7-5 requirement, it is highly recommended that all CHs submit an MEL for each type of aircraft they will be operating.
7.14 Proving and Validation Testing. Section 135.145 states that no CH may operate a turbojet aircraft, or an aircraft for which two pilots are required for operations under visual flight rules (VFR), if it has not previously proved such an aircraft in part 135 operations in at least 25 hours of proving tests acceptable to the Administrator. Title 14 CFR part 194, § 194.306(f) requires a CH that has not previously proven a powered-lift in operations under part 135 be required to conduct at least 25 hours of proving tests acceptable to the Administrator.
7.14.1 Proving Tests. Aircraft proving tests are essentially full-scale simulations of revenue operations to demonstrate the ability to operate independently, safely, and in compliance with the applicable 14 CFR parts. Proving tests are comprehensive and focus on multiple areas. Examples of these areas include, but are not limited to, the following:
1. C abin safety,
2. Operational control,
3. Abnormal procedures,
4. MEL management,
5. Ability to operate the aircraft in the National Airspace System (NAS), and
6. Ability to safely operate the aircraft into en route airports that are in the applicant’s proposed areas of operations.
Note: Although pilot flight training may be conducted during part of the proving tests, no passengers may be carried except those needed to make the tests and those designated by the Administrator to observe the tests.
7.14.2 V alidation Testing. Validation testing is required to determine that a CH can conduct operations safely and in compliance with applicable regulatory standards. Validation tests are required for the following authorizations:
1. T he addition of an aircraft for which two pilots are required for operations under VFR, a turbojet airplane, or a powered-lift, if that aircraft or an aircraft of the same make or similar design has not been previously proved or validated in operations under this part (e.g., adding an aircraft requiring a new type rating or training program).
2. Operations outside U.S. airspace (including flight from the 48 contiguous states to Hawaii or Alaska, areas of magnetic unreliability (AMU), Extended Operations (ETOPS), and North Polar).
3. Class II navigation authorizations (e.g., long-range navigation system (LRNS)).
4. Special performance or operational authorizations (e.g., Category (CAT) II, CAT III, enhanced flight vision system (EFVS), Head-Up Display (HUD), and Required Navigation Performance (RNP)).
7-6 Note: Actual flights may not be required on some validations when an applicant can demonstrate competence and compliance with appropriate regulations without conducting a flight. The applicant or CH should contact the responsible Flight Standards office for a determination of the content of validation testing. The FAA may authorize proving tests and validation testing to be conducted simultaneously when appropriate.
7.15 Pilot Records Database (PRD). The PRD is used to facilitate the sharing of pilot records among air carriers and operators in a clearinghouse managed by the FAA. Operators or reviewing entities specified by 14 CFR part 111 can register to access the PRD and evaluate the available records for each individual pilot candidate, with the pilot’s consent, prior to making a hiring decision. Pilots employed by or seeking employment with an operator listed in part 111, § 111.1 may register for access to the PRD to access their own records. As of December 7, 2021, operators or reviewing entities required to review records in accordance with part 111 must use the PRD to obtain a pilot’s records. For more information on PRD, refer to the current edition of AC 120-68, Pilot Records Database and Pilot Records Improvement Act, and any additional information on the FAA PRD web page (see Appendix A, Reference Information and Examples).
7.16 Compliance Statement. An applicant is required to prepare and submit a compliance statement to the FAA for review. The purpose of the compliance statement is to ensure that the applicant adequately addresses applicable regulations during the certification process. The compliance statement must be in the form of a listing of all 14 CFR parts 5, 91, 119, and 135 regulations by part, section, paragraph, subparagraph, etc., that are applicable to the applicant’s proposed operation. Next to each regulation, the applicant should provide a specific reference to a manual or other document and may provide a brief narrative description that describes how the applicant will comply with each regulation. Applicants not required to prepare a manual and who do not have that information contained in another document are required to include a narrative in the compliance statement that describes how they will comply with each regulation.
