CHAPTER 3. PART 121 CERTIFICATION INFORMATION
3.1 General. This chapter contains information on the kind of operations that can be conducted under 14 CFR part 121.
3.2 Determining the Kind of Operation to be Conducted for Part 121. This chart is to assist an applicant in determining the requirements for each kind of operation: domestic, flag, or supplemental (see Figure 3-1 below):
Figure 3-1. Part 121 Domestic, Flag, or Supplemental Operations Flowchart 14 CFR Part 121 Airplanes or Powered-Lift Scheduled Airplanes or Powered-Lift pax seating > 9 or payload > 7,500 Ibs or *Yes- passenger -No→ pax seating > 30 operations payload > 7,500 Ibs turbojet OR Yes All cargo with payload Yes→ Supplemental Only locations > 7,500 bs within the U.S.
Yes No Domestic Flag
3.3 Kinds of Operations.
3.3.1 Domestic Operation. A domestic operation is any scheduled operation conducted by any person operating any airplane or powered-lift as described in paragraphs 3.3.1.1 and 3.3.1.2 below.
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3-2
3.3.1.1 Airplanes or Powered-Lift:
1. Turbojet-powered;
2. Airplanes or powered-lift having a passenger seat configuration of more than nine passenger seats, excluding each crewmember seat; or
3. Airplanes or powered-lift having a payload capacity of more than 7,500 pounds.
3.3.1.2 Locations:
1. Between any points within the 48 contiguous states of the United States or the District of Columbia;
2. Operations solely within the 48 contiguous states of the United States or the District of Columbia;
3. Operations entirely within any state, territory, or possession of the United States; or
4. When specifically authorized by the Administrator, operations between any point within the 48 contiguous states of the United States or the District of Columbia and any specifically authorized point located outside the 48 contiguous states of the United States or the District of Columbia.
3.3.2 Flag Operation. A flag operation is any scheduled operation conducted by any person operating any airplane or powered-lift as described in in paragraphs 3.3.2.1 and 3.3.2.2 below.
3.3.2.1 Airplanes or Powered-Lift:
1. Turbojet-powered;
2. Airplanes or powered-lift having a configuration of more than nine passenger seats, excluding each crewmember seat; or
3. Airplanes or powered-lift having a payload capacity of more than 7,500 pounds.
3.3.2.2 Locations:
1. Between any point within the State of Alaska or the State of Hawaii or any territory or possession of the United States and any point outside the State of Alaska or the State of Hawaii or any territory or possession of the United States, respectively;
2. Between any point within the 48 contiguous states of the United States or the District of Columbia and any point outside the 48 contiguous states of the United States and the District of Columbia; or
3. Between any point outside the United States and another point outside the United States.
3-3
3.3.3 Supplemental Operation. A supplemental operation is any common carriage operation for compensation or hire conducted with any aircraft described in paragraph 3.3.3.1 and the type of operation described in paragraph 3.3.3.2.
3.3.3.1 Airplanes or Powered-Lift:
1. Airplanes or powered-lift having a passenger seat configuration of more than 30 seats, excluding each crewmember seat;
2. Airplanes or powered-lift having a payload capacity of more than 7,500 pounds;
3. Each propeller-powered airplane or powered-lift having a passenger seat configuration of more than 9 seats and fewer than 31 seats, excluding each crewmember seat, that is also used in domestic or flag operations and that is so listed in the operations specifications (OpSpecs) as required by 14 CFR part 119, § 119.49(a)(4) for those operations; or
4. Each turbojet-powered airplane or powered-lift having a passenger seat configuration of 1 or more and fewer than 31 seats, excluding each crewmember seat, that is also used in domestic or flag operations and that is so listed in the OpSpecs as required by § 119.49(a)(4) for those operations.
3.3.3.2 Types of Operation:
1. Operations for which the departure time, departure location, and arrival location are specifically negotiated with the customer or the customer’s representative; or
2. All-cargo operations.
4-1 CHAPTER 4. PART 121 CERTIFICATION REQUIREMENTS
4.1 General. This chapter contains information on the certification requirements for 14 CFR part 121.
4.2 Preapplication Statement of Intent (PASI). The applicant submits FAA Form 8400-6, Preapplication Statement of Intent, to the responsible Flight Standards office (see Appendix A, References Information and Examples, f or the FAA’s website address to locate the responsible Flight Standards office). The responsible Flight Standards office will place the form in the Certification Services Oversight Process (CSOP). The CSOP allows the FAA time to make a decision to move the application forward based on assurance that the responsible Flight Standards office has sufficient staff to support the certification process. Once the application is approved and moved forward to the responsible Flight Standards office, the project will be staffed and the applicant will be notified that they may submit a formal application letter (see Appendix A for a list of items to be included in the formal application letter). That letter will request a tentative date for a formal application meeting. Upon submission of the request letter, the certification process will begin in earnest.
