correspondence to/from the airman are kept in the medical
file and the certified mail receipt is also kept in the file.
CAIS is used often to gather information, all medical information
from day 1 is used and stored in CAIS. This information is
coded, they use a book sent from OKC to decode the information.
When taking legal or security action, they request reports from
security on DWI, etc. They find it difficult to get into OKC
files for information.
If there is an anonymous call made to the region it must be
verified. The process starts with a form letter to the airman
stating the allegation. If there is no answer, it is sent to
legal. If the airman claims not to have been in violation and
Security has no violations, then the process ends except to
notify OKC to update the file. Only information that goes to
Legal is reported to EIS
Security will access the National Drunk Driver database and give
reports to Aida.
Location: Eastern Region
Interviewee: Joan Kokindo, ADAP Manager
Date: 3/28/91
Interviewers: Claudia Cardile, Jim Frey
ADAP
She is the information source person for the region concerning
the ADAP program for the industry air carriers and contractors.
She gives initial information and clarifying information. She
helps them decide whether they need a plan (if it is a clear cut
issue). If she has questions because the entity's work is too
confusing or technical, she contacts AAM-220 (Jim Olavarria) the
technical advisor at HQ for Drug Abatement for clarification and
advice.
Most of Joan's contact is on the phone. If she has a question
for HQ, it is communicated over the phone.
Drug Testing - the Agency's Internal Drug Testing Program
Currently the internal program is managed by Human Resources
(HR). It manages the Random testing and Aviation Medicine that
manages the Pre-Employment, Pre-Appointment testing. If Joan has
a question about Random testing she refers to the Human Resources
(HR) Drug Program Coordinator (DPC).
For a positive test result in either random or pre-employment
testing, she prepares a packet for the Medial Review Officer
(MRO) who is the Regional Flight Surgeon or the Flight Surgeon
acting for him. This packet includes the positive test result,
the chain of custody, and the medical file. The MRO evaluates
the reason for the positive result (i.e. the employee is on
medication). The MRO may contact the employee's doctor to
confirm the reason for the prescription or the MRO may ask the
employee to provide a copy of the prescription for the record.
If the test is verified positive by the MRO, he will give his
opinion and test results to the Drug Program Coordinator (DOC) in
HR. The DOC will then notify the employee's division manager,
the EAP manager, the Security division, and the Labor Relations
branch.
The information on the verified positive drug test is
incorporated into the employee's medical file during the
rehabilitation phases. This EAP and rehab information is kept in
a sub file of the medical folder separate from general filing in
a locked file cabinet. When rehabilitation is complete, all the
EAP and Rehab sub-file is removed from the folder, sealed in an
envelope labeled "To be opened by the Regional Flight Surgeon
Only". The package is reinserted into the medical folder and
returned to regular filing.
Compliance and Enforcement
When compliance and enforcement come into play, she will spend a
majority of her time visiting air carriers, contractors and
consortia; and performing C∧E inspections.
Other
If the ATC applicant test comes back positive, the results are
verified by the MRO. If it is verified positive, the applicant
is disqualified.
She uses publications from HQ to verify answers to any questions
for the Industry Drug Program. Her sources for information are
the Advisory Circular AC# 121-30, 49 CFR Part 61 et al Nov. 1988,
49CFR Part 40 Final Rule Dec. 1989, and various amendments to the
Rule. The Implementation Guidelines (Red Book) and the Question
∧ answer Book from FAA are also helpful sources.
Location: Eastern Region
Interviewee: Yvonne Muldrow, Covered Position Aviation
Medical Program Assistant
Regina Richter, Covered Position Aviation Medical
Program Assistant
Date: 3/29/91
Interviewers: Claudia Cardile, Jim Frey
ATC Incumbents
The ATC receives a yearly physical on his/her birthday (they are
medically cleared until the end of the month). The authorization
for the physical comes from the supervisor. If they need any
test repeated, the authorization must come from this R.O.
Once a year or when there are changes to the list, a list is sent
out to the supervisors as to which AMEs can perform ATCs
physicals.
The AMEs send the bills and authorization to the R.O. This
starts the process of filling out the paperwork. First is the
worksheet (summary) which is kept in the medical file. The bill
is paid and coded. The Facility Codes are included on the
worksheet.
When the 8500-8 is completed and action is decided (Qualified or
Disqualified) the HIS from is completed. One copy goes to the
file, one to the employee, one to the manager, and one to the
manager of AEA-540. The bill goes to accounting and then the MML
is updated.
The Medical Assistants are the ones who decide if further review
is needed. If more information on a point or clarification is
needed, then a letter is sent to the ATC through the manager
asking for this information. They mark on their calendar that
thirty days later a response should be received. They put a copy
of the letter into an accordion file which they check daily for
progress in the case. When they receive information, if it is
within the standards, they can then clear the ATCs. If it is not
within the standards, they refer to Dr. Thieman for further
clarifications. If there is no response in thirty days, a second
letter is sent out, and the process of checking and waiting
starts again for thirty days.
ATC Transfer
Personnel asks Yvonne or Regina to call the old region and make
sure the ATC is medically cleared. If there are limitations, she
then gets back to personnel with the results.
It takes 3 or 4 days to get the medical file from the old region.
They send a transmittal form with the file when they are sending
a file out to another region. It has a copy which is to be
returned when the file is received at the other end. Some
regions don't send similar transmittals.
Billing
When a bill is received, they verify that the services were
rendered. A copy of the bill goes into the medical file, and the
bill is sent to accounting. If it is a second bill, they check
with accounting to see the status of the previous bill. When
there are new bills, the Medical Master Listing (MML) is updated.
They don't use HIS. We don't use the HIS for billing
information.
They refer to the ATCS Health Program reference book from HQ when
they have questions (Order 3930.3A).
They would like to be able to attend some of the AME seminars for
information to be better able to answer some questions. When
AMEs call for guidance, the office tries to use its own resources
to answer the questions before referring them to Dr. Thieman or
Dr. Bauer.
They keep a summary of all the vital information in the medical
file including information about allergies, problems, etc. It is
kept for internal use by the doctors if they refer to a case.
Location: Eastern Region
Interviewee: Kathy Orlando, Covered Position Program
Assistant
Aida Tizzio, Covered Position Program Assistant
Date: 3/28/91
Interviewers: Claudia Cardile, Jim Frey
ATC Applicants
The process starts when they receive an application form from an
AME for an ATC applicant. There is a physical application (8500-
8), lab and drug results. Security and or the Records Center in
St. Louis, sends all military medical files to AEA-300 when
applicable. Military files are hard to get for a FastTrack
applicant, which should be processed in 90 days, it can take 6
months to a year to receive military files.
HQ sends each region a list of ATCS Applicants who were cleared
or not cleared on the 16PF (psychological evaluation).
Sometimes the evaluations aren't coded with the correct
identifier and the test must be taken again since there is no way
to identify incorrectly coded evaluations.
The program assistant makes a decision on fitness of each ATCS
Applicant with the exception of difficult cases which are
referred to the Assistant Regional Flight Surgeon. If the
applicant was not fit, AEA-300 notifies AEA-14, Human Resource
Management, so that he/she is taken off their list. AEA-14 sends
a letter to the applicant stating why they were disqualified. No
special considerations or waivers are made, they are
automatically disqualified. A disqualified ATCS applicant has 15
days within receipt of his notification of disqualification to
appeal through AEA-300 to the Federal Air Surgeon.
If an applicant fails the psychological evaluation and passes in
all other areas, then the case is referred to the flight Surgeon,
(ZNY-300), Assistant Regional flight Surgeon and the Regional
flight Surgeon.
Each person in the office working in a specific area has copies
of the MGL (guidelines) in order to reference them for questions.
They keep a list of AMEs to give out information when private
pilots call. They generally don't need clarification on the
MGLs, but if there is a question that can't be answered, it is
referred to Dr. Hark, Dr. Watkins, or Dr. Pakul's office. The
Eastern Region would like the ability access on-line the results
of the 16PF evaluation.
They keep pending files on a calendar that is checked weekly
while waiting for all the pieces of the file to come in so the
evaluation can be done.
They put the ATC applicant information into PETS, they can also
access information that Personnel puts in the file. They don't
use HIS.
Applicant files are kept for 3 years and then they are purged.
Fads
Applicants are handled the same as ATCS applicants except that
there is no lab work. The incumbents are handled like incumbent
ATCS except the first year they need an EKG; once they are 30
years old they must get one every 2 years; and when they reach 50
years they receive them once a year.
When a FAM is certified they notify Security and give them the
HIS form. If a FAM is disqualified they notify Security and
Personnel.
Location: Eastern Region
Interviewee: Kathy Orlando, AME Program Specialist
Date: 3/28/91
Interviewers: Claudia Cardile, Jim Frey
AME Certification
Kathy keeps a comprehensive list of AMEs in a database on her
computer (in Dbase). She generates two reports from the
database, one which lists all the AMEs, the other which lists the
AMEs who do physicals for covered positions. She runs these
lists approximately twice a year, and she is the only one who
updates her personal database.
The only list of AMEs she receives from CAMI is a telephone
directory which is usually out of date. She updates her database
as changes come in and once a week she sends a memo to CAMI with
these updates.
If an AME moves, Dr. Bauer must approve/disapprove their working
as an AME in the new location. Approval is based on the need in
the new area. If an AME calls Dr. Bauer or the others about
becoming an AME, the request must be written. An application, a
list of information, and a list of training/seminars is sent when
a request is made.
She keeps another database of those who request information and a
second data base of information on any applicant. An application
is processed when a need is determined in an area. If there is a
waiting list, this list is referenced an AME goes on the waiting
list after all the information has been collected including
references and application information. She access the AME data
base in OKC.
When a new AME is needed, a letter is sent to the applicant
stating that he/she must attend a seminar. Seminar attendance
list is checked and then designator letters are prepared and
sent.
Regarding complaints about AMEs, a letter is sent to the AME in
question from Dr. Bauer stating the complaint.
She finds the AME 'Report Card' sent from OKC useful. It tells
the error rate and how many physicals were performed. If the AME
needs to attend a seminar because they are at the five year time
limit a letter is sent, if the next year they haven't attended a
seminar, they are de-designated. If the error rate is 50% or
greater a letter is sent saying they must improve and send the
next 10 physicals they do to the Region to be checked.
If an AME is de-designated they are asked to send back all the
8500s. If he is de-designated and is still performing physicals
a letter is sent to the AME to tell him to stop. The Eastern
Region would like access to the database which contains
information on physicians with complaints against them and
licensing problems. They would also like to be able to make AME
office visits.
Location: Eastern Region
Interviewee: Tony Roderick, Regional Administrative
Officer
Date: 3/28/91
Interviewers: Claudia Cardile, Jim Frey
Billing
She keeps a special considerations database for covered positions
which contains considerations such as diabetes and hearing
problems in covered positions.
She also keeps a billing procedure database which contains
information about: how much was spent, when the bill was sent to
accounting, when the physical was performed, and when the bill
cleared through accounting. The database also contains
information on all ATC, ASI Applicants, and FAM which contains:
physical and lab test bills, codes for procedures performed, and
how much was paid for each bill.
The billing process is started when a bill is received for a
physical. Usually either the physical authorization form or
simply a bill is received. Right now there is a HIS sheet filled
out with medical information, but this sheet is being done away
with and a letter will be used to convey the information. The
information from the HIS sheet is not entered into the HIS
database. A copy of the authorization form/bill is put into the
medical file and the original goes to accounting to be paid.
When an ATC is qualified/disqualified a copy of the HIS sheet
(letter in the future) is sent to the ATC, the manager, and one
goes into the employee medical file kept at the region.
The Washington ARTCC keeps the files it works with specifically.
The New York ARTCC keeps the JFK, LaGuardia, Westchester files at
the center. All the rest of the files for the seven states in
the Eastern region are kept at the Region.
