1. Purpose of This Order.
2. Audience.
3. Where to Find This Order.
4. Cancellation.
5. Explanation of Policy Changes.
A E U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION ORDER JO 1030.1D Air Traffic Organization Policy Effective Date: 02/02/2024 SUBJ: Air Traffic Organization Safety Guidance 1. Purpose of This Order. This order establishes the use of Air Traffic Organization (ATO) Safety Guidance (ATO-SG) documents and provides the policies and steps for their development, approval, and management.
2. Audience. This order applies to the ATO.
3. Where to Find This Order. This order is available on the Federal Aviation Administration (FAA) Orders and Notices webpage and on the FAA Air Traffic Plans and Publications webpage.
4. Cancellation. This order cancels FAA Order JO 1030.1C, Air Traffic Organization Safety Guidance , dated May 1, 2015.
5. Explanation of Policy Changes. This order clarifies the scope and use of ATO-SGs and modifies previous ATO-SG development, approval, and management policies.
a. Paragraph 7 has been revised to clarify the scope and use of ATO-SGs.
b. Paragraph 8 has been revised to include new criteria for validating the need for developing an ATO-SG.
c. Paragraph 9.b. has been modified to include new comment adjudication requirements during the development and coordination of the draft ATO-SG.
d. Paragraph 10 has been updated to indicate ATO-SG web posting to the ATO Safety Management System (SMS) Toolbox and to add the requirement for Safety and Technical Training (AJI) to publish a memorandum if an ATO-SG must be canceled. AJI will coordinate with the Office of Primary Responsibility (OPR) when an ATO-SG must be canceled.
e. Appendix A has been updated to reflect the changes made to the initiation and coordination process.
Distribution: Electronic Only Initiated By: AJI - 31
7. Scope of an ATO-SG.
8. ATO-SG Planning and Coordination.
02/02/2024 JO 1030.1D 6. Authority to Change This Order. The ATO Chief Operating Officer has delegated the authority to amend or cancel this order to the Vice President for Safety and Technical Training, AJI-0.
7. Scope of an ATO-SG. ATO-SGs are issued to provide guidance on recommended methods, procedures, and practices acceptable to the ATO for complying with policies within FAA directives. An ATO-SG may also be used to provide implementation guidance or to interpret or clarify safety policy and guidance contained in existing FAA directives. An ATO-SG cannot replace or supersede an existing FAA directive or publication.
8. ATO-SG Planning and Coordination.
a. Initiation. The Appendix A diagram describes the process for the initiation of a new ATO-SG. Any ATO Service Unit may initiate a proposal for a new ATO-SG. The OPR requesting the ATO-SG must submit a justification for the development of a new ATO-SG to the Safety Policy Team, AJI-311, via 9-AJI-SafetyPolicy@faa.gov.
b. Review and Validation.
(1) Validation. Upon receipt of the request, the AJI-311 Team Manager or a designee, on behalf of the Manager of the Safety Management Group, AJI-31, will confirm that an ATO-SG is the appropriate type of document to distribute the information. When necessary, the AJI-311 Team Manager will coordinate the proposal with the Director for Policy and Performance, AJI-3, and the Director for Safety, AJI-1. Based on the nature of the information provided by the OPR, the AJI-311 Team Manager may propose alternatives such as a notice, a new order, or an amendment to an existing order. The AJI-311 Team Manager must address the need for developing ATO-SGs based on the following questions: • Is there a safety benefit to developing an ATO-SG based on the proposal?
• Is the proposal a request for guidance on recommended methods, procedures, and practices acceptable to the ATO for complying with regulations?
• Is the proposal an interpretation or clarification of safety provisions contained in an ATO safety directive or manual that could not be implemented as a process, job aid, or standard operating procedure?
• Is the proposal a request for guidance on how to implement safety provisions contained in ATO directives and manuals?
(2) If the AJI-311 Team Manager, or designee, determines that the proposed ATO-SG does not meet the criteria based on the questions above, he/she will inform the OPR of the decision in writing.
(3) Process. The process flow of ATO-SG proposal validation is presented in Appendix A. After confirming that the creation of an ATO-SG is appropriate, the AJI-311 Team Manager will assign a team member to serve as the AJI-311 Point of Contact (POC). The AJI-311 POC is responsible for working with the OPR to develop, coordinate, and publish the ATO-SG.
9. ATO-SG Development, Publication, and Management.
02/02/2024 JO 1030.1D c. Timeline and Schedule. The AJI-311 POC will establish a tentative timeline with the OPR for development, coordination, and publication of the ATO-SG.
9. ATO-SG Development, Publication, and Management.
a. Writing the ATO-SG.
(1) Draft Development. The OPR will compile relevant information and coordinate with stakeholders to ensure that the ATO-SG being developed will align with the intended purpose and scope. After gathering information, the OPR must use the ATO-SG template, located on the ATO SMS Toolbox, to prepare the draft document. See Appendix B for template guidance.
(2) Internal Review. After developing the initial draft, the OPR will distribute the document to a select group of subject matter experts and stakeholders for an internal review. The OPR should allow sufficient time for this review and modify the document based on comments received. These comments must be adjudicated by the OPR.
