14. EXHIBIT XIV - DEA Aviation Division - Aviation Operations Manual.pdf

Drug Enforcement Administration

Aviation Div ision

Aviation Operations Manual

2300 Hor iz on D r ive For t W or th, TX 76177

April 15, 2022, Version 2022-1 i

PREAMBLE AND AVIATION SAFETY POLICY

This Aviation Operations Manual (AOM) has been compiled for the use and guidance of DEA Aviation Division personnel in the execution of their duties. It contains information, instructions, policies, and procedures on the manner in which operations must be conducted. This AOM has been developed in accordance with International Civil Aviation Organization (ICAO) and International Business Aviation Council (IBAC) /International Standards for Business Aircraft Operations (IS-BAO) guidance. It is intended to serve as guidance for both present and future Aviation Division operations. When a particular section is associated to an IS-BAO protocol, the protocol number is referenced to facilitate audit activity and demonstrate Aviation Division commitment to the high standards promulgated by IBAC/IS-BAO.

This preamble section is purposed to define the current aviation safety policy for the Aviation Division. As a matter of practice, the Aviation Division must operate and train its crewmembers and professional support staff in accordance with recognized international standards and “best practices” known to the federal government aviation community and, as such, reflect the high standards of operational safety that we wish to achieve. It is my goal, as the Special Agent in Charge (SAC) and Accountable Executive (AE), to continuously strive to exceed these standards. As the Safety Management System (SMS) AE, I am accountable for the safety performance of the Aviation Division. This safety policy is issued in accordance with international and national requirements, to include Federal Aviation Administration (FAA) and ICAO requirements. All Aviation Division personnel must be familiar with the AOM and must comply with its provisions.

The Aviation Division aviation safety policy must receive the necessary human and financial resources for its implementation. The Aviation Division is dedicated to highly professional flight operations. To reduce operational risks, aviation safety management principles must be integrated across all aviation programs.

We must be persistent in continuously demonstrating high safety consciousness in our daily flight operations. Our decision-making, actions, and behaviors should reflect a positive safety culture (IS-BAO

3.1.1.2 S3a). In furtherance of this, I advocate a “Just Culture” model, a cultural atmosphere of trust in which people are encouraged to provide safety-related information, but there is a clear distinction between acceptable and unacceptable behavior. Errors are understood, but willful violations, unsafe acts, gross negligence, reckless noncompliance, substance abuse, and criminal activity will not be tolerated.

This aviation safety policy is to be reviewed at least annually via the Safety Council (SC) process to ensure that it and Aviation Division Safety Objectives remain relevant and appropriate to the Aviation Division, and meet current DEA, FAA, ICAO, and IS-BAO requirements. This review must be done via the Safety Officer and SC process, and evidence of safety policy reviews must be documented in official correspondence to the SAC/AE. The SC process must also be used to define and communicate safety objectives that reflect Aviation Division commitment to maintain or continuously improve the overall effectiveness of the SMS. These Safety Objectives are to be reviewed and updated at least annually so that they remain relevant and appropriate in regards to our most significant risks.

This aviation safety policy is to be included in key documentation and communication media that is clearly visible or available to all personnel. All personnel involved in the SMS must have access to and be required to understand the safety policy.

Gary W. Hill, Special Agent in Charge SMS Accountable Executive Aviation Division ii

Deviation and Waiver Policy

DEA is a law enforcement organization. The SAC/AE or designee can authorize verbal or written deviations from the AOM when circumstances exist that would cause a reasonable person to believe that the deviation from the AOM was necessary due to life or death situations, prevention of physical harm to personnel, preventing the escape of a suspect, or some other emergency or urgent situation.

In such situations, it is preferable that the PIC seek the deviation ahead of time via the chain of command. In fluid, dynamic situations this may not be possible. In such situations, the PIC will be required to debrief the deviation with both the PIC’s supervisor and Safety Officer as soon as practicable after the flight. In all instances, a risk assessment should be conducted prior to the deviation.

Pilots are expected to use extreme sound professional judgement in these situations.

iii

Manual Amendment Procedure

All proposed revisions to this document must be submitted in writing through the proper chain of command. Revisions must be reviewed by a committee comprised of operational management, safety, training, and maintenance personnel as designated by the Aviation Division Special Agent in Charge (SAC). Approval of the revisions must be by the Aviation Division SAC and must be documented in the Record of Amendments.

iv

RECORD OF AMENDMENTS

Number Date Summary of Amendment

2022-1 01/24/2022 This issue supersedes any previous Aviation Operations Handbook.

v

TABLE OF CONTENTS

Preamble and Aviation Safety Policy i Deviation and Waiver Policy ii Manual Amendment Procedure iii Record of Amendments iv