4.3 C ertification Process Briefing and Safety Management System (SMS) Workshop.
The first activity will consist of a certification process briefing and an SMS workshop where the applicant will develop a Preliminary Risk Assessment (PRA) process with the help of the Certification Project Team (CPT). During this briefing, the applicant will be informed of the documents, manuals, and programs that should be submitted as the process moves forward.
Note: The current edition of AC 120-92, Safety Management Systems for Aviation Service Providers, contains information on regulatory requirements, guidance, and methods of developing and implementing an SMS.
4.4 R equired Documentation. The applicant will submit the items in Table 4-1, Part 121 Preapplication Checklist, Section 1, through the FAA Safety Assurance System (SAS) External Portal at least 60 calendar days prior to the formal application meeting (refer to 14 CFR part 119, § 119.35).
Note: This checklist is primarily for the use of the applicant. The “Verified by” and “Date” columns are for the use of the applicant at their discretion. Further explanation of these requirements will be provided at the briefing and is available on the FAA’s 14 CFR Part 121 Air Carrier Certification web page at https://www.faa.gov/licenses_certificates/airline_certification/air_carrier.
4.5 Part 121 Preapplication Checklist (PAC). Table 4-1 below lists the documentation that should be submitted with the formal application.
4-2 Table 4-1. Part 121 Preapplication Checklist Section 1 Documentation Required at Formal Application Meeting Document/Manual: Verified by: Date:
Formal Application Letter Preapplication Statement of Intent (PASI) (FAA Form 8400-6) Completed Proposed Schedule of Events (SOE) List of Proposed Operations Specifications (OpSpecs) Required Management Personnel Résumé, Qualification Summary (QS), and Quality Audit Forms (QAF) Management Position: Verified by: Date:
Director of Maintenance QS QAF Director of Operations QS QAF Chief Pilot QS QAF Chief Inspector QS QAF Director of Safety QS QAF Applicant’s Accountable Executive (14 CFR part 5) Designation Letter
Section 2 Documentation Required at Formal Application Meeting Document/Manual: Verified by: Date:
Updated PASI (FAA Form 8400-6) Certification Project Manager (CPM)/Certification Team Leader (CTL) Acceptance of Preliminary Risk Assessment (PRA) Process
Evidence of Economic Authority Request Letters of Incorporation, etc.
Proposed Draft OpSpecs from Web-Based Operations Safety System (WebOPSS)
Self-Audited Element Design Data Collection Tools (ED DCT) NOTE: The ED DCT version must be current within 90 calendar days of this submission.
Initial Compliance Statement (to include 14 CFR parts 5, 117, 119, and 121). The Compliance Statement will be revised as manual references are changed throughout the certification process. This should be a living document after certification.
Company Manuals and Programs Initial Cadre Check Airman (ICCA) Training Plan Facility Lease Agreements or Proof of Ownership Outsourcing Contractual Agreements Aircraft Lease or Proof of Ownership Current Aircraft Equipment List Aircraft Interior Configuration Document Aircraft Information Form Status of Drug and Alcohol Program Status of Security Program Status of Environmental Assessment (EA) Status of Hazardous Materials (hazmat) Program and Hazmat Training Program
5-1 CHAPTER 5. PART 121 CERTIFICATION PROCESS
5.1 General. This chapter provides information on the phases of the certification process for 14 CFR part 121 applicants. The FAA utilizes a phase and gate system for certification projects. There are five phases and three gates in the certification process. All items of a particular phase(s) must be completed prior to proceeding past a gate, in accordance with 14 CFR part 119, § 119.35.
5.2 Phase 1: Preapplication. The applicant will send their Preapplication Statement of Intent (PASI) (FAA Form 8400-6) to the FAA through the Safety Assurance System (SAS) External Portal. Upon notification of a pending PASI, the responsible Flight Standards office will ensure that there is sufficient information to further process the preapplication.
The primary source of written communication will be conducted through the SAS External Portal.