There were approximately 6000 exams performed last year and 1700
of those were performed at the two Centers (Washington and New
York).
There is a worksheet form which is used to track the health and
the point in the process that each file is at.
The Regional office is starting an evaluation of the programs at
the Region and the Centers. It will use a checklist (to be
developed) to accomplish the evaluation. This action was
prompted by Dr. Bauer's questions and problems seen in policy and
processing information. The information collected from the
evaluation will go into a report to Dr. Bauer. A copy of this
report will likely go to Headquarters, the regional
administrators, and management systems AEA-42.
Budget
The process starts with a call for the budget from AEA-43 or HQ.
There are 8 to 9 different forms to fill out for the budget.
These forms come in a packet when the call is made. In order to
fill out the packet, the Region must coordinate with Air Traffic,
Flight Standards, Security (FAM), the Budget Office (AEA-43) to
do PC∧B for positions, and HQ for questions (Carol Kelly). This
coordination is to project on hiring and covering positions to
hire. Once the forms are finalized they are sent to Carol at HQ.
This year Carol sent out a diskette containing standardized forms
which are to be sent to HQ and the Budget Office. These are
standardized for all regions.
Tony does not receive the Budget Authorization Report.
She is also in charge of sending people to training. This is
started with a Training Call (Order). She then puts in all the
training requirements for the Region. She puts in the number of
courses they need to take, the number of people attending, the
per diem, and registration. She knows if someone attends the
training by the attendance lists.
The TRIMATE system is used to input the training by system and
not on paper, this information is used to determine the budget.
The information is entered into the system, then it is approved,
and then the person attends the training, and finally the system
is updated.
Tony feels that there is a lack of basic computer knowledge in
the office. She would like them to have training and acquire the
hardware, software, and systems.
Procurement
She uses SAM to do procurement requests. The form then goes to
Procurement, a purchase order comes back, and a copy is kept
after it has been signed. One copy goes back to Procurement and
the other goes to the Budget Office.
Performance Appraisal
EPAMS - Employee Performance Appraisal Management System - is a
paperless system. It will interface with CPMIS in the future.
They received EPAMS from the Personnel Office to aid in the
preparation of the performance standards. EPAMS gives a numerical
rating at the end of the review that is printed out and a copy is
given to the employee and Personnel. When EPAMS is hooked to
CPMIS it will automatically give out performance awards.
Other
She will also be working with AISSM - Automated Information
System Security Manager. This will involve:
- security of all hardware;
- risk assessment on data;
- risk assessment on hardware, from fire, theft, water,
etc.; and
- physical security.
An annual report will be produced and given to Security.
She has the data asked for in the RFS Activity Report, but she
does not feel that this is a good indicator of how her time is
spent. The Eastern Region does not submit this report.
Tony accesses ASAS (?), and EIR (?) only if someone needs help.
Things she'd like:
- Access to current AME information (right now she only has
access to a book that is updated semi-annually.
- Automated budget
- Automated Activity Reports
- Keep the information that Carol Kelly wants on-line so there
would not be the middle man aspect
- On-line access for Centers
Location: Eastern Region
Interviewee: Debbie Stouffer, Medical Billing Specialist
Date: 3/28/91
Interviewers: Claudia Cardile, Jim Frey
She keeps track of the billing process.
- billing
- procurement
Billing
She is responsible for any bill that is received with no
supporting paperwork. The bills can be for services, physicals,
drug tests, autopsies, etc.
She said the authorization for autopsies comes from the NTSB, if
a coroner calls for information about billing an autopsy, she
tells them to send it to the NTSB since there is no set procedure
for autopsy bills and authorization.
Procedure:
When she receives a bill, she pulls the file and sees if the bill
has been received already and sent to accounting; she will then
check the Medical Master Listing (MML) to see when accounting
processed the bill. The MML contains the billing information
about when a bill was received, when it was sent to accounting,
and when accounting processed the bill.
If the bill has not been received already, she will gather the
necessary paperwork and then make a copy of the bill and put it
into the medical file and then send the bill to accounting, she
will finally update the MML.
For an autopsy bill, she will make a copy and put it into the
file called autopsy and then sends the bill to accounting.
The Washington Center pays their own bills, she isn't involved in
that process. Occasionally if a bill is sent (for specialized
tests), the authorization comes with the bill in order to verify
it.
NY Center - Physical bills are sent to her with a copy of the
worksheet. When she verifies the bill and approves it, she sends
a copy of the approved bill back to the NY Center. She then
updates the MML.
In the case where a bill is sent to accounting and an AME claims
he/she has not been paid, she checks the MML to see if the bill
was processed in accounting. If so, she initiates a search for
the canceled check from Kansas City (the check writing facility).
A copy of the check, when found, is sent to accounting and they
then give it to Debbie. She calls the AME and says that yes they
were paid and then sends a copy of the check to them.
She keeps one file for the clinics that bill out monthly, not for
each visit. When the monthly bill comes in, she makes a copy,
puts it in the file, and sends the original to accounting.
Procurement Requests
At the beginning of the fiscal year, she renews the maintenance
contracts for medical supplies, medical equipment, subscriptions,
etc.
The authority for ordering comes from Tony or Dr. Bauer. She
uses SAM and then prints a hard copy of the Purchase Request
(PR). The PR gets approved and is given to Logistics. She keeps
a copy in a manual file. She receives a hardcopy back from
Logistics that has a number on it. When she receives the goods,
she updates the file that it was received. If paperwork comes
with the purchase, she puts it in the manual file (the file is
kept in chronological order). Packing slips are compared against
the order and she signs off two copies of the procurement
paperwork, one goes to Logistics and one goes to accounting.
She would like access to the accounting system to keep track of
bills.
Location: Eastern Region
Interviewee: Phillip Thieman, M.D., Assistant Regional
Flight Surgeon
Date: 3/29/91
Interviewers: Claudia Cardile, Jim Frey
Airmen Certification
He deals mostly with problems that the others cannot answer. If
he can't answer the questions, he refers to OKC.
If letters need to be sent out for more information, he helps
them word the letters.
ATC
Before an action is taken, the manager is usually contacted
(sometimes they get information from security). The manager and
doctor decide whether the ATC's performance is lacking. If no,
they might take no action, if yes the ATCs may be temporarily
disqualified.
Current status reports go out to get more information on the
problem when something comes up in the physical.
Security reports are hand-carried because the information is
confidential.
Occupational Health (OH)
OH is handled in Human Resources (HR). Eastern Region performs
periodic blood screens.
Dr Thieman suggested that there be an interface with HR about
Occupational Health.
AME
Dr. Thieman answers AME questions when they call. AMEs are
disciplined by Dr. Bauer or Dr. Thieman by written letter.
Dr. Bauer is the only one who can de-designate an AME or
permanently disqualify an ATC.
Drug Testing
If a positive comes out on the computer printout, then the
employee is contacted privately without involving management.
They determine the level of addiction and consult with EAP. EAP
was already notified by the same people who notified the Region.
Doctors must sign-off on the course of treatment. Questions on
airmen are referred to OKC and questions on ATCs are referred to
Don Watkins at HQ.
He refers to the National Medical Library, Columbia Presbyterian
Hospital's toxline and medline, and contacts the CAMI library.
Occasionally, through a telecon or the bulletin board, he will
transmit drug information to HQ or CAMI. An example of drug
information is information on how a prescription drug will affect
work performance.
Location: Eastern Region
Interviewee: Audrey Zink, Secretary
Date: 3/29/91
Interviewers: Claudia Cardile, Jim Frey
MGL
She is on a national list for MGLs which she receives when HDQ
distributes them. Upon receiving them, she distributes them to
Dr. Bauer, to the other people concerned, and to the Washington
D.C. and New York centers. If the copies are to be given to
everyone, she makes the copies for distribution.
She stores the MGLs in numerical order. When distributed by the
Washington HDQ, the MGLs are received once every three months or
twice every four months.
When someone calls with a question, the MGL number used to answer
the question is stated.
She also receives FAA guidance and orders on various FAA-wide
topics (administration and management). Action Notices are
started at this office (e.g. Flu shot notice which is distributed
throughout the FAA building and facilities). These must go
through Management Systems to receive a number for distribution.
Location: Great Lakes Region
Interviewee: Paul Brattain, M.D., Regional Flight Surgeon
Date: 5/13/91
Interviewers: Kevin Rodriguez, Claudia Cardile
With respect to ATC billing of agency-required routine physical
examinations, the Aviation Medical Division tells the supervisors
which of the physicians have agreements to perform the exams.
The agreement with the physicians to perform the routine agency-
required examinations is between the Aviation Medical Division
and the physician. The physician is always an AME. The exams
are not performed under the umbrella of nay fee-for-service
agreement as each is a unique evaluation. Billing/payment for
non-routine or special medical evaluations is handled
differently.
There are two (2) clinics in the region where routing agency-
required physical examinations are done. Currently all agency
required physical examinations in the region are performed by
AMEs on a fee-for-service basis either in one of the region's two
(2) FAA medical clinics or in AME offices. The parts of the
routine examinations not performed by a physician are generally
referred to as ancillaries and are performed or overseen by
nurses and physician's assistants.
The authorization on Form 3930.3A is by the Regional Flight
Surgeon and signed copies are in the FAA facilities for use when
an employee goes to an AME for a routine examination. SF-44's
are used in the two (2) FAA medical clinics where routine agency
examinations are performed.
Special evaluations are authorized only by the Aviation Medical
Division or an FAA medical clinic. They are authorized on Forms
3930.3A but the authorization is specific for the special
evaluation and is different for the authorizations in field
facilities which are used to authorize routine agency-required
examinations.
Occupational Health
The ATC Health Program and other agency-required examinations are
considered to be a part of the Occupational Health Program. This
part of the Occupational Health Program that are listed is mostly
performed on an as-needed basis. It mostly has to do with
environmental hazards and is an area where we depend heavily on
the Safety and Health Officer and industrial hygienists for help.
Other than agency-required certification/clearance exams
mentioned above, the Occupational Health Program is not involved
with routine examinations except for cases of historical asbestos
exposure which are few. The other examinations that may be done
under the Occupational Health Program are the result of exposure
to environmental or occupational hazards and are infrequent.
Suitability of fitness-for-duty examinations performed under the
Occupational Health Program but these are extremely rare.
Substance abuse problems including those involving PCP are
handled under the Substance Abuse Program, not the PCS, problems
are an additional occupational or environmental consideration
under the Occupational Health Program.
Health Awareness Program
The Aviation Medical Division has a Health Awareness Program for
the region. Health Awareness Programs in the field clinics have
autonomy but the function under the umbrella of the regional
program. Health Awareness activities are also conducted in the
Regional Office on an ongoing basis.
Records
Active ATCS Health Program medical records are routinely
maintained in the regional ARTCC medical clinics. Problem case
files are sent to the Aviation Medical Division (and OAM
Washington) for review and decision.
Medication Decisions
Information about the pharmacology, actions, adverse reactions
and interactions of medications is readily available from many
sources. With the majority of medications or groups of
medications decision are not difficult. Deciding whether and
ATCS should be medically cleared to perform ATCS duties or
whether a pilot should be certified to fly when using a specific
medication or combination of medications, particular dosage
levels or uses for a medication that present differences of
opinion among physicians. The thrust of this section should be
directed at establishment of policy about the use of medications,
especially those where there is a lack of agreement about their
use.
He has, on occasion, accessed Lexus-Medus. If he needs more
information he will request data from AAM-300.
He thinks that regions should have access to all AME and employee
data in a data base to provide access to individual data when
there is a transfer. This database information is under the
currently being pursued by the IRM Working Group.
Location: Great Lakes Region
Interviewee: Dennis Shuring, Accident Investigation
Coordinator
Date: 5/13/91
Interviewers: Kevin Rodriguez, Claudia Cardile
The information that they collect is not being used right now.