1 Organization 1

1.1 Management Structure 1

1.2 Operational/Management Accountabilities, Duties, and Responsibilities 1

1.3 Safety Accountabilities, Duties, and Responsibilities 3

1.4 Appointment of Acting Personnel 11

2 Safety Management System 13

2.1 Safety Policy 14

2.2 Safety Management Strategy 19

2.3 Safety Risk Management Processes 20

2.4 Safety Assurance 26

2.5 SMS Communication and Training 32

3 Operational Control 34

3.1 Responsibilities and Authorities 34

3.2 Flight Planning and Pre-Flight Requirements 38

3.3 Flight Release and Flight Following 45

3.4 Aircraft Defects 48

3.5 Distribution of Operational Information 49

4 Operating Requirements 50

4.1 Fuel, Oil, and Oxygen Requirements 50

4.2 Fueling Procedures 50

4.3 Surface Contamination and Flight into Known Icing 51

4.4 Minimum Aircraft Crew 52

4.5 Aircraft Crew Qualifications 52

4.6 Use of Checklists 54

4.7 Use of Standard Operating Procedures 55

4.8 Operating Weather Minima 56

4.9 Special Airspaces – PBN/MNPSRVSM/CPDLC/ADS 59

4.10 Noise Abatement Procedures 59

4.11 Disposal of Waste 59

4.12 Emissions Fees and Charges 59

4.13 Aircraft Equipment 59

4.14 Weather Considerations 64

4.15 Flights Over Water 65

4.16 Use of Alcohol and Other Psychoactive Substances 65

4.17 Seating Requirements 66

4.18 Passenger and Cabin Safety Procedures 67

4.19 Observer Safety Briefing 68

4.20 Travel Health Issues 69

4.21 Extended Diversion Time Operations 69

4.22 Mobile Phones and Other Portable Electronic Devices 69

4.23 Personnel Qualified to Taxi Airplane 69

4.24 Helicopter Rotor Turning Under Power 70

4.25 Maintenance Check Flights 70

4.26 Stabilized Approaches 71

5 Emergency Procedures and Equipment 72

5.1 Airborne Emergencies 72

5.2 Accident-Incident Reporting 73

5.3 Emergency Response Plan 73

vi

5.4 Pilot Incapacitation 83

5.5 In-Flight Passenger Illness 83

5.6 Emergency/Survival Equipment 84

5.7 Unlawful Interference 84

5.8 Non-aviation Accidents and Incidents 85

6 International Operations 86

6.1 Operating Requirements 86

6.2 International Training 86

6.3 Passenger Handling 86

6.4 Disposal of International Garbage 87

7 Qualifications and Training 88

7.1 Training Program 88

7.2 Training Policies 88

7.3 Training Programs 91

7.4 Training Curricula 97

8 Record Keeping 106

8.1 Flight Records 106

8.2 Employee Training and Qualifications 106

9 Aircraft Maintenance 110

9.1 Contract Maintenance Provider 110

9.2 Accountabilities, Duties, and Qualifications 112

9.3 Technical Records 112

9.4 Maintenance Schedules 112

9.5 Airworthiness Directives and Service Bulletins 114

9.6 Evaluation Program 114

9.7 Deferred Rectification of Defects 115

9.8 Aircraft Corrosion Prevention Program 115

9.9 Aircraft Maintenance Responsibility 116

9.10 Aircraft Weight and Balance Control 116

9.11 Maintenance Arrangements 117

9.12 Flight Permits or Special Flight Authorizations 117

9.13 Aircraft Maintenance Technicians Working Alone 117

9.14 Deviations from the Maintenance Control Procedures 117

10 Fatigue Management Program 118

10.1 Guiding Principles 118

10.2 Training 118

10.3 Flight and/or Duty Time Limitations 118

10.4 Evaluation of Fatigue Management Program 119

11 Environmental Management 121 12 Occupational Health and Safety 122

12.1 Notification to Personnel and Passengers 122

12.2 Personnel Working Alone 122

13 Transportation of Dangerous Goods 123

13.1 Transportation 123

13.2 State of Registry and International Regulations 123

13.3 HAZMAT Transportation Training and Certification 123

14 Aircraft Protection and Security 125 15 Aviation Division Directives 126 16 Forms 127 17 Acronyms 133

1 Organization

1.1 MANAGEMENT STRUCTURE

The Drug Enforcement Administration (DEA) Aviation Division utilizes official aircraft in a safe and effective manner to support and further DEA operations. The Aviation Division’s use of aircraft is consistent with established mission standards outlined in connection with all applicable federal regulations pertaining to the use of United States (U.S.) Government aircraft, to include the Office of Management and Budget (OMB) Circular A-126; Code of Federal Regulations (CFR) §301-10.260 et seq.; and 41. CFR §301-70.800 et seq.

The following is the organizational structure of the Aviation Division, which is purposed to communicate lines of safety accountability, responsibilities of each position with respect to operations, safety performance, and safety authorities (IS-BAO 3.1.2.1.b).

Organizational Structure of Flight Operations Personnel

1.2 OPERATIONAL/MANAGEMENT ACCOUNTABILITIES, DUTIES, AND QUALIFCATIONS

1.2.1 Management responsibility for the aviation program rests within the Aviation Division. The

Aviation Division Special Agent in Charge (SAC) is responsible for broad policy matters and oversight of the aviation program. The SAC of the Aviation Division exercises line responsibility over all Aviation Division personnel. The SAC also exercises the authority to designate who will be authorized to operate DEA aircraft. This authorization must be documented via a memorandum from the SAC to the Special Agent/Pilot (SA/P).

1.2.2. The Assistant Special Agents in Charge (ASACs) are responsible for all day-to-day operations within the Aviation Division. The ASACs support and direct the activities of Aviation Division personnel assigned to their respective areas of responsibility.

A. The ASACs for Operations (Eastern and Western Region) provide oversight for operational entities within the division. Primary duties include:

SAC/Accountable Executive

Eastern Area

ASAC

RACs, Area and Group

Supervisors

Special Agent/Pilots

Western Area

ASAC

RACs, Area and Group

Supervisors

Special Agent/Pilots

Operational Support ASAC

Training Officer

Contract Training Pilots

Maintenance Supervisor

Safety Officer

1. Manage the DEA aviation program in order to maintain adequate levels of qualified SA/Ps and suitable aircraft to meet the support requirements of operations elements in a timely manner.