Note: The SAS External Portal is a free, secure, web-ba sed application that allows for more direct, streamlined, and timely communication between certificate holders (CH) and applicants and the FAA. Some of the SAS External Portal benefits include the ability for CHs and applicants to review and submit information electronically, and to see where documents are in the FAA review process. Applicants can sign up for access to the SAS External Portal at https://sas.faa.gov. Appendix A, Reference Information and Examples, contains more information on signing up for access and using the SAS External Portal.
5.3 Phase 2: Formal Application. A formal application meeting is tentatively scheduled af ter the FAA receives all submissions required by the Preapplication Checklist (PAC).
The Certification Project Team (CPT) reviews the applicant’s PAC submissions for completeness, accuracy, and regulatory compliance before confirming the formal application meeting date. During the formal application meeting, the applicant’s management personnel must demonstrate knowledge of their air carrier’s system design, in accordance with § 119.35.
Note: Phase 2 ends when the CPT accepts the formal application package and all Phase 2 Gate requirements are met.
5.4 Phase 3: Design Assessment (DA). The CPT evaluates the design of the applicant’s operating systems to ensure their compliance with regulations and safety standards, including the obligation to provide service at the highest possible degree of safety in the public interest. This phase uses appropriate SAS Data Collection Tools (DCT) to collect data to be used to determine if the air carrier’s operational system design and Safety Risk Management (SRM) process meet regulatory requirements.
Note: Phase 3 ends when all programs have been accepted or approved, and all Phase 3 Gate requirements have been met.
5.5 Phase 4: Performance Assessment (PA). FAA aviation safety inspectors (ASI) use appropriate DCTs during this phase to collect data to be used to determine if the applicant’s systems are performing as intended and producing the desired results. This
phase requires the operation of an aircraft to aid in the assessment of the applicant's system design. Proving tests begin only after all Phase 4 Gate requirements are met.
Note: Phase 4 ends after the successful completion of the proving tests.
5.6 Phase 5: Administrative Functions. This phase provides for completion of all administrative functions (e.g., issuance of the Air Carrier or Operating Certificate and operations specifications (OpSpecs) and completion of certification reports).
Figure 5-1. Part 121 Certification Process Flowchart Pre-Application Phase 1 Application Phase 2 Evidence of the Department of Transportation (DOT) request for economic authority
• Required management personnel résumés, qualification summary, and quality audit forms List of proposed operations specifications (OpSpecs) paragraphs Initial compliance statement Phase 2 Gate Facility agreements Aircraft agreements Outsource agreements Acceptable Schedule of Events (SOE) Self-audited Element Design Data Collection Tools (ED DCT) Design Assessment All company manuals and programs Phase 3 Accepted Preliminary Risk Assessments (PRA) All programs and systems approved or accepted (as applicable) Training completed for all Phase 4 participants Phase 3 Gate Acceptable SOE for Phase 4 Acceptable compliance statement Accepted Safety Risk Management (SRM) process Safety Management System (SMS) design validation DCTs complete Performance Assessment Phase 4 Prior to Proving Flights Show cause order or final order received from DOT National Environmental Policy Act (NEPA) of 1969 documentation complete Aircraft conformity evaluation complete Phase 4 Gate Evacuation demonstration complete (if required) Prior to Ditching demonstration complete (if required) Proving Flights • Fatigue Education and Awareness Training (FEAT) and Fatigue Risk Management Plan (FRPM) approved
• Weight and Balance Control Program (WBCP) concurrence received
• Draft OpSpecs generated (including A317 and A319)
• Letter of Authorization (LOA) issued Performance Assessment Phase 4 Proving Flights Administrative Functions Phase 5 5-2
CHAPTER 6. PART 135 CERTIFICATION INFORMATION
6.1 General. This chapter contains information on the type and kind of operations that can be conducted under 14 CFR part 135.
Figure 6-1. Part 135 Commuter or On-Demand Operations Flowchart 14 CFR Part 135 Applicant wants to conduct scheduled passenger operations on a route 5 or more Yes times a week in airplanes, powered-lift, or rotorcraft. No Applicant wants to utilize airplanes or powered-lift that are:
1. 9 passenger seats or less,
2. 7,500 Ibs payload or less, and
3. Not turbojet-powered.
Applicant wants to utilize airplanes or powered-lift that are:
1. 30 passenger seats or less, and
2. 7,500 Ibs payload or less.
OR OR Wants to use rotorcraft. Wants to use rotorcraft.