Joan Morgan has put together a spreadsheet of the data collected.
It contains information on the date, location, pilot, second in
command, number of passengers, coroner, coroner's phone number,
autopsy date, toxicology report date, 8025-2 date, and comments.
The information that they gather from accidents is copied and
sent to Oklahoma City (Dr. Veronneau). This data includes the
post-mortem (autopsy). The autopsy report is sent to the
operating district office. The 8025-2 form is completed at the
scene. This report includes data on whether there was a fire, a
medical problem, and proper equipment. In the future this form
will be better tailored to AAM's research information needs. At
this time the form is derived from a research project on seats
and restraints. The post-mortem reports are not standardized
since they come from many different sources. The goal in the
future is to set up a facility where all autopsy for the area
will be performed by one physician. The post-mortem could then
be standardized.
There is a Safety Order from Washington (number unknown) which
states who should be contacted when there has been an accident.
A telecon is set up through the Communication's Center when an
accident occurs. The Flight Services Station or FSDO in the
region puts together the telecon. At least one member of the
Great Lakes region AI team is in on this telecon. There are four
members of the AI team here. As the accident investigation
progresses either the RFS or some representative from the office
(a member of the AI team) is in contact with the IIC
(Investigator In Charge), the NTSB, and the Local Authorities
(e.g., coroner/county medical examiner, sheriff). They inform
the Local Authorities of what is needed, for example, full post-
mortem or specific toxicology specimens that must be collected
from the pilot(s).
The tox-boxes come from the FSDO office and contain containers
for the specimens, the chain-of-custody sheet, and instructions
on what to do. These are shipped to CAMI either by the collector
or from the AI people in Great Lakes. The autopsy goes to Great
Lakes along with the bill to be paid. A copy of the autopsy is
made and sent to NTSB/FAA and OKC (data collection center for
their records). In Great Lakes Region, a post-mortem can cost
$800 or more. Every state but South Dakota () requires a post-
mortem in the case of a fatal accident.
There is a team of four consisting of Dennis Shuring, Joan
Morgan, and two physician's assistants, who rotate being on call
for accidents. . They are involved in air carrier accidents and
the General Aviation accidents. If there is a VIP involved,
there is much press involvement, or an Air Carrier involved then
the NTSB and other agencies participate in the accident
investigation as well. If this isn't the case, then the AGL AI
team usually investigates. Their participation in accident
investigation is mostly for the research aspect although their
work may be needed for the legal side as well.
The NTSB is notified as to the type of aircraft and to call the
local authorities. If it is a routine accident, then they are
not involved. If there is something strange about the accident
(i.e., a bullet was fired) then the NTSB will ask for specific
information. The NTSB is sent a copy of the autopsy. And if
there is some problem with the local authorities then the NTSB
will get involved to help.
There is no real involvement or support from HQ. Now with Dr.
Veronneau there is more support from HQ. If the accident
involved an Air Carrier then the FAS is kept informed as to what
is going on.
The other Regions don't have any real contact with Great Lakes
with respect to Accident Investigation.
The 8025-2 (sometimes 8025-3 longform) data and the autopsy data
is put into a spreadsheet at this time; there is no data base.
The 8025-2 and autopsy are sent to Washington. At Great Lakes,
they review the autopsy for problems and contact the NTSB to tell
them of the findings. If they go to investigate the accident
then they are the ones who fill out the 8025-2, if not, the
Flight Standards fills it out. There is an Order which explains
how to fill this out. It is in the process of being re-written.
(Maybe 8011???) There is Order 8025.1B "Medical Investigation of
Aircraft Accidents" which explains the Responsibilities of the
Aviation Medicine Program. There is a section which states what
the Flight Surgeon should do.
The AMEs need to be better trained in order to perform the work
for the regions. There used to be a program which trained AMEs
in medical collection and some engineering for better
understanding of what has occurred. It trained approximately 400
people before running out of money. There are approximately 150
people left from that training.
The AMEs are paid a one day per diem of $50, or, if considered a
consultant, $280/day. This is not enough pay to induce AMEs away
from their practice to go to accidents. The ideal would be to
train them, have them collect the data, and pay them a reasonable
amount of money.
At this time trained AMEs who can collect information at accident
sites are distributed as follows in the Great Lakes Region: 1 in
Ohio, 3-4 in Indiana, 1 in Illinois, 2 in Wisconsin, and 3 in
Minnesota. They are not always available to go to accident
scenes.
There is no contact with AAI. Now that Dr. Veronneau is in
charge this might change.
They access the Certification (CAIS) data bases for pilot
information. They would like to be like Flight Standards and
have a form which collects data and then put the information into
a data base. At this time they have the ability to pull up a
screen from the Certification data base if they need more
information. If they need a hard copy they will ask OKC for it.
If there was a special issuance involved then the files are
looked at closely. They are alerted that it is a special
issuance by the medical certificate carried by the pilot.
Human Performance is the cause of 90-95% of all aviation
accidents. If they go back deep enough into the records, they
can find the cause. They also talk to the families if needed.
With respect to autopsy billing, the bill is attached to the
autopsy and Lynn (secretary) fills out the paperwork (SF44) to
pay the bill. It is then sent to accounting. With the
information from the bills, they could look at costs around the
country and justify the need for facilities for autopsies in the
regions. When they get around to using this information, they
can better justify the need for a central facility for autopsies.
In 1990 there were 60-65 accidents. The number is dropping off
due to the cost of fuel going up and the cost of learning to fly
increasing.
Public law require that an autopsy is performed on accident
pilots. The authorization comes from local authorities or the
NTSB has the court order the autopsies.
They don't know of any data bases which they need access to.
Right now they access airman data (Certification and Medical,
CAIS). They support the NTSB with the accident investigation and
determine probable cause. The medical aspect is mostly for
research.
They receive tapes of ATC conversations with pilots to help
determine the causes of accidents.
Location: Northwest Mountain Region
Interviewee: Paula Kanesky, Regional Administrative
Officer
Date: 3/4/91
Interviewers: Kevin Rodriguez, Jim Frey, Carol Wasserman
Budget
There are two main components to the budget: PC∧B (salary,
benefits, awards) and ASI/ ATCS/FAM physicals, both for
applicants (except A51) and on-board employees.
PC∧B information is projected based on the number of employees
and is figured in conjunction with the Financial and Information
Resources Division (budget branch).
Physical dollars are predicted based on hiring plans and the
current number of on-board safety-related employees. Northwest
Mountain (ANM) estimates that 4 physicals are performed for each
ATCS hired (not all ATCS who receive physicals are hired). This
information is obtained from a listing assessment done by Medical
and the Regional Personnel department. Medical personnel and Air
Traffic are trying to cut down on the number of physicals
performed by pushing to do the physical later in the process and
by improving the selection process.
The Western Pacific regional accounting office sends Paula a
computerized report that shows exactly where ANM is with respect
to the budget. The accounting report is current in terms of
payroll dollars and shows the actual bills paid. It does not
show committed funds (when the physical has been done and the
bill is sent in, but the check has not yet been mailed).
Committed funds are determined by adding up the incoming billing
data that is hand-posted on cards. Individual cards are
maintained for each AME that performs ATCS physicals. The AME
sends in authorization forms that contain the billing information
and the amount due to the AME is posted on the card. The
authorization form is then sent to the regional accounting office
for payment.
Budget call path: ABU --> APR --> ANM-40 (regional budget
office) requests information from Paula, as does the Office of
Aviation Medicine.
Paula receives a quarterly form from ANM-40 and submits the
Quarterly Status Report to ANM-40 and to Carol Kelly, AAM-120.
ANM-40 sends it to APR. APR sends the report to Carol Kelly.
The quarterly report shows actual versus planned expenditures and
the reasons for any discrepancies.
Budget requests are submitted quarterly and annually. The budget
request is used to show a need for more dollars or positions. A
confirmation is sent from APR to the regional budget office, to
AAM-120, and to ANM-300.
Billing
Most ATCS/FAM physicals are performed by contract AMEs. About
100 out of the approximately 500 AMEs in the region do ATCS/FAM
physicals. Billing information is maintained in a card file.
Posting cards are kept permanently. There is also a temporary
card file for fiscal year expenses. Pre-signed authorization
forms are sent to the Air Route Traffic Control Centers. When an
Air Traffic Controller (applicant or employee) has to get a
physical, the 3 part authorization form initiates the process.
The ATCS manager fills out the top portion that describes what
will be done. The ATCS then brings the form to the AME. The AME
fills out the middle portion of the form with the results. Bills
for on-board controllers, agency pilots, FAM, ASI are sent from
the AME to the ARTCC. The bills are sent to the ARTCC so that
the ATCS medical file (stored at the Center) can be maintained.
The third part of the form is the billing information that is
sent by the AME to the ARTCC. ATCS medical records are kept at
the Centers. The ARTCC keeps a record of the physical and sends
the bill to the regional office (Paula). The color of the
authorization form differentiates whether the bill is for an on-
board employee versus an applicant and the location of the
employee (Green - Denver; blue - Seattle; pink - all applicants;
yellow - Salt Lake City - on-board). The staff posts the billing
information on the AME's card, Paula approves expenditures, and
the authorization form is sent to the Western Pacific accounting
office for payment. ANM forms 3930-8/9/10/11 are the
Authorization and Invoice forms for physicals.
The cards are used to determine the actual status of committed
funds and enable Paula to respond to a doctor's inquiries if he
calls to say he hasn't been paid. AMEs are paid monthly by the
accounting department. Every month Paula receives a computerized
report from the accounting office that shows all the bills that
were paid.
A pipeline fund is maintained to pay bills that are received or
processed after the close of the fiscal year. The billing year
is determined by date of service.
Bills for autopsies are also tracked on cards. These cards are
maintained separately from the ATCS physical billing system.
Bills for medical specialists are maintained on separate cards as
well.
Information that would be extremely helpful is payment
information by patient. This detail is not currently received
from the accounting department. The current reports show the
bills that are paid by AME, but not by the individual patient.
Without the detail it is not possible to check off what actually
has been paid.
A Cost Center Detailed Transaction Listing (13-3F) is received
from the accounting department.
Blanket Purchase Authorizations (BPAs) are maintained for AMEs
who do ATCS physical; medical specialists who provide additional
examinations as required; coroners/pathologists; labs. The BPAs
provide a contract number that is on the colored bill submitted
by the AMEs.
Contract requests are entered through the Standard Acquisition
Management System (SAM). Logistics receives the purchase request
and sets up the contract. Contracts typically get set up for 3
years. A note on the calendar is what prompts Paula to start
working on a new contract.
ATCS Transfer
A new region requests a medical file from ANM. ANM sends a
request to the Center to send the files. The request is a
transmittal form.
Other
EIS (ASAS system) is used to find out the latest information on
pilot health status from OKC. This information is good but not
always current.
PETS is used to track ATCS applicants.
PETS CPMIS is used to find out where an employee went.
ANM would be interested in finding out more about the Medical
Bills Tracking System used in the Eastern Region.
Training plans are sent to the Regional Human Resource office.
Regional LAN system is used for local FAA mail (includes the
Centers). ANM does not have office-wide FAA mail.
Location: Northwest Mountain Region
Interviewee: Barb Lucich-Biehl, Airmen Certification
Program Specialist
Date: 3/5/91
Interviewers: Kevin Rodriguez, Jim Frey, Carol Wasserman
Oklahoma City (OKC) sends airman applications that need to be
resolved to the Regional Office. AMEs send airman applications
when there is a problem where the doctor is not authorized to
issue a certificate. Barb resolves problem cases and mails the
resolution and the file to OKC. The resolution of every case is
either a waiver, a certificate issued or the surrender of the
certificate. If more information is required from an airman a
request for additional information is sent. If information is
needed on an issued medical certificate, a 609 letter is sent.