2. Develop aviation program plans and objectives to ensure that operational needs can be met in a timely and efficient fashion.

3. Provide appropriate aircraft needed to support operational elements and provide personnel and equipment for aviation maintenance and support.

4. Provide supervision for Supervisory SA/Ps, SA/Ps, and support personnel.

5. Evaluate aviation investigative data to ensure the effective placement and utilization of resources.

6. Coordinate with operational elements to provide guidance and assistance regarding program goals and operations.

7. Ensure that operational requirements are met and that priorities are determined in the event of multiple requests.

8. Develop and maintain the capability to provide DEA with aviation support, to include air/ground surveillance, air photography, fugitive transport, undercover role enhancement, communications platforms, airborne reconnaissance, emergency evacuations of personnel, airborne electronic tracking, sensitive cargo transport, transportation of personnel, and specialized operations.

B. The ASAC for Operational Support provides oversight for the Administrative Support Unit, Maintenance Unit, and Training and Standardization Department. Primary duties include:

1. Provide direction and supervision over the aforementioned organizational elements.

2. Plan, organize, coordinate and carry out, through subordinate supervisors and team leaders, DEA aviation goals responsive to the needs of the Aviation Division.

3. Identify aviation resource requirements and priorities necessary for effective mission accomplishment.

4. Manage material and personnel resources.

5. Provide oversight for all contract issues relevant to the Aviation Division.

6. Identify criteria for the selection, training, and testing of SA/Ps.

7. Maintain DEA aircraft to ensure safe and effective operation.

1.2.3. The Resident Agents in Charge (RACs), Area Supervisors (ASs), and Group Supervisors (GSs) provide oversight for the designated geographic areas of responsibility shown below:

CENTRAL AREA - Detroit Field Division (FD), Louisville Division FD, and Washington FD SOUTHERN AREA - Atlanta FD and New Orleans FD MIDWEST AREA - Chicago FD, Omaha FD, and St. Louis FD MOUNTAIN AREA - Dallas FD, Denver FD, Phoenix FD, and Seattle FD NORTHEASTERN AVIATION RESIDENT OFFICE - Boston FD, Newark FD, New York FD, and

Philadelphia FD FOREIGN AREA - Bogota Country Office (CO), Lima CO, and Caribbean Division.

SOUTH CENTRAL AVIATION RESIDENT OFFICE/SOUTHWESTERN AVIATION GROUP - El Paso FD, Houston FD, and Mexico City CO SOUTHEASTERN AVIATION RESIDENT OFFICE - Miami FD WESTERN AVIATION RESIDENT OFFICE - Los Angeles FD, San Diego FD, and San Francisco

FD

Primary duties for the RACs/ASs/GSs include:

A. Identify aviation resource requirements necessary for effective mission accomplishment and advise the appropriate office head of capabilities.

B. Recommend plans and projects to accomplish necessary improvements to ensure optimum achievement of the DEA mission.

C. Provide guidance and direction for aviation support of criminal investigations involving high echelon traffickers, primary sources of illicit narcotic and dangerous drugs, and international criminal conspiracies.

D. Supervise SA/Ps engaged in providing aviation support for investigations and operations.

1.2.4 SA/Ps must be selected from the Special Agent (SA) workforce and must have both enforcement and aeronautical experience. Only personnel certified by the SAC of the Aviation Division must be designated to fly as Aircraft Commanders (AC) and Second-In-Command (SIC), as applicable of official aircraft. Primary duties for SA/Ps include:

A. Provide aviation support for DEA and DEA partners.

B. Provide aviation investigative expertise.

1.3 SAFETY ACCOUNTABILITIES, DUTIES, AND RESPONSIBILITIES (IS-BAO 3.1.2)

Within the Aviation Division, safety is everyone’s business.

Accountable Executive Role in Safety

In the SMS context, accountability means being ultimately responsible for safety performance, whether at the overall SMS level AE or specific product/process levels (members of the management team). This includes being responsible for ensuring appropriate corrective actions are taken to address hazards and errors reported, as well as responding to accidents and incidents. The SAC of the Aviation Division is the AE in the SMS context (IS-BAO 3.1.2.1.a).

Safety management should be a core function for any aviation organization. The definition of accountabilities for all personnel involved in safety-related duties must serve to ensure the delivery of safe products and operations, as well as an appropriately balanced allocation of resources.

The AE is the single person having ultimate responsibility for the SMS, including responsibility to provide the resources essential to its implementation and maintenance (IS-BAO 3.1.2.a). The AE’s role is to instill safety as a core organizational value and to ensure that the SMS is properly implemented and maintained through the allocation of resources and tasks.

The AE’s authorities and responsibilities include, but are not limited to:

A. Provision and allocation of human, technical, financial, or other resources necessary for the effective and efficient performance of SMS;

B. Direct responsibility for the conduct of the organization’s affairs;

C. Final authority over operations under the approval of the organization;

D. Establishment and promotion of the safety policy;

E. Establishment of the organization’s Safety Objectives and safety targets;

F. Acting as the organization’s safety champion;

G. Having final responsibility for the resolution of all safety issues; and H. Establishing and maintaining the organization’s competence to learn from the analysis of data collected through its safety reporting system.

NOTE: The responsibilities outlined above should not be delegated.