Note 1: The compliance statement also serves as a master index to the a pplicant’s manual system to expedite the FAA’s review and approval of the operation and manual system. During the certification process, the compliance statement is considered a living document, and as changes are made to the applicant’s system, the compliance statement should be revised to reflect those changes. A copy of the final compliance statement is one of the documents that are required to be included in the certification report, which is maintained in the CH’s permanent file at the responsible Flight Standards office.
Note 2: See Appendix A for examples of the format of a compliance statement.
8-1 CHAPTER 8. PART 135 CERTIFICATION PROCESS
8.1 General. This chapter provides information on the phases of the certification process for 14 CFR part 135 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.
8.2 P hase 1: Preapplication. This phase starts when a prospective applicant first enquires about or requests an application for an Air Carrier or Operating Certificate. This phase can be initiated by individuals or organizations and may be in writing, or during an informal meeting with responsible Flight Standards office personnel. In the preapplication phase, the following actions will occur:
8.2.1 Applicants should sign up for access to the FAA’s Safety Assurance System (SAS) External Portal at https://sas.faa.gov.
Note: The SAS External Portal is a free, secure, web-based 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. Appendix A, Reference Information and Examples, contains more information on signing up for access and using the SAS External Portal.
8.2.2 T he applicant will then submit an FAA Form 8400-6, Preapplication Statement of Intent, to the responsible Flight Standards office. Applicants who have access to the SAS External Portal may submit the Preapplication Statement of Intent (PASI) to the responsible Flight Standards office via the SAS External Portal.
8.2.3 W hen the PASI is accepted by the FAA, the office manager will initiate the Certification Services Oversight Process (CSOP).
Note: CSOP is a process that the FAA uses to determine if it has the necessary resources to conduct an initial certification and the continued operational safety oversight for a certificate applicant. CSOP determines if the certification process will be assigned to begin, or if the applicant will be placed onto a wait list.
8.2.4 The applicant and their key management personnel will attend a preapplication meeting with the Certification Project Team (CPT) that was assigned to the certification project.
Note: The completion of the preapplication phase also completes Gate 1 of the certification process.
8.3 Phase 2: Formal Application. The formal application phase begins when the FAA certification team receives the formal application and all the required documents. Title 14 CFR part 119, § 119.35 states a person applying for an Air Carrier or Operating Certificate under part 119 must submit an application in the form and manner prescribed
8-2 by the Administrator and contain any information the Administrator requires the applicant to submit. Items that must be submitted include:
1. Formal application letter;
2. Schedule of Events (SOE);
3. Compliance statement;
4. Company manuals (i.e., General Operations Manual (GOM) and General Maintenance Manual (GMM)) (if required by the classification and/or scope of operation);
5. Training curricula (if required by the classification and/or scope of operation);
6. Management qualification attachments (e.g., résumés);
7. Documents of purchase, contracts, and/or lease attachments;
8. SAS Element Design Data Collection Tools (ED DCT) (scoped to the applicant’s proposed operation) (if applicable); and
9. Flight attendant (F/A) materials (if applicable).
Note: The formal application phase is concluded with the formal application meeting. This meeting gives the FAA and the applicant an opportunity to address any questions and resolve minor issues encountered in the certification process to this point. The completion of the formal application phase also completes Gate 2 of the certification process.
8.4 Phase 3: Design Assessment (DA). The DA phase is that part of the certification process when the applicant’s manuals and other documents are reviewed in depth to ensure compliance with applicable regulations and conformity to safe operating practices.
8.5 Phase 4: Performance Assessment (PA). In this phase, the certification team determines that the applicant’s proposed procedures and programs for training and directing personnel in the performance of their duties are effective by validating through observation and testing. The certification team will observe any required training, flight checks, and proving and validation tests. In this phase, the emphasis is on compliance with regulations and the operating procedures contained in the applicant’s manuals, as applicable. The completion of the PA phase also completes Gate 3 of the certification process.
8.6 Phase 5: Administrative Functions. In this phase, the FAA will issue the certificate and the operations specifications (OpSpecs) to the applicant. This action completes the certification process. The FAA will not, under any circumstances, certificate an applicant until the certification project manager (CPM) determines that the applicant is fully capable of fulfilling their responsibilities as charged by Title 49 of the United States Code (49 U.S.C.) and that the applicant will comply with 14 CFR.