If the resolution is the surrender of a certificate, a
confirmation is sent to the airman upon receipt of the
certificate. The certificate is sent to OKC when it is received.
OKC has no automated way of monitoring open cases in the Regions
especially from AMEs and therefore does not know the progress on
a case until it is resolved. Because of the lack of automation,
there is also a lag time from when the case is resolved and OKC
learns of the resolution. When a file is sent to OKC, a
transmittal form is completed. A copy is sent with the file and
a copy is retained for the records here. Transmittals are
retained for 2.5 - 3 years and then shredded. Letters are sent
return receipt requested to the airman. Files are sent usually
to OKC by pouch mail.
If an airman has a problem that the regional office does not want
to give a permanent waiver, a time-limited certificate may be
issued. It is sent to the airman by mail, return receipt
requested. Those cases are followed by the RD and OKC. All
information is sent to OKC upon completion.
Comprehensive Airman Information System (CAIS) is accessed
through the Enforcement Information Subsystem (EIS). While CAIS
provides some information, questions usually cannot be answered
without calling AAM-320 to get more specific information. If the
airman was examined by an AME who is not in ANM region, it is
very difficult to determine the AME name since only the AME
designation number is on the CAIS screen and an index of AMEs by
designation number does not exist.
Barb works with the security department when a security check is
required on an airman. A letter is sent to the Security
department to request the check. They send her the written
results of the check.
If a psychiatric opinion is required on a case, the case is sent
to Dr. Pakull in Headquarters in DC (AAM-200). A transmittal is
sent with the case material. A copy of the transmittal is sent
to OKC to inform them the case has been sent to HQ.
The airman certification standards are the set of rules for
determining whether an airman is medically certified. Since many
cases are not clear-cut and the rules require clarification from
OKC, the responses received are written in the margins of the
notebook to record precedents. With OKC's consent, the RFS can
use his judgement to modify an earlier decision with respect to
whether an airman should receive a waiver or a medical
certificate.
Medical Guideline Letters (MGL) from the Federal Air Surgeon
issue the policy on medications and other medical concerns. It
is hard to determine which Letters are current and which are out-
of-date. A list of outdated Letters does not exist.
Barb maintains a written log of materials received and last
action taken on a particular case as a way of tracking status of
airman certification open cases.
The airman activity portion of the Regional Flight Surgeon's
activity report is difficult to fill out because there is no way
of entering cases reviewed but not resolved. The report does not
therefore provide a complete picture of airman activity. It is
also hard to determine the information the report is requesting.
Information would like to have
Narrative information from CAIS on the last action taken with
respect to an airman certification case
Way of getting totals required for RFS activity report
A Tracking system or data base for airman certification cases.
Access to Dept. of Motor Vehicle (Registry) records so that
she would be able to check for DUI conviction, etc. before
going to Security. In this way Barb would be better able to
determine the priority of the case and the rush Security needs
to put on it.
Accident Investigation
The National Transportation Safety Board (NTSB) contacts our
Communication Center. The Regional Communication Center calls or
beeps ANM (Barb) right away when there is a fatal accident. Barb
fills out a log sheet with the accident information. She pulls
out the medical data on the pilot from CAIS and faxes a copy of
the medical data to NTSB. She helps coordinate the autopsy work
with NTSB by authorizing the coroner to do the autopsy. This is
done verbally. NTSB sends ANM the FAA copy of the final accident
report. The report is used to update the accident log. AAM-300
sends a copy of the report to the centers. The FAA copy is sent
cert/RR to FSDO. The centers do the final report and send it to
the region. AAM-300 Regional medical reviews final package,
keeps the original of the final medical report and then forwards
complete package to AAM-332 for storage. Every autopsy and
toxicology bill received is also tracked using card logs. A
sheet of paper lists the AMEs who are designated to go to
accidents. (AMEs take a CAMI-sponsored course to get
designated). AMEs are rarely used however.
It would be helpful to track accident information and autopsy
costs online.
Occupational Health
ANM has an Environmental Health and Safety Committee that holds
quarterly meetings. Notes are taken at these meetings with a
copy sent to all committee members and to the industrial hygiene
area at CAMI and Dr. Watkin.
Manual logs are maintained on the employees who are at risk for a
health hazard such as asbestos. Airway facilities provides the
list of employees. When physicals need to be performed (such as
in the case of asbestos) and a baseline health profile is
required. Letters are sent to doctors in the area in which the
employees are located to see who was able to do the physicals.
The doctors responded with their availability and the cost per
physical. Letters were then sent to the centers authorizing
employees to receive physicals. The employees then took an
authorization form to a doctor who was approved. Logs are
maintained of employees who received physicals (based on
authorizations received from the doctors).
Location: Northwest Mountain Region
Interviewee: Beverly Lyons, ADAP Manager and
Covered Position Certification Specialist
Date: 3/4/91
Interviewers: Kevin Rodriguez, Jim Frey, Carol Wasserman
ADAP Responsibilities
Beverly uses a PC data base to track all Northwest Mountain
aviation industry entities (135,121,sightseeing) who must submit
plans. Upon request, AAM-220 sends out a list of who submitted
approved plans in the ANM region. This data is used to update
the data base. The original data base data came from Flight
Standards and Regional ADAP Manager presentations. The regional
data base is maintained so that she can keep the aviation
entities informed of program updates.
AAM-220 refers aviation entities in the ANM region to her if they
have questions. Beverly's objective is to provide information
that will help the entities comply with the ADAP rules. AAM-220
provides written material to the regions for presentation to the
entities. Questions that are phoned in or are put in writing are
sent to AAM-220. A copy of the questions is suspended in ANM-
300. A log is kept of all materials mailed to the entities.
Each ADAP person sets the policy for his/her area. The role is
undefined. Telecons are currently held between the ADAP managers
and AAM-220 every other week, AAM-220 wants to make this once a
month, the ADAP managers want the Telecon to be weekly.
The ADAP regional person will go on the inspections once the
compliance and enforcement aspect of the program is firmed up.
Beverly believes that there are merits to being straight-lined to
AAM-220.
Information ANM Needs Access To
Aviation entity plans and reports.
Standard replies that are given to questions.
Changes to rules, programs, requirements.
A copy of all correspondence is sent to entities in ANM by AAM-
220.
Applicant Drug Testing Responsibilities
People who get drug tested: pre-appointment on electronic
technicians when they are ready for journeyman level; pre-
employment on aviation safety inspectors, federal air marshals,
air traffic control specialists.
A copy of the authorization NW FORM-390 for drug testing is sent
to Beverly from H.R. or the supervisor in the division. A copy
of the form is sent to the person being tested. The individual
submits the form to a designated AME. One copy is kept by the
AME, the other is sent back to be in ANM-300.
If the person's name is not on the drug testing custody and
control form that goes to the lab, Compuchem sends the results
via modem to the regional office. The regional office matches
the printout with the authorization form using the social
security number. The lab notes discrepancies on the form that
are not considered fatal flaws. Any fatal flaws will cancel the
test and the test must be repeated. The AME is responsible for
distributing the copies of the form.
The appropriate hiring official is notified of all test results.
Test results for the ATCS applicants go to the ANM-300 ATCS
specialist for inclusion in medical records. The MRO in each
region must review the custody and control forms and positive
test results of each individual.
Location: Northwest Mountain Region
Interviewee: Danell McCaughan, AME Program Specialist
Date: 3/5/91
Interviewers: Kevin Rodriguez, Jim Frey, Carol Wasserman
Physicians who want to be AMEs contact AAM. Danell asks the
physician to send a letter requesting to be an AME. Lists
(believed to be manual) are maintained of physicians who have
requested to be AMEs. A few hundred physicians apply each year.
All physician applicants are given consideration. When an AME
applicant letter is received, Danell completes a designation
worksheet that indicates the location and number of current AMEs.
The letter, the worksheet, and comments are forwarded to the
Regional Flight Surgeon (RFS) who determines whether another AME
is needed in that location. AAM sends the physician a letter
stating that there is no need or a letter plus an application if
there is a need. The physician completes the application and
returns it to the regional office. A file is started on the AME
upon completion of the application. The application is
forwarded to the RFS for approval. A confirmation letter is then
sent to the applicant and to AAM-410 in OKC. One part of the
application is also sent to Oklahoma City (OKC).
All AME applicants must attend a workshop and a seminar. OKC
(AAM-410) sends a seminar schedule to the regions. The physician
contacts the office to tell them the seminar he/she will be
attending; ANM sends a letter to AAM-410 to register the
physician for the class. OKC sends information regarding
accommodations and an agenda to the AME. After the seminar, OKC
sends a form to the regions that says who has attended seminars.
A copy of this form is then put into the file of each person who
attended the seminar. On the outside of the AME file, ANM marks
the last date he/she attended a seminar and the location of the
seminar.
AMEs are assigned designation numbers. OKC sends each region a
block of numbers. AMEs are assigned one of those numbers. AMEs
receive certificates upon the successful completion of the
seminars (are these handed out at the seminars or sent from
OKC?).
AME files are kept manually (contain many signed documents). The
contents include the application and accompanying letter,
picture, field changes (form that records changes in the AME
designation, address, etc.), designations cards. Designation
cards are sent to the region from OKC. The cards are signed by
the AME and returned to the region for filing. The designation
card is how the physician accepts the terms and conditions for
becoming an AME. The designation cards are sent from OKC once a
month and are signed by the AME once a year. Notes of phone
conversations and copies of all correspondence are maintained in
the AME file. A summary sheet is also maintained on each AME.
An AME national directory is mailed to the regions annually from
OKC. The regional office sends copies of the directories to the
centers. Field changes are how AME directory information is
updated. Copies of the field changes are sent to OKC and the
Centers.
AMEs who are qualified to do drug testing are listed separately.
A section of the field change form is used to designate an AME
for drug testing.
Various letters and pieces of information are sent to the AMEs at
different points in time. Equipment lists are sent before the
physician becomes an AME. When an AME moves, a move letter is
sent. The letter either confirms the move or defines the person
as gone (didn't notify the office).
An Annual report of AME performance is sent from CAMI to the
Regional Offices. Quarterly reports are also sent.
OKC periodically sends new regulations and forms. Most forms and
letters are specific to the regional office.
Things that would be nice to have
Summary sheet and designation worksheet on the computer.
The AME program hooked to the Centers so that a change can be
made once.
Other
When complaints are received about AMEs from pilots, they may be
sent from OKC, Centers, or the pilots directly. Information
about AMEs is received by having articles being sent to the
regional offices, or having seen something in a magazine the
office subscribes to. Negative articles or complaints are sent
directly to the RFS. He determines the next course of action.
All articles and complaints are put in the AME's file.
Location: Northwest Mountain Region
Interviewee: Gloria Scarpelli-Norman, Covered Position
Certification Specialist
Date: 3/5/91
Interviewers: Kevin Rodriguez, Jim Frey, Carol Wasserman
Human Resources (H.R.) starts the Air Traffic Controller (ATCS)
applicant process by sending initial data on the applicants to
Gloria. ANM sends H.R. and AT a list of AMEs who are designated
to perform physicals. Then, they send the list to the MATES
interviewer. MATES interviewers are located at the tower centers
and the Flight Service Station and are the individuals who
interview the ATCS applicants. The interviewer then schedules
the physical. The MATES interviewer then sends Gloria a NM Form
3930 to inform her that an ATCS applicant is going out for a
physical. The AME sends a bill and the completed 8500-8 form to
the Regional Office. Gloria reviews the medical data, and, when
the ATCS is medically cleared, enters the data in the Personnel
Employment Tracking System (PETS). If a person is medically
disqualified, Security is notified with a letter. HR is also
notified with a letter and sent the supporting backup material.