Management Role in Safety

Aviation Division safety-related positions, responsibilities, and authorities must be defined, documented, and communicated throughout the organization. The safety accountabilities of each senior manager (departmental head or person responsible for a functional unit) are integral components of their job descriptions. In summary, “Safety is everyone’s business.” Given that the management of safety is a core function, every supervisor has a degree of involvement in the operation of the SMS. This involvement is certainly deeper for those managers directly responsible for functional/operational units (operations, maintenance, training, etc.) than for those responsible for support functions (human resources, administration, and financial).

While all contractors and subcontractors may not necessarily be required to have an SMS, it is important to ensure that the Aviation Division’s own safety requirements are met. This will be done via a variety of mechanisms, to include Aviation Division Maintenance oversight, SC meetings, Maintenance, Repair, and Operations (MRO) contractor Quality Assurance (QA) processes, and other methods.

Safety Responsibilities, Accountabilities, and Authorities of Each Position (IS-BAO 3.1.2.1.c, IS- BAO 3.1.2.1.d)

All Aviation Division personnel, to include contractors and subcontractors, share the accountability for safety. Any DEA supervisor has the ability to make decisions regarding safety risk tolerability (IS-BAO 3.1.2.1.e). They also share accountability to encourage peers to value safe work practices and safety programs in a positive, proactive way. All personnel are accountable to themselves, their coworkers, first-line supervisors, and ultimately to the SAC/AE for safe operating practices. Accountability cannot be delegated, and it defines the obligation of the responsible person to demonstrate the satisfactory discharge of their safety responsibilities. Documented evidence that decisions on safety risk tolerability being made by person(s) holding the appropriate authority must be recorded via management staff meeting notes, SC meeting minutes, internal inspection reports, Safety Risk Profile forms, mission reports, email communication, and other mechanisms (IS-BAO 3.1.2.1.e).

Safety is the business and responsibility of every employee and can be achieved through proper education, training, use of protective equipment, and by following safety rules, regulations, standards, and laws. Each employee is responsible for understanding and practicing appropriate safety procedures.

The Flight Risk Assessment Tool (FRAT) must be used to assess risk and differentiate, in advance, between a low-risk flight and a high-risk flight. (See Section 16.) It is an invaluable tool in helping pilots make better go/no-go decisions and identifying and mitigating risks and must be a part of every flight.

It is important to explicitly communicate safety responsibilities of each position and ensure that the authority to make decisions regarding safety risk tolerability is understood. All levels of management have the authority to make decisions regarding safety risk tolerability. The following table is purposed to briefly summarize these items:

Table of Safety Responsibilities and Authorities (IS-BAO 3.1.2.1.c, IS-BAO 3.1.2.1.d)

Position Responsibilities Authorities

SAC/AE

Senior Executive Service (SES)

Ultimately responsible for SMS, including responsibility to provide the resources essential to its implementation and maintenance.

AOM, ICAO Safety Management Manual

ASACs GS-1811-15 Responsible for oversight and ensuring safety is practiced in their AORs

AOM

RACs/ASs/GSs, GS-1811-14 Responsible for oversight and safety of their subordinate pilots

AOM

Safety Officer/GS-1811-14 Responsible for the development and maintenance of an effective SMS. The Safety Officer also advises the AE and line managers on safety management matters and is responsible for coordinating and communicating safety issues within the organization, as well as with external stakeholders.

AOM, ICAO Safety Management Manual

Aviation Training Officer/GS- 1811-14

Responsible for overall management of the Training and Standardization Programs within the Aviation Division.

AOM

Maintenance Supervisor/GS-14 Responsible for overall management of the Maintenance program, MRO activity, and subcontract vendor/maintenance activity.

AOM

1.3.1 Accountable Executive/Special Agent in Charge

The SAC of the Aviation Division is the SMS AE and is accountable for providing the resources required to conduct a safe operation and to implement and maintain the SMS. SAC authorities and responsibilities include:

A. Sustaining conditions that promote the safe operation of Aviation Division aircraft;

B. Actively supporting the SMS;

C. Actively reviewing risk and mitigation strategies across the organization (IS-BAO

3.1.2.1.a);

D. Holding managers accountable for risk management activities (IS-BAO 3.1.2.1 s3a);

E. Providing and allocating of human, technical, financial, or other resources necessary for the effective and efficient performance of SMS and for ensuring the safe operation of Aviation Division aircraft;

F. Directing responsibility for the conduct of the Aviation Division’s affairs;

G. Having final authority over operations of the Aviation Division;

H. Establishing and promoting the safety policy;

I. Establishing Aviation Division’s Safety Objectives and safety targets;

J. Acting as the Aviation Division’s safety champion;

K. Reviewing safety risks and ensuring they are reduced to a level as low as reasonably practical;

L. Having final responsibility for the resolution of all safety issues; and M. Establishing and maintaining the Aviation Division’s competence to learn from the analysis of data collected through its safety reporting system.