(3) Quality Control Review. Upon completion of the internal review, the OPR will submit the draft ATO-SG and adjudicated comments to the AJI-311 POC to perform a quality control review. The AJI-311 POC will review the document to assess its compliance and determine whether it presents any potential conflicts with overall ATO SMS requirements. If needed, the AJI-311 POC may provide comments and revisions to better align the ATO-SG with SMS policy.
b. ATO-SG Coordination/Approval. The diagram in Appendix A describes the process for the formal coordination and approval of a new/revised ATO-SG.
(1) Coordination of ATO-SGs.
(a) ATO Service Units. The OPR must provide the AJI-311 POC with a list of all ATO Service Units to which the ATO-SG should be distributed for coordination. The period for ATO grid coordination is 10 working days. The AJI-311 POC will submit all comments received to the OPR for adjudication and editing if required.
(b) Acquisition Executive Board (AEB) and Acquisition System Advisory Group (ASAG) Approval of ATO-SG Information . If a proposed ATO-SG contains guidance related to the FAA Acquisition Management System, the AJI-311 POC must also submit the draft ATO-SG to the ASAG for review prior to AEB approval. The AJI-311 POC will submit all comments received to the OPR for adjudication and editing if required.
(c) Air Traffic Safety Oversight Services (AOV) Approval of ATO-SGs. If a proposed ATO-SG meets the criteria for AOV approval, as identified in FAA Order 1100.161, Air Traffic Safety Oversight , the AJI-31 Group Manager will coordinate the request. The AJI-311 POC will submit all comments received to the OPR for adjudication and editing if required.
10. Configuration Management of ATO-SGs.
02/02/2024 JO 1030.1D (d) Technical Editing. The AJI-311 POC will have the ATO-SG reviewed by a technical editor.
(2) ATO Approval of ATO-SGs. The proposed ATO-SG becomes effective upon signature by AJI-0.
10. Configuration Management of ATO-SGs.
a. Web Posting. Within five business days of approval, AJI must post ATO-SGs on the ATO SMS Toolbox, where all active ATO-SGs are maintained.
b. Numbering. AJI-311 must number and date each ATO-SG on the ATO SMS Toolbox sequentially, beginning with the calendar year.
c. Integration and Cancellation of ATO-SGs. AJI-311 will cancel ATO-SGs that are superseded by a new ATO-SG; if the ATO-SG is integrated into another document, AJI-311 will cancel the ATO-SG upon publication of the new document. Publications that incorporate an ATO-SG must explain in the cancelation section that the associated ATO-SG is being canceled.
AJI will coordinate with the OPR when an ATO-SG must be canceled. AJI will publish a memorandum informing the ATO of the cancelation and providing a rationale. AJI-311 will publish these memoranda on the ATO SMS Toolbox. AJI-311 will archive all canceled ATO-SGs, which will be made available upon request.
Jeff Planty Vice President Safety and Technical Training 02/02/2024 JO 1030.1D Appendix A Appendix A. ATO-SG Initiation and Coordination Process Figure A.1: ATO-SG Initiation and Coordination Process A-1 02/02/2024 JO 1030.1D Appendix B Appendix B. ATO-SG Template Guidance CONCURRENCES ROUTING SYMBOL
ATO-SG
Safety Guidance INITIALS/SIG U.S. Department of ATO - SG - YY - XX DATE Transportation Effective Date: xx/xx/xxxx Federal Aviation ROUTING SYMBOL Administration Air Traffic Organization Safety and Technical Training INITIALS/SIG SUBJECT: [Enter the subject of the document.]
DATE 1. PURPOSE: [Enter the purpose of the ATO-SG.]
ROUTING SYMBOL 2. AUDIENCE: [Identify who the ATO-SG affects.]
3. CANCELLATION: [If applicable, enter the document(s) that the ATO-SG cancels.]
INITIALS/SIG 4. APPLICABLE POLICY AND RELATED DOCUMENTS: [If applicable, identify the directive(s) or publication(s) that this ATO-SG is derived from and supports.
DATE 5. OFFICE OF PRIMARY RESPONSIBILITLY: [Provide the organization and office responsible for the ATO-SG content. Example: Air Traffic Services, AJT-3120 ROUTING SYMBOL UAS/Commercial Space Team.]
6. BACKGROUND: [Explain the background of and need for the ATO-SG.]
INITIALS/SIG DATE ROUTING SYMBOL (Approval Signature Block) Name (e.g., Franklin J. McIntosh) Title (e.g., Vice President) INITIALS/SIG Organization (e.g., Safety and Technical Training) DATE ROUTING SYMBOL INITIALS/SIG B-1 DATE 02/02/2024 JO 1030.1D Appendix C Appendix C. Acronyms and Abbreviations AEB Acquisition Executive Board AJI Safety and Technical Training AJI-1 Safety AJI-3 Policy and Performance AJI-31 Safety Management Group AJI-311 Safety Policy Team AOV Air Traffic Safety Oversight Services ASAG Acquisition System Advisory Group ATO Air Traffic Organization ATO-SG Air Traffic Organization Safety Guidance FAA Federal Aviation Administration OPR Office of Primary Responsibility POC Point of Contact SMS Safety Management System C-1