5-2 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 and Program Tracking and Reporting Subsystem (PTRS) reporting requirements).
Figure 5-1. Part 121 Certification Process Flowchart Preapplication Phase 1 Application Evidence of DOT Request for Economic Authority Phase 2 Required Management Personnel Résumés, Qualification Summary, and Quality Audit Forms List of Proposed Operations Specifications (OpSpecs) Paragraphs Initial Compliance Statement Facility Agreements Phase 2 Gate Aircraft Agreements
• Outsource Agreements
• Acceptable Schedule of Events (SOE)
• Self-Audited Element Design Data Collection Tools (ED DCTs) 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 Acceptable SOE for Phase 4 Phase 3 Gate 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 of 1969 (NEPA) Documentation Complete Aircraft Conformity Evaluation Complete
• Evacuation Demonstration Complete (if required) Phase 4 Gate • Ditching Demonstration Complete (if required) Prior to Proving Flights Fatigue Education Awareness Training (FEAT) and Fatigue Risk Management Plan (FRMP) 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 5-3
6-1 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 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 times a week in airplanes or rotorcraft.
Applicant wants to utilize airplanes that are:
1. 9 Passenger Seats or fewer, and
2. 7500 Ibs. Payload or le ss, and
3. Not TurboJet powered.
OR Wants to use Rotorcraft.
Operations must be conducted 14 CFR Part 121 Operations conducted as a Part 135 Commuter YES Applicant wants to utilize airplanes that are:
1. 30 Passenger Seats or fewer, and
2. 7500 lbs. Payload or le ss.
OR Wants to use Rotorcraft.
YES NO NO Operations conducted as a Part 135 On-Demand Operations must be conducted 14 CFR Part 121 YES NO
6-2
6.2 Kinds of 14 CFR 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 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-Demand. Common carriage on-demand operations can be conducted in airplanes 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 Limited Scheduled Operations. On-demand certificate holders can also conduct limited scheduled operations with the following additional restrictions:
Fewer than five round trips per week on at least one route between two or more points according to published flight schedules;
No turbojet airplanes can be used; and Airplanes 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 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 Commuter. Commuter operations may be conducted in airplanes 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 certificate holder with commuter authority can also conduct on-demand operations.
6.3 Classifications of Part 135 Certificates. A part 135 certificate holder 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 Part 135 Single Pilot. A single-pilot operator is a certificate holder that is limited to using only one pilot for all part 135 operations. That specific pilot is listed by name and
6-3 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 to designate the management officials responsible for operational control, and to provide a hazardous materials (hazmat) training program.
Note: Under International Civil Aviation Organization (ICAO) Standards and Recommended Practices (SARP), 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 certificate holder 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 certificate holder 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 certificate holder is authorized to use those pilots only in the specific duty positions listed in the FAA-issued OpSpecs. Single PIC certificate holders 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 (TC) with nine passenger seats or less;
2. Operations are limited to the United States, Canada, Mexico, and the Caribbean; and
3. No Category II (CAT II) or Category III (CAT III) instrument approach operations are allowed.
Note 1: Although required by regulation, deviations may be granted for a required manual, training programs, and certain management positions. In order for a deviation to be granted, the operator must show safety will allow a deviation from these requirements.
Note 2: Under ICAO SARP, 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 that a certificate holder 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 basic part 135 operator is a certificate holder whose operation is limited in the size and scope of their operations. They have the following limitations:
6-4
1. Maximum of five pilots, including SICs;
2. Maximum of five aircraft can be used in operations;
3. Maximum of three different types of aircraft used;
4. Aircraft are limited to those TC’d with nine passenger seats or fewer;
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.
Note: Basic part 135 operators are required to develop and maintain manuals, training programs, and have the required management positions. However, due to the limited size and scope of these certificate holders, specific limited deviations to those requirements may be authorized by the FAA. In order for a deviation to be granted, the operator must show safety will allow a deviation from these requirements.
6.3.4 Standard Part 135. A standard part 135 operator is a certificate holder that does not have pre-set limits on the available size or scope of their operations. The applicant, per 14 CFR part 119, § 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 certificate holder’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. Some examples of changes in scope that may require an abbreviated certification process include:
1. Addition 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 certificate holder should contact the managing Flight Standards District Office (FSDO) or certificate management office (CMO) 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 Company Ownership. An applicant for any certificate issued under 14 CFR part 119 must be a citizen of the United States. If the proposed certificate holder 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.