PETS is also used to record courtesy physicals that are performed
for ATCSs or Federal Air Marshals (FAM) from other regions. When
employees are transferring, PETS is also used to track their
medical information.
When an ATCS (onboard employee) is transferring into the region,
HR sends NM a letter telling them where the person is
transferring from. If HIS was up-to-date, Gloria could go into
HIS and pull up the ATCS's medical data (other problems with the
HIS are that it is cumbersome, very slow to use, and difficult to
access). Gloria requests the file from the ATCS's current
region, looks at the file, compares it to medical standards, and
validates the information to ensure that the controller is
qualified for the conditions in the local tower.
Currently it takes a long time for the ATCS transfer paperwork to
process. HR is not always prompt about notifying a region about
an impending transfer. (HR notifies regional HR who notifies
Gloria). Regions are not always prompt about transferring
medical files. (In this region medical charts for ATCS are kept
at the Centers).
Personnel Employment Tracking System (PETS) is used by Gloria all
the time. She would like to see PETS nationwide in order to look
up applicants who are not from NM region.
If ATCS applicants fails the course, the files are sent to St.
Louis where they are archived. After three years the files are
shredded.
Location: Northwest Mountain Region
Interviewee: Christopher Taylor, M.D., Acting Regional
Flight Surgeon
Date: 3/6/91
Interviewers: Kevin Rodriguez, Jim Frey, Carol Wasserman
Medication decisions for ATCS are made by the Regional Flight
Surgeon (RFS). ATCS medical records are maintained at the
Centers. On weekdays, Dr. Taylor talks to people at the Centers
and they update the ATCS records. On weekends, he often does not
know the employee for whom the decision is made and no written
records are maintained. It is the responsibility of the ATCS
manager to keep records of decisions made.
The ATCS is supposed to let the supervisor know if there are
changes in medication. It is not AAM's responsibility to update
the medical records.
When an unusual situation occurs and more research is needed, the
ATCS medical file is held at the Centers. A letter is sent to
the ATCS and the supervisor when they are not cleared to work.
Dr. Taylor also gets calls from airmen. He advises airmen to
notify OKC if their condition changes so that their records can
be updated. If he could make a notation on the airman's file it
would facilitate making sure the records are updated. If it
looks like there is a reason that the airman should be
decertified, he gathers the appropriate data (from the airman,
his medical records (online using EIS), other opinions) and
contacts OKC.
Dr. Taylor may contact Drs. Hark and Watkins in Washington DC
(AAM-200); other RFS (e.g., Telecons, individual contact);
network of local physicians; U. of Wash. School of Pharmacy for
additional opinion/data. The data base at CAMI's library is a
good resource for answers that are not required immediately.
CAMI will respond within about 10 days with a floppy disk of
articles and titles on the requested topic.
NM used to access LEXUS and Gratefulmed. Access is not required.
Substance Abuse
Dr. Taylor maintains a notebook that lists information on
employees who have tested positive for substance abuse and on
employees who are self-referrals. Initial history, medications,
when started rehabilitation, when completed rehabilitation,
progress, follow up, dates that the person reports in, contact
people is maintained. A release, signed by the individual, is
filed at the Regional Office and at the Employee Assistance
Program (EAP) in case either party needs to share the
information. Requirement letters that are related to
rehabilitation treatment and follow-up are maintained.
Requirement letters are required to remove the letter of pending
termination that is entered into the employee's personnel file.
Requirements for rehabilitation are based on consensus between
the treatment center, EAP, nurse or physician at the local
center, and RFS. They have a very tight follow up program.
Labor Relations is notified when the treatment is successful.
The location of rehabilitation information varies by Regional
Office - some store the data at EAP, others with the RFS.
Occupational Health
NM coordinates the occupational health (health awareness) program
in the regions. NM maintains manual records of how many people
attended programs and how many people succeeded. When employees
have been exposed to a hazardous substance, they track who has
been exposed, review the physical results and notify the
employees when they are due for another physical. Employee
health records are maintained at the Centers. If they get an O/H
coordinator, then the programs that they run will be documented
and records on the employees can be held centrally. Only
employees who are exposed to health hazards and who require a
medical exam (high site workers) have a medical record.
AME De-designation
AMEs are de-designated based on the number of errors. The
quarterly/annual reports are reviewed to see who has a high error
rate. Dr. Taylor talks to the staff or to the AME to put the AME
on review which means that all the physicals are sent to the
Office. A letter is sent to the AME telling him/her why he/she
is on review and a copy is maintained in the AME's file here. If
there is a need to de-designate the AME, the Office sends the AME
a letter noting the steps that they have gone through and why the
AME has been de-designated. The AME is then given the chance to
appeal. A copy of the letter is filed in the AME's file. AMEs
may also be contacted by phone or letter if the AME is doing a
very low number of physicals. A high error rate or a low volume
can be obtained from the quarterly and annual reports.
Sometimes Dr. Taylor gets a call from a pilot with concerns about
an AME. An organization is currently in the process of getting a
national data base together that would list the physicians who
had their licenses removed by one or more states. Now it is hard
to know when a physician licensed in one state has his/her
license revoked by another state. When this data base is
available, Dr. Taylor would find access to it extremely helpful.
Dr. Taylor also works with the legal department and security to
get a court order to get access to hospital records to determine
if more detail is required about an AME.
With respect to the RFS Activity Report, 3 activity reports come
into the Regional Office from the Centers. The activity
information is consolidated at the Regional Office. The topics
and questions are not clearly defined and the report is hard to
fill out. Sometimes his office gets surveys where the
information required has already been submitted on the Activity
report.
The Office can use more computer skills so that they have a
broader view of the capabilities of automation.
Location: Southern Region, Jacksonville Clinic
Interviewee: Lanier Jones, M.D., Flight Surgeon
Date: 5/16/91
Interviewer: Jim Frey
Jones provides guidance to AMEs within the region. He has
authority over a sub-region within the Southern Region and he
handles Air Certification problems that aren't resolved at CAMI,
pursues pilots who have not complied with the certification
system, attends NTSB hearings and sometimes appears in court.
His office has frequent contact with Air Traffic (AT), Security,
Legal, Personnel, and the Florida Licensing Board, aka the state
board of medical examiners.
The AME program is handled by the Southern Region and there are
about 100 pilots to every AME. New AMEs within the area send
Airmen Certification 8500-8 data to Jones. He reviews the
applications for errors and contacts the AMEs to correct AME
errors. Jones also handles complaints about AMEs, requiring
participation by Security and Legal. In the past, people have
been sent to AME offices for exams posing as pilots to
investigate the AME's behavior. It is sometimes also necessary
to check arrest records. Jones also needs to know when an AME is
having problems with accrediting organizations.
Jones needs an AME system that provides easy access. The hard
copy reports (directory and performance) provide too much and are
unmanageable. Hard copy must also be aggregated manually, which
requires too much time and effort.
According to Jones, Joe Dinsmore of HQ-OAM is working on the role
of clinics in OAM and restoring clinics to full operating status.
Jones has devised a DBase IV system for managing the clinic's
information. His system uses ICD (International Code for
Disease) issued by Human Health and Services pathology codes,
citing that it is a universal code used by hospitals and national
databases. (The code used by CAMI is not ICD codes.) An
important problem regarding codes is user access to codes and
automated assistance in locating and selecting the correct code.
Jones maintains a list of AMEs for ATCs (about 40) on the
database. He uses the AME Directory for other AMEs, the FAA
Directory and other government directories, but believes these
should all be automated. Dr. Jones uses a PC purchased with his
own money at the office.
Medical files a categorized by birth month, because that is how
operations are based. Jones characterized the filing system as
"continuously self purging." Jones said that personnel currently
type 8500-8 data using a typewriter and have even used a computer
to type and print it, so using the computer to input the data for
AMCS would not be difficult or present any new workload.
Clinic doctors are not on the RFS-BBS. There are about 20
clinics in the planning stages and Jones says that if they are
staffed, the doctors will need more responsibility in order to
avoid boredom. Simply performing exams will lead to attrition.
The clinic receives a personnel report containing privacy act
data detailing everyone in the region, probably from the Regional
Personnel Office. One problem the clinic experiences is that new
employees can be on the roster for months, but the clinic is not
informed.
Location: Southern Region, Jacksonville Clinic
Interviewee: Peggy Warren, Medical Clinic Program
Assistant
Date: 5/16/91
Interviewer: Jim Frey
The clinic does not have a Physician's Assistant or Nurse. Peggy
works as a secretary, health technician, book keeper, data entry
clerk and administrative assistant. She also orders supplies and
takes care of the equipment.
Peggy primarily uses WordPerfect on the PC. She communicates
with people using the mail, memos, will hand carry documents on
site, and uses the FAX for time-critical items. E-mail is
available but she has never used it, because it's simpler to
place a phone call. Peggy has access to the Oklahoma City host
via the regional office. She used to support HIS by the input of
data daily, but no longer supports it because of the lack of time
and because she never needs information from HIS, i.e., there is
no benefit to supporting HIS. Peggy has read-only access to EIS,
but uses it only on rare occasions. Peggy stopped using PETS in
January, because it was too time consuming. She simply notifies
personnel when clearing an ATC by telephone, then follows this
action with hard copy notification. (Hardcopy is also required
when updating PETS directly.)
The clinic primary business is providing physical examinations to
ATCs, maintaining 1320 files. It also handles Airmen
Certification problems for the region and answers AME questions.
The clinic operates the employee health program, using the
standard electric sign to display information to the public,
prints and distributes flyers, tests individuals and provides
presentations, although presentations have not been effective
because of a lack of participation. The clinic supports the
Occupational Health Program by providing physical exams to
individuals requiring them. It does not play a significant role
in Aircraft Accident Investigation, except in that it pays the
bills for autopsies (a fact that irks Peggy because it gives an
unassociated office (NTSB) spending authority over a portion of
the clinic's budget.
The clinic maintains medical information on the 8500-8. Peggy
was unfamiliar with SF-600.
Peggy maintains an informal relationship with personnel in other
regions performing similar duties. She has had no contact with
Central or the Western Pacific regional offices.
The clinic does not send any reports to Washington or CAMI.
Reports are sent entirely to the regional office, where they are
consolidated and forwarded upward. Reports include the monthly
Flight Surgeon's Activity report, which includes number of:
exams, special consideration cases, cases requiring further
evaluation, autopsies, etc.
Peggy performs hearing and eye tests. The results of these test
are recorded on the 8500-8 during the annual exam. When lab
tests are performed, the original is kept in the file and a copy
is provided to the individual.
A day sheet is kept for sick call which is primarily used by Dr.
Jones to document the visit.
The clinic maintains a Blanket Purchase Agreement (BPA) to pay
AMEs. Peggy receives bills from AMEs, rubber stamps them and
fills in some information to validate payment and forwards the
bill to accounting. She maintains a log book, alphabetical by
doctor in which she records payment. Each doctor has a page.
Peggy uses SF-44B to show a "one-time" bill to accounting. Once
she has submitted paperwork to accounting, she will receive
nothing back. There are rarely any problems, but she will only
become aware of a problem when a person calls to complain about
failure to pay.
Barbara Johnson from the Southern Region handles the budget. She
coordinates with Peggy and Dr. Jones to accommodate their needs.
Peggy will call Barbara to request funding for equipment.
Medical supplies are ordered from GSA using an electronic touch
tone telephone ordering system. Office supplies are provided
through the ARTCC and carry no financial implications for the
clinic.
Location: Southwest Region
Interviewee: Roel Carreon, Health Awareness Program
Coordinator
Date: 3/8/91
Interviewers: Kevin Rodriguez, Carol Wasserman, Jim Frey
Washington HQ sent a letter to every FAA employee telling them
the health topic that the health awareness program will address
each month. It is up to Roel to determine what he will do each
month to provide employees with information on the topic. Each
region is responsible for running a program under the same topic
each month. The contents and format of the program are at the
regional coordinator's discretion.