Yes Yes No No Operations Operations conducted as a conducted as a part 135 commuter part 135 on-demand Operations must Operations must be conducted be conducted 14 CFR part 121 14 CFR part 121
6.2 Kinds of Part 135 Certificate Operating Authorities. An important consideration when starting the certification process is for the applicant to determine the kind of operations that they wish to conduct. Part 135 certificate holders may conduct on-demand operations or scheduled (commuter) operations. Each kind of operation, on-demand or commuter, has specific limitations associated with them, including the number of passenger seats 6-1
6-2 that can be installed on the aircraft, maximum payload limits, and whether turbojet aircraft can be used in that kind of operation.
6.2.1 On-D emand. Common carriage on-demand operations can be conducted in airplanes or powered-lift that have a passenger seating configuration of 30 seats or less and a maximum payload capacity of 7,500 pounds, or in any rotorcraft.
6.2.1.1 L imited Scheduled Operations. On-demand CHs can also conduct limited scheduled operations with the following additional restrictions:
1. Fewer than five round trips per week on at least one route between two or more points according to published flight schedules;
2. No turbojet aircraft can be used; and
3. Airplanes or powered-lift are limited to a maximum passenger seating configuration of nine seats or less.
6.2.1.2 Noncommon On-Demand Operations. Noncommon on-demand operations can be conducted with airplanes or powered-lift having a passenger seat configuration of fewer than 20 seats, excluding each crewmember seat, and a payload capacity of less than 6,000 pounds.
6.2.2 C ommuter . Commuter operations may be conducted in airplanes or powered-lift that have a maximum passenger seating configuration of nine seats and a maximum payload capacity of 7,500 pounds or in any rotorcraft. Commuter operations cannot be conducted in any turbojet aircraft. A CH with commuter authority can also conduct on-demand operations.
6.3 C lassifications of Part 135 Certificates. A part 135 CH has further options depending on the scope of the operations that they wish to conduct. The FAA authorizes the scope of operations through the issuance of operations specifications (OpSpecs). The following classifications of operations are available:
1. Single-pilot;
2. Single pilot in command (PIC);
3. Basic part 135; and
4. Standard part 135.
6.3.1 P art 135 Single- Pilot. A single-pilot operator is a CH that is limited to using only one pilot for all part 135 operations. That specific pilot is listed by name and certificate number on the FAA-issued OpSpecs. In general, the regulations do not require a single-pilot operator to develop and maintain manuals or training programs, or designate a Director of Operations (DO), Chief Pilot, or a Director of Maintenance (DOM).
However, they are required, in accordance with part 135, § 135.77, to designate the management officials responsible for operational control and to provide a hazardous materials (hazmat) training program.
6-3 Note: Under International Civil Aviation Organization (ICAO) Standards and Recommended Practices (SARPs), international flight operations (including overflight of international waters) require management, manuals, and a training program, regardless of scope of operation. As of the release date of this document, the FAA has not filed differences with ICAO on this SARP. Unless differences are filed with ICAO and accepted by the country in which a CH wishes to conduct operations, single-pilot operators will be required to have management, manuals, and a training program in order to conduct international operations.
6.3.2 Part 135 Single PIC. A single PIC operator is a CH that is limited to using only one PIC and up to three second-in-command (SIC) pilots for all part 135 operations. The PIC and the SIC(s) are listed by name and certificate number on the FAA-issued OpSpecs. The CH is authorized to use those pilots only in the specific duty positions listed in the FAA-issued OpSpecs. Single PIC CHs have limitations on the size of aircraft and the scope of operations that are allowed, which include:
1. Aircraft are limited to those type certificated with nine passenger seats or less;
2. Op erations are limited to the United States, Canada, Mexico, and the Caribbean; and
3. No Category (CAT) II or CAT III instrument approach operations are allowed.
Note 1: Although required by regulation, deviations may be granted for a required manual (§ 135.21), training programs (§ 135.341), and certain management positions (14 CFR part 119, § 119.69). For any deviations to be granted, the applicant or CH must show it can perform the operation with the highest degree of safety to receive deviations from these requirements.
Note 2: Under ICAO SARP, international flight operations (including overflight of int ernational waters) require management, manuals, and a training program, regardless of scope of operation. As of the release date of this document, the FAA has not filed differences with ICAO on this SARP. Unless differences are filed with ICAO and accepted by the country that a CH wishes to conduct operations, single PIC operators will be required to have management, manuals, and a training program if they conduct international operations.