7.3 Principal Base of Operation. The applicant must maintain a principal base of operation at the time of application. 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 Aircraft. Per part 135, § 135.25(b), an applicant/certificate holder 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: Once 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 should be provided. This will include proof that the aircraft has the proper registration, airworthiness certification, identification, and is in an Airworthy condition. The certificate holder 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 certificate holder’s operation and the aircraft’s passenger seating capacity will determine the maintenance, preventative maintenance, and alteration program needed by the certificate holder.
7.4.1.1 Aircraft Type Certificated (TC) With Nine Passenger Seats or Less.
Applicants utilizing these aircraft may use the aircraft inspections required or allowed under 14 CFR part 91. Whenever the Administrator finds part 91 aircraft inspections are not adequate, or upon application by a certificate holder, an Approved Aircraft Inspection Program (AAIP) is authorized with
7-2 Operations Specification (OpSpec) D073, Approved Aircraft Inspection Program (AAIP). An applicant who is not otherwise required, may elect to maintain its aircraft under a Continuous Airworthiness Maintenance Program (CAMP). Additional information regarding these programs is found in the current editions of AC 120-16, Air Carrier Maintenance Programs, and AC 120-79, Developing and Implementing an Air Carrier Continuing Analysis and Surveillance System. When a CAMP is found to meet the full part 135 requirements, its use is authorized with OpSpec D072, Aircraft Maintenance—Continuous Airworthiness Maintenance Program (CAMP) Authorization.
7.4.1.2 Aircraft TC’d With 10 Passenger Seats or More. Applicants utilizing these aircraft must maintain them under a CAMP, which is authorized with OpSpec D072. Additional information can be found in AC 120-16 and AC 120-79.
7.5 Insurance. Specific requirements exist for the amount of insurance coverage a part 135 certificate holder must carry. Prior to being authorized to commence part 135 operations, the applicant must have the required insurance coverage and file the required forms with the FAA’s Technical Programs Branch, 800 Independence Avenue SW, Washington, DC 20591. The forms that are required are determined by the kind of operating authority as listed below:
1. Commuter. Office of the Secretary of Transportation (OST) Form 6410, U.S. Air Carriers—Certificate of Insurance.
2. On-Demand. OST Form 4507, Air Taxi Operator Registration and Amendments Under Part 298 of the Regulations of the Department of Transportation, and OST Form 6410.
Note: Copies of these forms and additional information on insurance requirements can be found at the Technical Programs Branch website (see Appendix A).
7.6 Economic Authority. Applicants who are applying to conduct interstate commuter operations are required to obtain economic authority from the U.S. Department of Transportation (DOT). The DOT issues the economic authority when it determines that an applicant is “fit, willing, and able” to conduct operations. Because this is a requirement to complete certification, an applicant should apply for the economic authority determination as early as possible to avoid the possibility of delays. More information and forms are located at the DOT Aviation Policy website (see Appendix A).
7.7 Management Personnel. In order to become certificated as a part 135 certificate holder, an applicant must designate (by name) any individuals required by part 119 who will serve as the Director of Operations (DO), chief pilot, and Director of Maintenance (DOM). For the specific experience requirements required to serve in these positions, refer to part 119, § 119.71.
7-3 Note: If applying for certification as either a “Basic” or “Single PIC” certificate holder, an applicant may request a deviation for certain management positions.
7.8 Manuals. At the time of formal application, all required company manuals and training programs must be submitted to the FAA for review and approval or acceptance.
7.8.1 General Operations Manual (GOM). The certificate holder’s GOM must contain the certificate holder’s operations policies and procedures. Crewmembers are required to comply with the operations policies, methods, and procedures contained in that manual.
Section 135.23 lists items that are required to be included in the GOM.
Note: Certificate holders that operate aircraft with nine or less passenger seats generally include their maintenance procedures in the GOM.
7.8.2 General Maintenance Manual (GMM). A separate GMM is required for certificate holders that operate aircraft TC’d with 10 or more passenger seats. The GMM per §§ 135.425 and 135.427, must include the following three sections:
1. Administrative policies and procedures;
2. Detailed instructions for the administration, management, and accomplishment of the elements of the certificate holder’s maintenance program; and
3. Technical data that describes maintenance standards, methods, techniques, and procedures.
Note: For additional guidance relating to maintenance manual requirements, refer to §§ 135.21 and 135.427, as applicable.