Roel communicates the regional monthly programs to employees
using a sign and the Human Relations Committee (HRC) bulletin.
He sends a note to the chairperson of the HRC to get the notice
put into the bulletin.
Program attendance is monitored by having people sign in when
they come. The tests or procedures performed are coded and
entered next to the person's names.
He usually requests literature and support from an association
that is involved with each month's health topic. He is
maintaining a file on who was contacted and the program that was
set up each month. Material is available for pickup at the time
of the program and will be sent to employees unable to attend
upon request.
Materials are also sent to the local coordinators. He uses the
computer to list what was sent and when to different FAA
coordinators. The FAA coordinators at the different centers
report the topics of the lectures held in the Center and how many
people participated.
Standard Form 600 - Health Record or Standard From 509 - Medical
Record is used to record employee medical information when they
visit the clinic. It lists who came and the treatment
administered. He sees about 50 employees a month. He keeps the
medical files for the entire time an employee is in the region.
When he receives a notice (SF50 form) that an employee is going
to a different region he sends the file to that region. When an
employee retires or is terminated the file is sent to St. Louis.
He keeps a log of where the file was sent in a notebook.
Health Awareness Program Coordinators have monthly telecons.
Washington HQ sends them a certain amount of information about
different organizations. It is often the national branch as
opposed to the local organization.
He will do research and respond to employees requests for
information.
ATC will sometimes call him for medication information. He
consults with Dr. Ziegler, references the Physicians Desk
Reference as well as the medical certification standards.
Roel is responsible for tracking Aviation Safety Inspector (ASI)
and Federal Air Marshall (FAM) physicals. He sends letters to
ASIs and Fads when they are due to have a physical. Every month
he peruses his files to see which certificates will expire. With
the physicals are authorization forms (3930). The FAM/ASI
manager gives a form to the ASI or FAM and returns the other to
Roel in the regional office. These forms are the prompts that
enable him to track the physicals that are due. When the
physical is completed, he sends a letter to the individual and
the manager that the person is medically cleared.
AMEs often send the physical to OKC instead of first sending it
to him. He has to track it down, send a letter to the AME to
send a copy to him. He sends the ASI physicals to OKC after
reviewing them.
If at the end of the month he has not yet received the flight
physical, the individual is put on a delinquent file. The
manager is sent a letter stating when the certificate will
expire. Copies of all letters sent to the FAM/ASI and their
managers are kept in the FAM/ASI files.
Regions do not do special issuances on ASIs. If a special
issuance is required, OKC must make the decision. All required
information is sent there.
A summary of ASIs and Fads are kept on index cards. Information
such as the tests done, restrictions is written down.
Location: Southwest Region
Interviewee: Paula Harkins, Aviation Medical Program
Specialist
Date: 3/8/91
Interviewers: Kevin Rodriguez, Carol Wasserman, Jim Frey
Most airman certification cases are sent to the regional medical
office from the Civil Aeromedical Institute, CAMI, in Oklahoma
City, Oklahoma. Aviation Medical Examiners (AMEs) will
occasionally send airman physical examinations to region for
further workup. Newly designated AMEs send their first 12 airman
physical examinations to the region for review and appropriate
action. FAA Aviation Security Division and FAA Flight Standards
Division provides information which may warrant opening a case
for investigation. Paula or the Regional Flight Surgeon may
receive a telephone call or a letter from an identified or an
unidentified source that would prompt further investigation.
Paula may get FAA Air Traffic Control Specialist cases when the
individual wants an airman medical certificate and the situation
is unfamiliar. She can also get FAA Federal Air
Marshall/Aviation Safety Inspector (FAM/ASI) cases from that
office for the same reason. Cases are also sent from other
regional medical offices on those airmen who have moved or
transferred to this region.
CAMI sends cases to the region after they have made several
unsuccessful attempts to obtain information from airman or to
retrieve an airman medical certificate, and it is felt that legal
or security could help in the matter. Cases sent from CAMI are
sent with cover transmittal form (FAA Form 8500-16), and a copy
of the airman's medical file is provided. It is up to Paula to
review the file and determine the next appropriate stop. Usually
a letter is sent to airman notifying him that his case has been
eligible for airman medical certification. The Airman is given
the opportunity to provide the information requested or to
surrender his medical certificate, as appropriate. Paula may
call the airman, if appropriate. In some instances, it may be
necessary to send a request to Security for concision records
check or to request assistance in locating an airman before
further action can be taken. In other instances, it may be
necessary to send the case immediately to legal for enforcement
action with no additional correspondence to airman.
When a letter has been sent requesting information from the
airman, upon receipt of the information and a determination has
been made by the Regional Flight Surgeon that airman is medially
qualified, Paula prepares a letter of reaffirmation or medical
certificate as appropriate. The case is then closed an returned
to CAMI. It may be necessary, however, to send the case to the
Federal Air Surgeon or the FAA Chief Psychiatrist, in Washington,
D.C., for review and determination of eligibility. If it is
determined that airman is not qualified, a letter of denial is
prepared with request for return of the certificate. If airman
fails to return a certificate, Paula will initiate enforcement
action as appropriate.
Cases initiated in the regional medical office based upon
information received from AME or other sources, are handled much
the same as those cases received from CAMI. At such time, Paula
requests airman's medical file from CAMI. This is usually done
via telephone. Paula will call CAMI and review airman's medical
file with a specialist in the Airman Certification Division at
CAMI to prevent duplicate actions. If no action has been taken
at CAMI, Paula will request airman's medical file to be forwarded
to region. She will complete a Request for Airman Medical
Records, Form, but only as a tickler for her own records. When
the case is received from CAMI, it will have been sent via
transmittal and copy of file is provided.
In all cases, if information provided indicates that an emergency
exists, or if an airman has failed to respond to our request for
information or surrender his medical certificate, after
discussion with the Regional Flight Surgeon, Paula initiates
legal enforcement action. She summarized the action on Form
2150-5, Enforcement Investigative Report (EIR). She provides the
report along with copies of airman's medical file and any related
documents to legal. The report includes the Federal Aviation
Regulation(s) violated and recommended action. Paula reviews the
Enforcement Investigative System (EIS for any other reinforcement
actions initiated against the airman, then enters the EIR into
the EIS. Paula monitors EIRs by using the EIS to follow up on
the status of the enforcement actions. Copies of all actions
taken by legal using the EIR are usually provided by the medical
office and maintain in the airman's regional medical file and
enforcement file. Paula may be called upon to testify at the
National Transportation Safety Board (NTSB) hearing which
resulted from an EIR Action.
When a certificate is retrieved by legal, any initiated EIR is
closed by legal and the certificate is provided to the medical
office. Upon receipt of the medical certificate, Paula will
prepare a letter to the airman acknowledging receipt of the
certificate, and remind him of the information needed should he
wish to pursue certification, or if the airman has a known
medically disqualifying condition, a simple acknowledgment will
be sent to the airman. The airman is notified that his medical
file will be returned to CAMI. Paula will return airman's
medical file to CAMI using FAA Form 8500-16, transmittal. When
an airman's medical certificate expires in the middle of
enforcement action. Paula prepares a memo to Legal recommending
closure of the EIR. After Legal closes the EIR, Paula will close
her case and return the file to CAMI with a note on the
Transmittal to flag file for appropriate action when and if
airman reapplies for medical certification.
Paula maintains copies of all transmittals, whether initiated by
CAMI or the regional medical office, as well as any related notes
pertaining to a case, for 3 years. Paula completes a monthly
activity report that lists the number of cases initiated and
closed, the number of certificates issued and denied, cases
referred to security and legal, number of cases sent to the
Federal Air Surgeon, and all other pending actions. There are
approximately 150 pending cases at any one time.
Guidelines for the airman certification program are provided by
the Federal Air Surgeon, Medical Guidelines Letters, and CAMI.
CAIS is helpful to review airman's most recent airman physical
examination. Since it provides limited information, Paula will
sometimes have to call CAMI to review airman's entire medical
file. Although pathology codes are listed, they can be very
broad.
Paula gets a statistical activity report from CAMI which is used
for information purposes only.
Regarding the Aviation Drug Abatement Program (ADAP), all
positive drug test results are reported to the Federal Air
Surgeon. Those cases are usually handled at CAMI; however, if
airman fails to comply with medical requests, that case my be
referred to the regional medical office for further action as
noted in the first paragraph of this report.
Location: Southwest Region
Interviewee: Hillary Perdue, ADAP Manager
Date: 3/7/91
Interviewers: Kevin Rodriguez, Carol Wasserman, Jim Frey
ADAP
There is a red book of ADAP directives and implementation
guidelines. AAM-220 sends them a supply. Upon request, Hillary
sends an aviation industry entity a copy.
It would be helpful to have access to the Vital Information
Subsystem (VIS) to monitor the active 135 entities for compliance
and submission of reports.
Drug Screening
It would be helpful if he had access to PETS to enable him to
match applicants with their drug screen results. Drug screen
results are received on a printout from Compuchem. Drug screen
results are taken to the ATCS examiner. There is no way to check
if they are for candidates from another region.
Location: Southwest Region
Interviewee: Joann Perry, Regional Administrative Officer
Date: 3/7/91
Interviewers: Kevin Rodriguez, Carol Wasserman, Jim Frey
Budget
With respect to the budget, there is a written package and a
budget request sent from R.O. Budget Office to Joann every year.
She gathers information from the program areas to get the
required numbers. She projects how many employees the region
expects to hire and estimates the number of ATCS physicals based
on Human Resource/AT recruitment plans (informal communication).
Joann gets input from Flight Standards that helps her determine
the drug testing cost estimates for Aviation Safety Inspectors,
and input from Security to determine physical and drug screen
cost estimates for Federal Air Marshals. The fee table for the
AMEs is also set.
Joann works the numbers up manually. The regional budget analyst
who she works with has a Lotus spreadsheet. The budget is
submitted to the regional budget office who submits it to APR.
Joann also gives a copy of the budget to Carol Kelly in AAM-110.
AAM headquarters does not send the budget request. The regional
budget office and Carol Kelly both send her the dollars, number
of positions, allowances, and end of year ceiling.
Everything is charged back to cost center codes. When they get
the budget allocation, she does a financial plan to allocate the
money to the different program areas. On a monthly basis she
gets a printout from the regional accounting office of what has
been spent where.
The key budget areas are physical exams, payments, and travel.
Joann manually tracks these costs because accounting is generally
behind. Vouchers (SF-44) for ATC/FAM/ASI incumbent physicals are
issued and authorized by the field and then cleared through Joann
before they can be paid by accounting. Joann issues SF44 for
applicant physicals. One copy is sent to accounting, one copy to
the doctor, and a copy is kept in the office. Travel vouchers
are initiated by the person doing the travelling. She initials
the travel vouchers for the SW region before RFS approval. She
tracks the totals to ensure that they do not exceed the budget.
Authorization for physicals (Form 3930-3 with 6 SW Region
Overprints) are signed by Dr. Ziegler and sent to the FAA
facilities. The facility manager then signs the authorization
form to authorize the employee to get the physical. The bills
for incumbents are sent back to the facility, the bills for
applicants are sent to the ASW-300. One authorization overprint
differentiates for an applicant exam.
When an incumbent requires special testing, a letter authorizing
the tests that should be done and what AAM will pay for is sent
to the incumbent. The incumbent then takes the letter to his/her
doctor. The letter asks the doctor to send test results and bill
to the RFS.
Blanket purchase agreements are maintained in separate folders.
A copy of every bill that is paid through an agreement is kept in
the folder. SAM is used to initiate a request for a purchase
order. It prints out a request for procurement. SAM does not
eliminate the paper trail. Joann must still get all the
appropriate signatures, etc. Purchase requests are kept in a
folder. Procurement actually issues the contract and sends a
copy back to Joann. Joann holds the purchase order until she
receives the product. Then she completes the receiving report on
the purchase order and sends the appropriate copy to accounting
and to procurement, and to logistics if purchase order is for
accountable property.