1.3.2 Assistant Special Agents in Charge

1.3.2.1 Accountabilities and Duties

The ASACs are accountable for overall operation of their respective areas (Eastern, Western, Administrative, etc.), for the safety of aviation operations, and for ensuring that safety management goals are met. The duties of the position include:

A. Organizing, staffing, and directing:

1. flight operations;

2. cabin safety (when applicable);

3. crew scheduling; and

4. training programs

B. Controlling operations and operational standards of all aircraft operated;

C. Monitoring functions which impact on operational control (e.g. maintenance, crew scheduling, load control, equipment scheduling);

D. Actively supporting the SMS;

E. Validating and addressing safety risk management deficiencies in an appropriate and timely manner;

F. Liaising with any external agencies in their areas which may affect aircraft operations, such as law enforcement partners, FAA, Department of Defense (DOD), Department of State (DOS), etc.;

G. Ensuring that flight operations and aircraft maintenance activities are conducted in compliance with all applicable safety regulations, national and international regulations and standards, and Aviation Division operating policies;

H. Ensuring that crew scheduling complies with flight and duty time limitations;

I. Ensuring that all crewmembers are kept informed of any changes to regulations and operating standards;

J. Receiving and taking action with respect to any aeronautical information affecting the safety of flight;

K. Disseminating any known aircraft safety information, both internal and external;

L. Working with the Aviation Training Officer to ensure that flight crew qualifications are current; and M. Overseeing the welfare of flight operation personnel.

1.3.2.2 Qualifications

A. Holds or has held an appropriate license and has acquired supervisory experience;

B. Demonstrates knowledge with respect to the operation of an aviation organization, the content of the AOM, and the provision of the regulations and the standards necessary to carry out the duties and responsibilities to ensure safety; and

C. Meets DEA requirements for promotion to GS-15.

1.3.3. Resident Agents in Charge, Area Supervisors, and Group Supervisors

1.3.3.1 Accountabilities and Duties

RACs/ASs/GSs are accountable for the professional standards of the flight crews under their authority, for implementing and maintaining related aspects of the SMS, and for ensuring that all operations/training-related safety management goals are met. The duties of the position include:

A. Issuing directives and notices to the flight crews as required;

B. Ensuring that all aerodromes and facilities are operationally suitable and meet organization requirements;

C. In coordination with the Safety Officer, processing, taking action on, and distributing accident, incident, and other occurrence reports, as well as any flight crew reports;

D. Supervising aircraft crews and management of assets assigned to their offices/groups;

E. Ensuring that all operations processes and procedures include risk management mitigation specified in the SMS;

F. Ensuring that personnel under their authority participate effectively in the SMS; and

G. Assuming any responsibilities delegated by the ASAC.

1.3.3.2 Qualifications

A. Holds a valid Commercial Pilot License;

B. If applicable, holds a type rating for at least one of the types of aircraft operated;

C. Is qualified in accordance with the operator's training program to act as a pilot-in-command on one of the types to be operated;

D. Demonstrates knowledge of the content of the operations manual, Standard Operating

Procedure (SOP), and the provisions of the United States civil aviation regulations and standards necessary to carry out the duties and responsibilities of the position; and

E. Meets DEA requirements for promotion to GS-14.

1.3.4 Maintenance Supervisor

1.3.4.1 Accountabilities and Duties

The Maintenance Supervisor is accountable for ensuring that all aircraft are maintained in accordance with DEA and regulatory requirements, for implementing and maintaining related aspects of the SMS, and for ensuring that all maintenance-related safety management goals are met.

The duties of the position include:

A. Planning and controlling all aircraft maintenance;

B. Liaising with the national civil aviation authority on maintenance topics;

C. Liaising with all persons or Approved Maintenance Organizations (AMOs) performing maintenance on Aviation Division aircraft;

D. Ensuring that all persons or AMOs performing maintenance on Aviation Division aircraft have access to all applicable technical and regulatory publications necessary to perform these duties, as well as the applicable portions of the organization’s Operations Manual which detail the Aviation Division maintenance control system, and ensuring that those publications are kept up to date;

E. Ensuring aircraft maintenance records as required by United States regulations and manufacturers’ and organization policies are established and maintained;

F. Ensuring that Airworthiness Directives (AD) and Mandatory Service Bulletins (SB) that affect Aviation Division aircraft are complied with appropriately;

G. Removing from service any aircraft that are unsafe or that do not comply with national regulatory requirements;

H. Ensuring that all maintenance processes and procedures include risk management mitigation specified in the SMS;

I. Ensuring that personnel under their authority participate effectively in the SMS;

J. Establishing Maintenance Department safety policies and procedures for ground operations; and K. Assuming any responsibilities delegated by the SAC.

1.3.4.2 Qualifications

A. Demonstrates knowledge of the planning, implementation, and direction of the maintenance control system for the aircraft operated; and

B. Demonstrates knowledge of the national regulations and standards relating to aircraft maintenance.

1.3.5 Safety Officer

1.3.5.1 Accountabilities and Duties

The Safety Officer is accountable for day-to-day administration of the SMS and is responsible for its effective administration (IS-BAO 3.1.3). So that the Safety Office is in a position to maintain an effective SMS, the Safety Officer must have direct access and reporting to the SAC/AE concerning the implementation of the SMS (IS-BAO 3.1.3 S2a). This direct access is designed to position the Safety Officer at a level in the organization that enables him/her to carry out their duties effectively without conflict of interest (IS-BAO 3.1.3 S3a).

In this role, the Safety Officer must have direct access to the RAC/AS/GS and unfettered access to the AE in safety matters and must be specifically responsible for:

A. Developing, implementing, and maintaining the SMS;

B. Monitoring and advising on all operator safety activities that may have an impact on flight and ground safety;

C. Establishing and managing the operator hazard identification and tracking system;

D. Developing and maintaining a safety awareness program;

E. Monitoring industry flight safety concerns which may have an impact on operations;

F. Maintaining close liaison with aircraft manufacturers and industry safety associations;

G. Developing and maintaining the operator emergency response plan (ERP), and ensuring it is properly coordinated with the ERPs of those organizations it must interface with during the provision of its services;

H. Analyzing hazard reports and other identified safety concerns and making recommendations on appropriate mitigation;

I. Investigating and reporting on incidents/accidents, working with functional managers in order to develop the appropriate mitigations, and making recommendations on modifications to the SMS;

J. Making recommendations to the operator’s senior management on matters pertaining to the SMS;

K. Undertaking safety assurance activities and conducting periodic evaluations of the SMS and reporting the results to management;

L. Monitoring the response and measuring the results of safety initiatives;

M. Discussing analysis of measurements with management levels, thereby supporting the decision-making process; and N. Assuming any responsibilities directing by the SAC.