7.8.3 Airplane Flight Manual (AFM) and Rotorcraft Flight Manual (RFM). Section 135.81(c) requires that certificate holders maintain a current flight manual (or the equivalent information for aircraft that were certificated without a flight manual) for each aircraft used in their air transportation operations. To satisfy those requirements, certificate holders may use the approved AFM or RFM, as applicable. Certificate holders may also develop a Company Flight Manual (CFM), which must be reviewed and approved by the FAA, per § 135.81(c).
7.9 Hazardous Materials (hazmat) Manual: Will-Carry or Will-Not-Carry Program.
All certificate holders are required to submit for FAA acceptance and approval a hazmat operations manual and training program, even if they do not intend to carry hazmat. The definition of “hazmat employer” and “hazmat employee” can be found in Title 49 of the Code of Federal Regulations (49 CFR) part 171, § 171.8, and the training requirements are found in 49 CFR part 172 subpart H. For additional information on hazmat requirements refer to 14 CFR part 135 subpart K.
7.10 Training Programs. An applicant who uses more than one pilot in their operation, or an applicant that only uses one pilot and operates internationally or in international waters, is required to submit a training program for their pilot crewmembers and, if applicable,
7-4 flight attendants (F/A). The training curriculum (completed to the extent possible) must be included with the formal application letter. Training curricula must include at least the following curriculum segments, as applicable, for each crewmember position:
• Basic indoctrination training.
• Emergency training.
• Crew Resource Management (CRM) training.
• Initial ground and flight training.
• Upgrade ground and flight training.
• Recurrent ground and flight training.
• Requalification training.
• Differences ground and flight training.
• Transition ground and flight training.
• Hazmat training.
Note: For additional information on training curriculum requirements, refer to part 135 subpart H.
7.11 Drug and Alcohol Program Requirements. The DOT rule 49 CFR part 40 describes required procedures for conducting workplace drug and alcohol testing for the federally regulated transportation industry. All air carriers and operators requiring certification by part 119 and authorized to conduct part 135 operations must have a drug and alcohol program. This program is administered by the Office of Aerospace Medicine (AAM), Drug Abatement Division (AAM-800). Refer to 14 CFR part 120 for additional information.
7.12 Transportation Security Administration (TSA) Security Program Requirements for Part 135 Certificate Holders. Applicants who intend on conducting operations under part 135 may be required to adopt and implement a TSA-approved security program. The size and scope of the security program required will be based on several factors including, but not limited to, the kind of operations conducted, maximum certificated takeoff weight of the aircraft, aircraft seating capacity, and whether or not they will enplane or deplane passengers within a sterile area of an airport. For specific security program applicability and requirements, refer to 49 CFR part 1544, § 1544.101(a) through (i). For additional information regarding TSA security program requirements and to find out how to apply for approval of your program, contact the TSA at Charters-AirCargo-S@tsa.dhs.gov.
7.13 Minimum Equipment List (MEL). In the absence of an approved MEL and an appropriate OpSpec authorization, any aircraft listed on a part 135 OpSpec that has inoperative instruments or equipment may not be operated. Although not an absolute requirement, it is highly recommended that all certificate holders submit an MEL for each type of aircraft they will be operating.
7-5
7.14 Proving and Validation Testing. Section 135.145 states that no certificate holder 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.
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. Cabin 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 Validation Testing. Validation testing is required to determine that a certificate holder is capable of conducting operations safely and in compliance with applicable regulatory standards. Validation tests are required for the following authorizations:
1. The addition of an aircraft for which two pilots are required for operations under VFR or a turbojet airplane, 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 II (CAT II), CAT III, enhanced flight vision system (EFVS), Head-Up Display (HUD), and Required Navigation Performance (RNP)).
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 certificate holder should contact the managing Flight Standards District Office (FSDO) or certificate management
7-6 office (CMO) 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 Improvement Act of 1996 (PRIA). PRIA was enacted to ensure that air carriers adequately investigate a pilot’s background before allowing that pilot to conduct commercial air carrier flights. Under PRIA, an air carrier cannot place a pilot into service until after it obtains and reviews the last 5 years of the pilot’s records as specified in PRIA. For more information on PRIA, refer to the current edition of AC 120-68, Pilot Records Improvement Act of 1996, and any additional information located at the FAA PRIA webpage (see Appendix A).
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 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 applicant’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 certificate holder’s permanent file at the FSDO.
Note 2: See Appendix A for examples of the format of a compliance statement.