Joann frequently communicates with Carol Kelly and the other
medical administrative officers by fax, phone, or in writing.
She does not have access to FAA mail.
Joann manually closes out the budget. Quarterly reviews from the
accounting office indicate what the actual expenditures were
versus the estimates. Because payments for the quarter come in
after the report is produced, at the end of the year she has to
put an obligation on the budget.
Joann issues purchase orders for all small purchases. When she
receives a bill from an AME, Joann fills out a voucher and sends
the invoice and voucher to accounting. One copy of the voucher
is sent to procurement, one to the doctor, and one copy is kept
in AAM.
In order to pay a bill issued against a blanket purchase order
(BPA) the BPA number must be on the bill. Joann reviews the bill
to make sure they have the appropriate paperwork, authorizes the
bill and send it to accounting at the end of the month.
Systems used are the EGATS system to request a personnel action
and the TRIMATE system (national training system) to request
training.
One thing that takes a great deal of time is to review and
comment on draft orders and to issue directives by a certain
date. Southwest often does not hear the status or what happened
to these orders or whether the proposed changes were implemented
without followup.
Location: Southwest Region
Interviewee: Jenny Szatkowski, AME Program Specialist
Date: 3/8/91
Interviewers: Kevin Rodriguez, Carol Wasserman, Jim Frey
Jenny maintains a word perfect file of regional AMEs by state and
by city within a state.
Physicians contact Jenny through CAMI or direct. This action
prompts her to send the physician an application form or send a
letter saying that there is no need.
She keeps a list of physicians who requested to be AMEs. A
separate list is maintained of physicians who completed an
application and were denied.
If an AME is relocating and wants to continue as an AME in the
new region, the physician contacts the region he is leaving and
the old region provides the name and address of the RFS in the
new region. When an AME leaves her region, she writes to advise
them who the RFS is in the new region. An AME's designation is
terminated when he leaves the region.
If an AME is coming into the region from another region, she
accesses the AME system at CAMI through ASAS and contacts the
other region to send the file.
The first 3 years an AME is designated to only do class 2 or 3
physicals (unless he was previously a military flight surgeon or
Board Certified in Aerospace Medicine). The AME application form
is standard throughout all the regions.
Dr. Ziegler determines the need for an AME. Jenny provides him
with background material such as the number of pilots, number
AMEs, number exams performed, inquiries from pilots and a
recommendation. Dr. Ziegler then determines if there is a need
for an AME in that location. If the decision is that there is a
need, an application form and a letter are sent to the doctor
telling him the requirements. A file is also started on the
physician. She keeps a pending designation file on all the
physicians who are in process. They are tracked by state.
Jenny maintains a checklist that contains all the steps that must
be taken to designate an AME. Items include copies of medical
diplomas, letter from state licensing board, training
certificates, and references. The checklist is used to track the
status of the designation process (what has been received, is
still due, etc.).
She also sends the doctor a list of seminar schedules and
workshops. When the doctor lets her know the particular seminar
he will be attending, she mails him the AME guide (sent to her
from CAMI). She makes sure the latest changes to Part 67 are in
the guide (CAMI mails the latest changes to Part 67 to AMEs using
list on DEC data base. Jenny mails the changes to new or
reinstated doctors who are not on the CAMI data base).
CAMI sends her a list of the doctors who were at the seminar.
After she has determined that the prospective AME is on the list,
she assigns the designation number, prepares the designation
letter and types the designation certificate. The physician must
sign and return a copy of the designation letter. Once the
acceptance letter has been received, she sends the physician an
initial supply of forms. The new AME is instructed to send the
first 12 physical forms to the Regional Office for review.
A designation package is sent to CAMI. The package contains the
completed application, designation letter, form saying whether he
wants to participate in the accident investigation program. The
originals of this material are maintained at the regional office;
copies are sent to CAMI.
The new AME also goes in the national directory. The national
directory is a list of AMEs that is sent to everyone on the CAMI
mailing list. Private individuals can also buy the directory
from the Government Printing Office.
Every time there is a change in address, status, etc. she
notifies CAMI. A copy of a letter is sent to CAMI. She also
sends two monthly reports to CAMI. One is a statistical report
of the month's activity. The second is the actual changes that
have been made to the AME data base.
Seminar attendance is posted in the AME's file. A training
summary from CAMI is received every quarter that lists the latest
date each AME in the region attended. She highlights the ones
that have the 5 years coming up (AMEs must attend a seminar every
5 years). She sends the AMEs a letter and a seminar schedule
(schedules are sent to her from CAMI).
Jenny keeps a running list of all the doctors to whom letters
have been sent. When she gets a class list saying they have
attended, they are crossed off. CAMI also sends reminders to the
doctors.
If additional time goes by and the AME has not attended a
seminar, she sends a letter saying that their designation will be
terminated if they do not attend a seminar within 30 days.
Jenny creates a regional directory of local AMEs from her
WordPerfect (WP) data base every 6 months. The WP data base is
updated to reflect all changes to AME information, status etc.
The regional directory is distributed to the FSDOs, and other
local FAA centers. The regional directory is therefore more
current than the annual national directory. Every month there
are many changes in AME information. The current directory is
updated as the change occurs, the WP data base is updated at the
end of every month.
Every time an AME is dropped, he is sent an initial termination
letter, giving him a chance to respond. A final termination
letter giving the exact date of the termination, and requesting
him to return the FAA supplies, identification, and certificate
is sent to the AME. This letter is coordinated with Assistant
Chief Counsel. A copy is sent to CAMI.
For an AME to be an Accident Investigation (A/I) AME, the AME
must attend training at CAMI. Currently A/I training is not
offered at CAMI due to lack of funds. They have a list of AMEs
who have requested the training. This situation presents a
problem for them because without the A/I training program in
place, the SW region cannot revitalize the A/I program.
Quarterly and annual performance summaries are sent from CAMI.
The summaries list all AMEs who are to be renewed and performance
data. She uses this report to determine who needs to attend
seminars and who is inactive or performing poorly and should be
considered to be dropped. Before an AME is terminated for a high
error rate, Jenny writes him a letter saying that the error rate
is too high and requests him to send the next 5 physicals to the
office for review. The physicals are reviewed for administrative
errors and sent back with corrections. This review provides the
AME with additional training. The AME's staff is also encouraged
to come to workshops.
If they need to de-designate a physician, they may ask security
to do a background check. They also coordinate with the legal
department.
Access to a national data base that tracks adverse actions
against a physician would be helpful. If they become aware of an
adverse action against a physician or if there is an article that
implies anything improper, they write to the AME for his side of
the story. If SW is aware of a problem with an individual who is
transferring, they send a letter to a new region to let them know
of the problem.
If they want to check on a doctor in his office, the region may
get the FSDOs involved. The FSDO reports its findings in written
form. Records of telecons, memos, route slips are all on the
computer so that the status of cases can be tracked.
She does not have an AME mailing list on her computer. CAMI will
produce one if she needs it.
When she gets a request from someone for an AME directory, she
notifies CAMI so that they can update their mailing list.
Accident Investigation
The Regional Administrator puts out a daily alert bulletin that
lists all accidents from the previous day. If a fatal accident
occurs, Jenny writes the information in a log, clips the
appropriate article and prepares a file. The files are kept in
chronological order.
When toxicology reports are received from CAMI and autopsy
reports are received from the coroners or examiners, they are
copied, reviewed by Dr. Ziegler and sent to the FSDO and NTSB to
inform them if there are any medical issues which could have
contributed to the cause of the accident. The SW region
coordinates with NTSB with respect to getting copies of the
autopsy reports, etc. NTSB authorizes the autopsies although the
FAA is responsible for payment of pilot autopsies.
An interim report is routed to SW through NTSB or the FSDO so
that Jenny can get the required information to fill out a medical
report "FAA Form 8025-2 Aircraft Accident Medical Information".
This report summarizes the medical information (coroner, who
performed toxicology work, contributing factors to death, etc.).
The medical report, other reports received, and flight history
(component of interim report) are sent to CAMI. CAMI has a data
base that records this data (maintained by Leslie Downey AAM-
330). It is optimal to have an AME on the accident site because
then they get immediate medical feedback. Pilot medical data is
obtained from CAIS. There is no access to CAMI's accident
investigation data base.
Location: Southwest Region
Interviewee: Samye Young, Covered Position Certification
Specialist
Mary Schultze, Covered Position Certification
Specialist
Date: 3/7/91
Interviewers: Kevin Rodriguez, Carol Wasserman, Jim Frey
An applicant file is created when personnel notifies SW of an
applicant. AMEs send the applicant physicals to the Regional
Office. Compuchem sends the drug screen results and lab results
to the Regional Office (in report form). They look at whether
the exam results meet the standards and determine whether the
ATCS applicant is medically qualified. If additional information
is required, they write to the applicant requesting the data.
Copies of all correspondence is kept in the file. When an
applicant is cleared or disqualified, personnel and security are
notified by memo.
Incumbents get physicals from the AMEs. Incumbents only get
physicals annually (scheduled according to birth month). Mary
reviews the physical examination application to see if the
incumbent meets ATCS Medical Standards (9430.3A), not class 2
airman standards. If an oversight in the process is found, a
letter is written to the controller or facility and/or the AME.
when the problem is cleared, a clearance letter is sent to the
controller and the facility. If an interim report on a
controllers condition is required between yearly physicals, a
clearance letter is sent to the controller when the report is
received and cleared.
A pending file of about 173 cases/month is maintained. Files of
temporarily disqualified or open, diabetic, and pending are
maintained in separate groups.
If the ATCS has current flying time and/or makes a request for an
airman medical certificate, the Regional Office issues the
certificate.
Memos are sent to personnel and security, with a copy to the
file, after a decision has been made on applicant cases.
We enter data into HIS because we received an MGL that requires
all regions to input into HIS. We have never received a memo or
order advising us to discontinue the practice. If someone is a
pilot we use CAIS-BASIC to look at their medical records.
We determine files that need to be requested or sent by
maintaining the telexes that are sent to us from Personnel.
Personnel calls the Medical Division and requests that a check on
the medical status of a person being transferred be performed. A
call is made to the appropriate Region/Facility to determine
medical status, and personnel is then notified by the Medical
Division. PETS is used only to enter new applicant information.
A permanent card system is kept showing yearly physical
examination data, facility, disqualifications, special
considerations, transfers, etc. A card is started at the time
the person is an applicant or transfers from another region. a
notebook is maintained on when files are sent to Personnel, who
then sends the files to storage in St. Louis. The notebook is
maintained for at least 10 years.
An applicants card is noted as to whether they are cleared or
disqualified. If the applicant requests transfer of his
eligibility to another region, the card is noted.
Work sheets are done on each applicant and/or controller when a
physical examination is received. The work sheet show what we
have, what we need, what facility to which the controller is
assigned. Applicant files, on those not hires, for whatever the
reasons, are kept in this office for 3 years and then destroyed.
Personnel sends this office a copy of the appointment letter that
is sent to each applicant who is hired. At the completion of the
class, a copy of the class pass/fail register is sent to the
Medical Division. For those who pass, a letter is sent to them
at the facility notifying them of medical status and when their
next physical examination is due, with a copy of the letter to
the facility manager. The files of those who fail, are purged
and sent to Personnel who sends the file to storage with their
OPF.
They use the regional PETS system to store applicant information.
PETS tells them Personnel's status with respect to an applicant.
It is only used for the time that the individual is an applicant.
All subsequent medical information is then stored on the HIS.
When the applicant is cleared, his medical information is then
entered on the HIS. HIS and PETS nationwide would be useful.