1.3.5.2 Qualifications

A. Extensive operational experience or equivalent experience in aviation management; and B. Training in the following:

1. basic concepts of safety and accident causation;

2. SMS principles and practices;

3. the role of the Safety Officer as advisor to senior management;

4. human factors and the decision-making process,

5. accident prevention;

6. risk management;

7. accident/incident management;

8. emergency response planning; and

9. accident and incident investigation.

1.3.6 Pilot-in-Command (PIC)

1.3.6.1 Accountabilities and Duties

The PIC has final authority and responsibility for the operation and safety of the flight, is designated prior to commencing a flight if more than one crewmember is present for the flight, and is designated as an Aircraft Commander (AC) for the aircraft to be flown. Specific duties and responsibilities include:

A. Ensuring that a flight must not be commenced if a flight crew member is incapacitated from performing duties by any cause such as injury, sickness, fatigue, or the effects of any psychoactive substance;

B. Ensuring that the flight must not be continued beyond the nearest suitable aerodrome or heliport, when a flight crew member’s capacity to perform functions is significantly reduced by impairment of faculties from causes such as fatigue, sickness, or lack of oxygen;

C. Having responsibility for operational control;

D. Having responsibility for the security of the aircraft during its operation;

E. Checking and assessing weather and all applicable Notices to Airmen (NOTAM) where available;

F. Determining fuel, oil, and oxygen requirements;

G. Determining the aircraft weight and balance limits;

H. Ensuring that all flight planning requirements have been met;

I. Ensuring that the aircraft is airworthy and duly registered and that the documentation and operational information specified in Section 3.1 are onboard the aircraft;

J. Completing an aircraft pre-flight inspection, as per the aircraft flight manual, before each departure;

K. Briefing the passengers in accordance with the requirements specified in Section 4.18;

L. Operating the aircraft in accordance with Aviation Division procedures and aircraft limitations;

M. Notifying the nearest appropriate authority by the quickest available means of any accident involving the aircraft resulting in serious injury or death of any person or substantial damage to the aircraft or property;

N. Ensuring that a suspected communicable disease is reported promptly to air traffic control in order to facilitate provision for the presence of any special medical personnel and equipment necessary for the management of public health risks on arrival;

O. Submitting a report to the designated local authority following an act of unlawful interference;

P. Completing the journey log book or the General Declaration, as applicable to the flight;

Q. As soon as possible, reporting to the appropriate air traffic services unit any hazardous weather or flight conditions encountered that are likely to affect the safety of other aircraft; and

R. Participating in the SMS, as detailed in section 2.1.2.

1.3.6.2 Qualifications

The qualifications required to act as PIC are specified in Section 4.5.1.

The PIC has the authority to refuse transportation of any person or object if their carriage poses any risk to the safety of the aircraft or its occupants.

1.3.7 Second-in-Command and Co-Pilots

1.3.7.1 Accountabilities and Duties

The SIC/ Co-Pilot reports to the PIC and will carry out any duties delegated by the PIC. Specific duties and responsibilities include:

A. Assisting the PIC in the management of the flight;

B. Flying the aircraft in accordance with the directions of the PIC;

C. Carrying out take-offs and landings under the authority of the PIC;

D. Taking over control in the event of PIC incapacitation; and E. Participating in the SMS, as detailed in section 2.1.2.

1.3.7.2 Qualifications

The qualifications required to act as SIC are specified in Section 4.5.1.

1.3.8 Other Crewmembers

1.3.8.1 Accountabilities and Duties

Cabin crewmembers, such as crew chiefs, law enforcement aerial observers, and flight attendants (when applicable) are accountable to the PIC to carry out specified safety duties in the event of an on-board emergency. These duties may include:

A. Performing duties as assigned by the PIC or SIC;

B. Providing emergency medical assistance for passengers when required;

C. Conducting pre-flight aircraft procedures and ensuring that all safety, galley, and cabin equipment is ready for flight;

D. Maintaining order in the cabin at all times;

E. Ensuring passenger briefing is in compliance with the operations manual;

F. Ensuring that all carry-on items are secured and that passengers have fastened their seat belts and shoulder harnesses, if installed;

G. Advising flight crew deck that cabin is secured and ready for departure;

H. Preparing passengers and cabin for arrival in compliance with the operations manual;

I. Readying the aircraft and advising the flight deck crew of any cabin discrepancies; and J. Participating in the SMS, as detailed in section 2.1.2.

1.3.8.2 Qualifications

The qualifications required to act as a crew chief are specified in Section 4.5.3.

1.3.9 Aviation Communications Center (ACC) and EPIC Flight Followers

1.3.9.1. Accountabilities and Duties

A. Facilitation of maintaining and updating aircraft and crew schedules to ensure compliance with agency and regulatory requirements;

B. Obtaining international permits and visas and coordinating with outside aircraft service handlers for international flights, if applicable;

C. Maintaining department records;

D. Coordinating aircraft handling and fueling with fixed base operators;

E. Maintaining a flight following system;

F. Interfacing with flight crews, management, maintenance, and passengers;

G. Assisting with scheduling ground transportation and accommodations; and H. Participating in the SMS, to include recording FRAT information, SAR notifications, and assisting in downed aircraft notifications.