6.3.3 Basic Part 135. A bas ic part 135 operator is a CH whose operation is limited in the size and scope of their operations. They have the following limitations:
1. Maximum of five pilots, including SICs;
2. Ma ximum of five aircraft can be used in operations;
3. Maximum of three different types of aircraft used;
4. Aircraft are limited to those type certificated with nine passenger seats or less;
5. Operations are limited to the United States, Canada, Mexico, and the Caribbean; and
6. No CAT II or CAT III instrument approach operations are allowed.
6-4 Note: Basic part 135 operators are required to develop and maintain manuals (§ 135.21), training programs (§ 135.341), and have the required management positions (§ 119.69). However, due to the limited size and scope of these CHs, specific limited deviations to those requirements may be authorized by the FAA.
For any deviations to be granted, the applicant or CH must show it can perform the operation with the highest degree of safety to allow deviations from these requirements.
6.3.4 S tandard Part 135. A standard part 135 operator is a CH that does not have pre-set limits on the available size or scope of their operations. The applicant, per § 119.51(c), must apply, qualify, and be granted FAA authorization through OpSpecs for each type of operation they wish to conduct. Standard part 135 operators are required to develop and maintain manuals, training programs, and have the required part 119 management positions.
6.3.5 Changes in Classification or Scope of Operations. As a CH’s business evolves, they may decide to change the classification or scope of their operation. Should the operator decide to request authority for a change in the classification or scope of their operations, an abbreviated certification process may be required, in accordance with § 119.41. Some examples of changes in scope that may require an abbreviated certification process include:
1. A ddition of a new category or class of aircraft;
2. Requesting additional areas of operations;
3. Adding operating authorities, such as air ambulance, helicopter air ambulance (HAA), scheduled passenger operations, etc.; or
4. Changing from one classification of certificate to another.
Note: The CH should contact the responsible Flight Standards office for a determination of any additional certification requirements whenever they wish to initiate a change in the classification or scope of their operations.
7-1 CHAPTER 7. PART 135 CERTIFICATION REQUIREMENTS
7.1 General. This chapter contains information on 14 CFR part 135 certification requirements. Some items may not be required depending on the classification of the part 135 certificate the applicant is seeking.
7.2 C ompany Ownership. In accordance with 14 CFR part 119, § 119.33, an applicant for any certificate issued under part 119 must be a citizen of the United States. If the proposed certificate holder (CH) will be owned by a partnership, each member of the partnership must be a U.S. citizen. If owned by a corporation or association created or organized under the laws of the United States or of any state, territory, or possession of the United States, the president and two-thirds or more of the board of directors and other managing officers must be citizens of the United States, and at least 75 percent of the voting interest must be owned or controlled by persons who are citizens of the United States or one of its possessions (refer to 14 CFR part 298, § 298.2).
7.3 Principal Base of Operation. The applicant must maintain a principal base of operation at the time of application, in accordance with § 119.47. This can be demonstrated via either documentation of ownership, lease agreement, or a letter of intent that it has established a physical location for the principal base of operation.
7.4 A ircraft. Per part 135, § 135.25(b), an applicant/CH must have the exclusive use of at least one aircraft that meets the requirements for at least one kind of operation. The applicant must either own or have a lease agreement for a period of 6 continuous months from the time of certification to satisfy the exclusive use requirement. The applicant may begin the certification process with a letter of intent showing that an aircraft will be purchased or leased, but in no circumstance will the certification process be completed until a suitable aircraft has been provided.
Note: O nce the scope of operation is determined, a written statement showing that the aircraft and its equipment conform to the requirements of part 135 subpart C must be provided. It should also include proof that the aircraft has the proper registration, airworthiness certification, identification, and is in an airworthy condition. The CH must also show that the aircraft meets the requirements for their proposed operations.
7.4.1 Aircraft Maintenance Requirements for Part 135 Operations. Certification of a part 135 operation requires applicants show and the Administrator find that the applicant can meet their responsibility to ensure the aircraft are airworthy at all times during operational use.
The part 135 CH’s operation and the aircraft’s passenger seating capacity will determine the maintenance, preventative maintenance, and alteration program needed by the CH.
7.4.1.1 A ircraft Type Certificated With Nine Passenger Seats or Less. Applicants utilizing these aircraft may use the aircraft inspections required or allowed under 14 CFR part 91, in accordance with § 135.411(a)(1). Whenever the Administrator finds part 91 aircraft inspections are not adequate, or upon application by a CH, an Approved Aircraft Inspection Program (AAIP) is