Medical Guideline Letters (MGL) are used in decision-making on
ATCS medical conditions. A problem with the MGL is that there is
no information on what is outdated.
An out-of-region file is maintained of letters from personnel
requesting the region to do the physical of an employee or
applicant from another region. The file is maintained so that
the lab results and the drug report can be sent to the proper
place.
When an ATCS retires or leaves the agency, the file is purged and
sent to Personnel to be sent to storage. Delinquent notice of
physical examinations are sent to the Facility Manager, not the controller.
When an ATCS is temporarily disqualified, a report on what he/she
can or can't do is written and sent to the ATCS, mgr, Air Traffic
Operations Branch, file.
A monthly activity report is completed and given to Joann so that
she can complete the Regional Flight Surgeons Activity Report.
At the end of the month, the original physical examination and
relating correspondence, of controllers who are pilots, are sent
to OKC, with a copy is retained in the controllers file.
Location: Southwest Region
Interviewee: Tony Ziegler, M.D., Regional Flight Surgeon
Date: 3/7/91
Interviewers: Kevin Rodriguez, Carol Wasserman, Jim Frey
Substance Abuse
Drug screens are performed for applicants and for on-board ATCS,
FAM, and ASIs. 130 AMEs have written contracts to do the drug
screens (along with EKGs, applicant physicals, etc.). The AMEs
are sent a 3-4 page letter that itemizes what the SW region would
like them to do. A training program is provided to the AME staff
for the chain of custody and other program requirements.
Applicant drug screening is handled entirely by the personnel
department. Dr. Ziegler handles the random drug screening
results and the reasonable cause results. The drug screen form
is a packet with several copies. The pink copy is the Medical
Review Officer (MRO) disposition form. The pink form is sent
from the drug testing company (e.g., UpJohn). The form has a
coded number on it, the results, and no name. The laboratory
test results received by the Drug Program Coordinator (DPC) in
personnel has the same identification number as the pink form.
The DPC notifies Dr. Ziegler of a positive result. Now the drug
test results can be identified. When the test is a positive, the
results must be verified. Dr. Ziegler looks at the chain of
custody form which is part of the packet sent by the DPC to make
sure that there are no flaws in the process. He then calls the
individual and sends a letter stating the verified positive. He
also sends a copy of the test results to the individual. A
release of information is mailed to the individual to be signed
and returned to the RFS. He sends a letter to the manager
stating that the employee is temporarily medically disqualified
for duty. A written record is maintained of all activity.
The Employee Assistance Program (EAP) counselor provides the
initial assessment. The EAP counselor also provides reports to
the national EAP and submits monthly reports to the RFS through
the Human Affairs International counselor (HAI) (The HAI
counselor is a specialist in substance abuse). The employee must
sign an agreement contract with his manager to work with the HAI
counselor. The employees file is updated based on these reports.
When the person has done well in the treatment program, Dr.
Ziegler issues a letter of good standing. The person can then
resume his/her duties. The removal or reinstatement of personnel
is done only by the Federal Air Surgeon and the Regional Flight
Surgeon.
A rehabilitation program is selected based on a knowledge of what
is available in the area. It is a joint effort between the RFS
and EAP. AMEs in the area are also solicited for their knowledge
of local programs. On initial entry into the hospital, a release
of information form is signed and hospital records are
maintained.
If a positive screen is due to medication, the name of the
pharmacy and the number of the prescription are obtained and
verified. The individual is then downgraded to a non-positive.
The employee's manager is not informed of this process in order
to protect the employee's right to privacy. The national Medical
Review Officer (the Federal Air Surgeon) is informed verbally of
these situations. If a paper trail is required, it can be traced
through Dr. Ziegler's memos etc.
Airman Certification
The RFS will sometimes get a letter from a spouse or another
person close to an airman stating that the individual is taking
medication. It is up to Dr. Ziegler to determine if the airman
is still able to fly. Information on the airman is then
collected. A letter is sent to the airman to obtain additional
information. OKC sends the medical records. Security may be
contacted (in writing) to do a review. Dr. Ziegler determines
whether the individual should be disqualified. If the decision
is made to disqualify, a denial letter is sent from the RFS to
tell the airman the result and the procedure to challenge. The
file is then closed and sent to OKC.
Other
Special considerations for ATCS are handled by Dr. Ziegler. He
sends a letter to the ATCS and the manager describing the medical
resolution (e.g., on the appropriate medication). The letter is
put in the file along with the notes that the special
consideration has been granted. All ATCS physicals that have a
problem that may require special considerations are reviewed by
Dr. Ziegler. He sends letters to the ATCS to request additional
information as required. All records for ATCS special
consideration are kept in the Regional Office. Washington
Headquarters is in the loop when a special consideration is
denied or the RFS needs a second opinion on a case. When an ATCS
appeals a denial, the Federal Air Surgeon makes the decision and
communicates it in writing to the individual and to the RFS.
Medical Guideline Letters are used for ATCS/airman medication
guidelines. Other sources are the Federal Air Surgeon
newsletter, seminars, flight surgeon training, Telecons, FAS
policy meetings, and AMEs. CAMI's library is also used for
support.
Potentially the poison control center of the local hospital would
be useful to have access to. A dial-up service on new treatments
or medicines would be useful to have access to.
All employee medical records are maintained at the Regional
Office.
If there is an environmental problem, the safety officer located
in the region can do the air sampling or handle a certain number
of problems. Dr. Ziegler may write the industrial hygiene area
at CAMI a letter stating the environmental problem. The
industrial hygiene department will write back with a recommended
action.
AME Decertification
Correspondence from state boards, airman complaints, or other
physicians sending articles are examples of how the RFS may learn
about a potential problem with an AME. Information to make a de-
designation decision is gathered by writing letters to the state
boards, the AME, and other sources as required and through phone
conversations. A file is maintained on all correspondence and
actions taken. A de-designation decision is made after
consultation with CAMI and the Federal Air Surgeon (An airman de-
designation decision is also made after consultation with CAMI
and the Federal Air Surgeon).
Accident Investigation
The National Transportation Systems Board (NTSB) authorizes pilot
autopsies. Dr. Ziegler directs the NTSB to the local medical
examiner (e.g., coroner) who signs a document to transport the
body across county lines. The coroner or facility sends the
autopsy report to Dr. Ziegler. He sends a copy along with his
interpretation of the findings to the CAMI research division and
the NTSB. He also sends the toxicology kit with the samples to
CAMI.
INDEX
A
AAM-3
AAM-100
AAM-110
AAM-120
AAM-200
AAM-220
AAM-230
AAM-240
AAM-300
AAM-400
AAM-500
AAM-600
AAM-700
Accident Investigation Coordinator
Adams, Mark
ADAP Manager
Administrative Officer
Administrative Officer, Regional
AEA-300
Aeromedical Certification Division
Aeromedical Research Division
AGL-300
Airmen Certification Program Specialist
Airmen Certification Program Assistant
Airmen Education Division
Alejandro, Carmen
AME Program Specialist
ANM-300
Applicant Examiner, Appeals
Applicant Examiner, Special Issuance
Applicant Examiner, Supervisory
Arnold, Lita
ASW-300
B
Battelle
Beasley, Joe
B (Cont.)
Biomedical and Behavioral Sciences Branch.
Boren, Dr. Henry
Brattain, Paul, M.D.
Budget Analyst
Burnette, Doug
C
CAMI
Canfield, Dennis, Ph.D.
Carreon, Roel
Chemist
Chemist, Research, Supervisory
Civil Aeromedical Institute
Clark, Charlotte
Computer Program Analyst
Computer Systems Analyst
Covered Position Certification Specialist
Covered Position Certification Program Assistant
D
Dark, Shirley
Davis, Audie, M.D.
Davis, Bill, M.D.
Doctor
Boren, Henry
Brattain, Paul, M.D.
Canfield, Dennis, Ph.D.
Davis, Audie, M.D.
Davis, Bill, M.D.
Hanneman, Gerald, D.V.M.
Hark, William, M.D.
Hordinsky, Jerry, M.D.
Horne, Andrew
Jones, Lanier, M.D.
May, Noal, Ph.D.
Schroeder, David, Ph.D.
Shepherd, William, M.D.
Spann, Joe, M.D.
Taylor, Christopher, M.D.
Thiemann, Phillip, M.D.
Ziegler, Tony, M.D.
Downey Leslie
Drug Abatement Branch
Duskin, Jannice
E
Eastern Region
Elliot, Frank
Employee Health Branch
Endicott, Boyd
Evans, James
F
Flight Surgeon
Flight Surgeon, Assistant Regional
Flight Surgeon, Regional
Folk, Earl
G
Great Lakes Region
Green, Nova
Guest, Keith
H
Hall, Minetta
Hanneman, Gerald, D.V.M.
Hark, William, M.D.
Hart, Irma (Sam)
Haskins, Paula
Headquarters
Health Awareness Program Coordinator
Hecht, Steve
Hicks, Virginia
Holmes, Chuck
Hordinsky, Jerry, M.D.
Horne, Dr. Andrew
Human Resources Research Division
I
Industrial Hygienist
J
Jacksonville Clinic
Jones, Lanier, M.D.
K
Kanesky, Paula
Kelly, Carol
Kokindo, Joan
L
Ladika, Kathy
Lapane, Mae
Librarian
Lucich-Biehl, Barb
Lyons, Beverly
M
MacMillan, Tina
Maloy, Curt
Management Analyst
Management Analyst, Supervisory
Management Assistant
Management Support Branch
Management Support Specialist
Manning, Carol
Mattox, Carol
May, Noal, Ph.D.
McCaughan, Danell
McEachen, Dennis
M.D.
Brattain, Paul
Davis, Audie
Davis, Bill
Hark, William
Hordinsky, Jerry
Jones, Lanier
Shepherd, William
Spann, Joe
Taylor, Christopher
Thiemann, Phillip
Ziegler, Tony
Medical Billing Specialist
Medical Clinic Program Assistant
Medical Officer, Supervisory
Medical Officer, Veterinary
Medical Records Technician
Medical Records Technician, Supervisory
Medical Specialties Division
Meyer, Peggy
Miller, Martin "Doc"
Muldrow, Yvonne
N
Nakagawara, Janice
Nelms, David
Northwest Mountain Region
Nurse Practitioner
O
Occupational Health Division
Occupational Health Nurse
Office of the Director - CAMI
Orlando, Kathy
P
Perdue, Hillary
Perry, Joann
Plans, Evaluation ∧ Management Support Division
Plans ∧ Evaluation Branch
Program Analysis Officer
Program Analysis Officer, Supervisory
Program Analyst, Plans Evaluation
Program Analyst, Supervisory
Program Evaluation Specialist
Program Manager
Program Manager, Substance Abuse Control
Program Management Specialist
Program Officer, Medical Education
Program Scientist, Accident Investigation
Program Specialist
Psychologist, Personnel Research
Psychologist, Research, Supervisory
Q
R
Records Unit Manager
Reid, Mary
Research Mathematical Technician
Richter, Regina
Roderick, Tony
S
Scarpelli-Norman, Gloria
Schroeder, David, Ph.D.
Schultz, Mary
Scott, Shirley
Secretary
Shepherd, William, M.D.
Shuring, Dennis
Southern Region, Jacksonville Clinic
Southwest Region
Spann, Joe, M.D.
Special Issuance Recertification Coordinator
Statistical Assistant
Stewart, Carolyn
Stouffer, Debbie
Szatkowski, Jenny
T
Taylor, Christopher, M.D.
Teague, Sherlene
Thiemann, Phillip, M.D.
Tizzio, Aida
U
V
Vachon, Mike
Veterinary Medical Officer
W
Warren, Peggy
Watson, Jean
Wilson, Shirlene
Worner, William
X
Y
Young, Samye
Z
Ziegler, Tony, M.D.
Zingman, Helen
Zink, Audrey