1.3.10 Hangar Maintenance and Line Service Personnel

1.3.10.1 Accountabilities and Duties

DEA does not have DEA direct hire mechanics or line personnel, and instead relies on the maintenance contractor to manage these functions. Some duties and responsibilities of these positions include:

A. Refueling the aircraft;

B. Moving or towing the aircraft;

C. Cleaning and restocking the aircraft;

D. Assisting in routine maintenance;

E. Assisting in preflight checks;

F. Assisting passengers;

G. Monitoring and maintaining the fuel farm and inventories;

H. Deicing the aircraft;

I. Maintaining the hangar facility; and J. Participating in the SMS, as detailed in section 2.1.2.

1.3.10.2 Qualifications

Aircraft maintenance personnel must:

A. Hold valid aircraft maintenance licenses with ratings appropriate for the type of aircraft and nature of work being performed;

B. Have the associated competencies to perform that work; and C. Have successfully completed the training programs and competency checks as prescribed in Chapter 7.

1.4 APPOINTMENT OF ACTING PERSONNEL

When a person holding a DEA management position expects to be unavailable to perform their day-to-day management duties due to vacation, other days off, illness, flight schedule requirements, or other circumstances, the person must designate an appropriate DEA employee to perform their duties during the period of unavailability. Such appointments will be promulgated via e-mail message to all Aviation Division personnel.

In the case of short-term or unanticipated absence, delegated authority to exercise the authorities of the absent positions will typically be the next pay grade below (e.g. GS-15 Acting for SES), or someone with Subject Matter Expertise (SME) in a unique program area.

2 SAFETY MANAGEMENT SYSTEM

The essential idea of any SMS is to provide for a systematic approach to achieving acceptable levels of safety risk. SMS is comprised of four functional components, including an intangible, but always critical, aspect called safety culture. The Aviation Division SMS applies to all Aviation Division operations.

Aviation Division aircraft and flight crews who operate internationally will be required to be IS-BAO compliant.

The four components of a SMS are:

A. Safety Policy — Establishes senior management's commitment to continually improve safety; defines the methods, processes, and organizational structure needed to meet safety goals

• Establishes management commitment to safety performance through SMS

• Establishes clear Safety Objectives and commitment to manage to those objectives

• Defines methods, processes, and organizational structure needed to meet safety goals

• Establishes transparency in management of safety

Fully documented policy and processes Employee reporting and resolution system Accountability of management and employees

• Builds upon the processes and procedures that already exist

• Facilitates cross-organizational communication and cooperation

B. Safety Risk Management (SRM) — Determines the need for, and adequacy of, new or revised risk controls based on the assessment of acceptable risk

• A formal process within the SMS composed of:

Describing the system Identifying the hazards Assessing the risk Analyzing the risk Controlling the risk

• The SRM process may be embedded in the processes used to provide the product/service

C. Safety Assurance (SA) — Evaluates the continued effectiveness of implemented risk control strategies; supports the identification of new hazards

• SMS process management functions that systematically provide confidence that organizational outputs meet or exceed safety requirements

• Product/service providers

• Ensures compliance with SMS requirements and FAA/CAA orders, standards, policies, and directives Audits and evaluations Employee reporting Data Analysis System Assessment

• Provides insight and analysis regarding methods/opportunities for improving safety and minimizing risk

• Existing assurance functions must continue to evaluate and improve service D. Safety Promotion (IS-BAO 3.4) — Includes training, communication, and other actions to create a positive safety culture within all levels of the workforce

• Safety promotion activities within the SMS framework include:

Providing training Advocating/strengthening a positive safety culture System and safety communication and awareness Disseminating safety lessons learned

• Everyone has a role in promoting safety

SMSs are an evolutionary development of the traditional flight safety program that can significantly enhance the safety of an aviation operation. A successfully developed and implemented SMS must ensure that safety is a core value in an organization or flight operation and that safety is integrated into all management systems, including operational, maintenance, financial, and human resource management.

The Aviation Division uses an SMS to ensure that it consistently provides safe and efficient air transportation that meets organizational expectations. The Aviation Division SMS is described in this chapter.

Contained within this AOM are:

A. Safety Policy and Objectives;

B. SMS requirements;

C. SMS processes and procedures; and D. Accountabilities, responsibilities and authorities for SMS processes and procedures.

DEA does not have a standalone SMS Manual and instead relies on the AOM and stand-alone documents to fulfill the purpose of an SMS Manual. SMS operational records in the form of stand-alone documents may be integrated with other organizational documents (or documentation) maintained by the Aviation Division (IS-BAO 3.1.5.2). SMS operational records include SC minutes, Divisional Orders, maintenance contractor safety-related communiques, FRAT records, and anything that may be beneficial in the management of the SMS and furtherance of a positive safety culture.

The aforementioned arrangement has been deemed operationally preferable for the Aviation Division.

The AOM must be regularly reviewed at least annually by the SAC/AE and updated where appropriate.

These reviews must be documented via a memorandum to the SAC/AE. (IS-BAO 3.1.5.1)

2.1 SAFETY POLICY (IS-BAO 3.1)

The Aviation Division Safety Policy is presented below, and must be communicated, with visible endorsement, throughout the Aviation Division.