Figure 8-1. Part 135 Certification Process Flowchart Preapplication Phase 1 Applicant:
• Submits the reapplication Statement of Intent (PASI) (FAA Form 8400-6).
Has key management and personnel available.
Makes application for Economic Authority (if required).
• Attends the preapplication meeting.
Gate 1 FAA:
Assigns a Certification Project Manager (CPM).
Assigns members to the Certification Project Team (CPT).
Conducts the reapplication meeting with the applicant and key management personnel.
Formal Application Phase 2 Applicant must submit the following:
• Formal application letter.
Initial compliance statement.
Schedule of Events (SOE).
Gate 2 Company manuals and training programs (as required).
Management qualification attachments (e.g., résumés).
Element Design Data Collection Tools (ED DCT) (if applicable).
Documentation for purchases, leases, and contracts.
Flight attendant (F/A) materials (if applicable).
Design Assessment Phase 3 Performance Applicant and FAA required actions:
Assessment Phase 4 • All manuals and other required documentation has been reviewed, accepted, or approved, as required.
• Training programs have been approved (as required).
Maintenance programs approved and aircraft conformity checks are completed.
Facilities evaluated and found satisfactory.
Crewmember and personnel training and testing has been completed.
Gate 3 Environmental Assessments (EA) are completed and accepted (as required).
Applicable economic authority has been complied with.
Proving and validation testing has been completed.
Final compliance statement is completed and accepted.
Administrative Functions Phase 5 8-3
Appendix A A-1 APPENDIX A. REFERENCE INFORMATION AND EXAMPLES A.1 Resources List.
1. Federal Aviation Administration (FAA) website: https://www.faa.gov.
2. Flight Standards District Office (FS DO) contact information:
https://www.faa.gov/about/office_org/field_offices/fsdo.
3. U.S. Department of Transportation (DOT) Aviation Policy w eb page:
https://www.transportation.gov/policy/aviation-policy/licensing/US-carriers.
4. FAA Air Transportation Division, Integration and Implementation Branch, Technical Programs Section website: https://www.faa.gov/about/office_org/headquarters_office s/avs/offices/afx/afs/afs200/afs260/exemptions.
5. Office of Aerospace Medicine (AAM), Drug Abatement Division:
https://www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam.
6. Pilot Records Database (PRD): https://www.faa.gov/regulations_policies/pilot_record s_database.
7. Title 14 of the Code of Federal Regulations (14 CFR): Aeronautics and Space:
https://www.ecfr.gov/current/title-14.
8. Advisory Circulars (AC): https://www.faa.gov/regulations_policies/advisory_circulars.
A.2 Certification Information.
1. FAA Order 8900.1, Flight Standards Information Management System: https://drs.faa .gov/browse/ORDER_8900.1/doctypeDetails.
2. The Certification Process:
a. Title 14 CFR Part 121 Certification:
• Order 8900.1, Volume 2, Chapter 3, The Certification Process—Title 14 CFR Part 121.
• Part 121 Certification web page: https://www.faa.gov/licenses_certificates/airl ine_certification/air_carrier.
b. Title 14 CFR Part 135 Certification:
• Order 8900.1, Volume 2, Chapter 4, The Certification Process—Title 14 CFR Part 135.
• Part 135 Certification web page:https://www.faa.gov/licenses_certificates/airli ne_certification/135_certification.
3. Certification Services Oversight Process (CSOP): Order 8900.1, Volume 10, Chapter 12, Section 1, Safety Assurance System: Certification Services Oversight Process.
Appendix A A-2
4. Deviations or Exemptions:
• Order 8900.1, Volume 2, Chapter 4, Section 6, Single-Pilot, Single Pilot-in- Command, and Basic Part 135 Operations.
• Order 8900.1, Volume 3, Chapter 2, Section 1, Exemptions, Deviations, Waivers, and Authorizations.
5. Check Pilots: Order 8900.1, Volume 3, Chapter 20, Check Pilot, Check Flight Engineer, Instructor, and Supervisor Programs for 14 CFR Parts 121, 125, and 135 Certificate Holders.
6. Proving and Validation Testing: Order 8900.1, Volume 3, Chapter 29, Proving and Validation Tests.
7. Safety Assurance System (SAS):
• SAS External Portal Training: https://www.faa.gov/sites/faa.gov/files/multimedia/ SAS_External_Portal_for_CHAs/story.html.
• SAS External Portal Login Request: https://sas.faa.gov/sas.external.portal/.
• SAS External Portal Information Guide: https://www.faa.gov/sasdeployment/sasexternal-portal-information-guide.
• SAS Master List of Functions Chart: Order 8900.1, Volume 10, Chapter 1, Section 2, Table 10-1-2B, Master List of Functions.
• SAS Data Collection Tools (DCT) System or Subsystem Performance Assessment (SPA)/Element Performance Assessment (EPA)/Element Design Assessment (EDA): https://drs.faa.gov/browse/SAS_DCT/doctypeDetails.
A.3 Forms. FAA Form 8400-6, Preapplication Statement of Intent (PASI):
https://www.faa.gov/forms/index.cfm/go/document.information/documentID/1031190.
A.4 Formal Application Letter. The formal application letter does two things. First, it serves as a formal application for either an Air Carrier Certificate or an Operating Certificate, and secondly it serves as the vehicle to transmit the package of required documents. The formal application letter must, per Title 49 of the United States Code (49 U.S.C.)
§ 46103(c):
1. Contain the full and official name of the applicant.
2. Be signed by the owner, when applying as an individual or sole proprietorship; all partners, when applying as a partnership; or an authorized officer(s), when applying as an organization, such as a company of corporation.
3. Contain the physical location address of the applicant’s intended primary operating location. The applicant mailing address must be included in the formal application letter if different from its physical location address.
4. Include the full name and address of the applicant’s agent for service as required by 49 U.S.C. § 46103(c).
Appendix A A-3
5. Confirm the identity of key management personnel, such as the general manager, Director of Operations (DO), Director of Maintenance (DOM), Chief Pilot, and Chief Inspector, as applicable.
6. Include any anticipated request(s) for deviation from the qualification requirements of management personnel. It is essential, however, to make a request for the deviation and the justification for that deviation in a separate letter (see “Deviations or Exemptions” in paragraph A.2 above).
A.5 Compliance Statement Format Examples.
A.5.1 Format example of an applicant’s General Operations Manual (GOM) page and paragraph references contained in the compliance statement:
• Section 135.244, Operating Experience:
1. GOM page 217, paragraph 237;
2. GOM page 218, paragraph 238;
3. GOM page 219, paragraph 240; and
4. Pilot crewmembers must acquire operating experience as follows:
o GOM page 220, paragraph 241, Training Manual, page 25; and o GOM page 221, paragraph 242, Training Manual, page 26.
A.5.2 Format example of an applicant’s GOM page and paragraph reference that also contains explanatory text contained in the compliance statement:
• Section 135.65, Reporting Mechanical Irregularities.
• The GOM, page 37-5, paragraph 35, instructs the PIC on the requirements for, and methods of completing, the aircraft discrepancy log. The PIC is required to review the log before each flight and to ascertain the status of each previous entry.
Advisory Circular Feedback Form If you find an error in this AC, have recommendations for improving it, or have suggestions for new items/subjects to be added, you may let us know by contacting the Air Transportation Division at 9-AFS-200-Correspondence@faa.gov or the Flight Standards Directives Management Officer at 9-AWA-AFB-120-Directives@faa.gov.
Subject: AC 120-49B, Parts 121 and 135 Certification Date: _____________________ Please check all appropriate line items:
An erro r (pro ce dural or typographical) has been noted in paragraph ____________ on page _______.
Recommend paragraph _____________ on page __________ be changed as follows:
______________________________________________________________________ ______________________________________________________________________ In a future change to this AC, please cover the following subject:
(Briefly describe what you want added.)
______________________________________________________________________ ______________________________________________________________________ Other comments:
______________________________________________________________________ ______________________________________________________________________ I would like to discuss the above. Please contact me.
Submitted by: Date: ______________________