The Safety Policy must be reviewed by the Safety Officer and the SAC at least once each year to ensure it remains relevant and appropriate to the organization. Additional reviews may be conducted when significant changes occur in the organization.

2.1.1 Policy Statement (IS-BAO 3.1.1.1)

As a matter of practice, the Aviation Division will operate and train its crewmembers and professional support staff in accordance with recognized international standards and “best practices” known to the federal government aviation community and, as such, reflect the high standards of operational safety. It is my goal, as the Special Agent in Charge (SAC) and AE, to continuously strive to exceed these standards. As the SMS AE, I am accountable for the safety performance of the Aviation Division. This safety policy is issued in accordance with international and national requirements, to include FAA and ICAO requirements. All Aviation Division personnel must be familiar with the AOM and must comply with its provisions.

The Aviation Division aviation safety policy will receive the necessary human and financial resources for its implementation. The Aviation Division is dedicated to highly professional flight operations. To reduce operational risks, aviation safety management principles must be integrated across all aviation programs.

We will be persistent in continuously demonstrating high safety consciousness in our daily flight operations. Our decision-making, actions, and behaviors should reflect a positive safety culture. In furtherance of this, I advocate a “Just Culture” model, a cultural atmosphere of trust in which people are encouraged to provide safety-related information, but there is a clear distinction between acceptable and unacceptable behavior. Errors are understood, but willful violations, unsafe acts, gross negligence, reckless noncompliance, substance abuse, and criminal activity will not be tolerated.

This aviation safety policy is to be reviewed at least annually via the SC process (per IS-BAO 3.1.1.1.h) to ensure that it, and Aviation Division Safety Objectives, remain relevant and appropriate to the Aviation Division, and meet current DEA, FAA, ICAO, and IS-BAO requirements. This review will be done via the Safety Officer and SC process, and evidence of safety policy reviews will be documented in official correspondence to the SAC/AE. The SC process will also be used to define and communicate Safety Objectives that reflect Aviation Division commitment to maintain or continuously improve the overall effectiveness of the SMS. These Safety Objectives are to be reviewed and updated at least annually so that they remain relevant and appropriate in regards to our most significant risks.

This aviation safety policy is to be included in key documentation and communication media clearly visible or available to all personnel. All personnel involved in the SMS will have access to and be required to understand the safety policy (IS-BAO 3.1.1.1.g).

Gary W. Hill, Special Agent in Charge SMS Accountable Executive Aviation Division

2.1.2 Safety Accountability and Responsibilities (IS-BAO 3.1.2)

The AE, irrespective of other functions, has ultimate accountability for the safety performance of the Aviation Division. The AE for the Aviation Division is the SAC. Additionally, the SAC/AE is responsible for deciding the appropriate resources to be allocated in order to manage risk across the Aviation Division (IS-BAO 3.1.2.a)

All personnel, to include pilots, management, and maintenance, have the authority to make decisions regarding Aviation Division safety risk tolerability. In essence, “Safety is Everyone’s Business,” and the Aviation Division adopts a “See something, say something” approach.

Responsibilities of all flight operations personnel, including those responsibilities related with the SMS, are detailed in Sections 1.2 and 1.3. Additionally, flight crewmembers, aircraft maintenance personnel, and others involved in the operation are responsible for:

A. Adhering to directions contained in the operations manual and related manuals and procedures;

B. Making decisions within that framework that will contribute to the safety and efficiency of the aviation operation; and

C. Participating proactively in the SMS by:

1. Actively seeking, identifying, and reporting hazards and safety-risk management deficiencies;

2. Providing timely input to management to ensure that the safety-risk profile is accurate and up-to-date; and

3. When appropriate, applying hazard checklists and implementing appropriate mitigation techniques to make sound decisions.

2.1.3 Key Safety Personnel

2.1.3.1 Safety Officer

The SAC/AE, in conjunction with DEA’s Career Board, selects the Safety Officer. The Safety Officer has the experience, competence, and qualifications appropriate to the position, being individually responsible for and acting as a focal point for the implementation and maintenance of an effective SMS.

The SAC/AE is responsible for ensuring that the Safety Officer is properly trained and qualified to perform the duties of their role.

Safety Officer responsibilities, duties, and qualifications are detailed in Section 1.3.5.

2.1.3.2 Safety Council

An SC has been established with Area Safety Officers and their alternates from each area. The SC is purposed to provide support for the Safety Officer and ensure that the SMS is functioning properly. The SC will meet quarterly (every 90 days) and engage in safety-related reviews and dialogue regarding matters of concern. These matters may have been discovered via accident/incident reviews, via management communications, or via other pilots. IS-BAO compliance, regulatory matters, and related items are to be reviewed and discussed on a regular basis by the SC.

The SC is comprised of the following members:

A. SAC/AE, or a representative designated by the SAC/AE, who must ultimately lead the

SC;

B. Aviation Safety Officer (GS-14), who acts as facilitator with SC members, pilots, and other management staff; and

C. Guest observers, who represent specialized areas such as Training and Maintenance, may attend SC meetings, as deemed necessary.

The SC is responsible for:

A. Monitoring the effectiveness of the SMS and of its safety management processes;

B. Ensuring that any necessary corrective action is taken in a timely manner;

C. Monitoring safety performance against the Aviation Division’s safety policy and objectives;

D. Ensuring that appropriate resources are allocated to manage risk and achieve the desired safety performance across the Aviation Division (IS-BAO 3.1.2.1.a); and E.