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.
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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.
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 Phase 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 Flight Standards District Office (FSDO) 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 and applicants and the FAA. Some of the SAS External Portal benefits include the ability for certificate holders and applicants to review and submit information electronically, and to see where documents are in the FAA review process. Appendix A contains more information on signing up for access and using the SAS External Portal.
8.2.2 The applicant will then submit an FAA Form 8400-6, Preapplication Statement of Intent, to the local FSDO. Applicants who have access to the SAS External Portal may submit the Preapplication Statement of Intent (PASI) to the local FSDO via the SAS external portal.
8.2.3 When the PASI is accepted by the FAA, the office manager will initiate the Certification Service 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. Items that must be submitted include:
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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 his or her 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 Preapplication 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.
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 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.
• Fed eral Aviation Administration (FAA) Website: http://www.faa.gov/.
• Flight Standards District Office (FSDO) contact information:
http://www.faa.gov/about/office_org/field_offices/fsdo/.
• U.S. Department of Transportation (DOT) Aviation Policy Website:
https://www.transportation.gov/policy/aviation-policy/licensing/US-carriers.
• FAA Technical Programs Branch Website:
https://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afx/afs/afs200 /afs260/exemptions/.
• Office of Aerospace Medicine (AAM), Drug Abatement Division (AAM-820):
https://www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam/drug_alc ohol/about/.
•Pilot Records Improvement Act of 1996 (PRIA):
https://www.faa.gov/pilots/lic_cert/pria/forms_docs/.
• Title 14 of the Code of Federal Regulations (14 CFR): Aeronautics and Space:
https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title14/14tab_02.tpl.
• Advisory Circulars (AC):
https://www.faa.gov/regulations_policies/advisory_circulars/.
A.2 Certification Information.
1. F AA Order 8900.1, Flight Standards Information Management System (FSIMS): http://fsims.faa.gov.
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 Webpage:
https://www.faa.gov/about/initiatives/atos/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 Webpage:
https://www.faa.gov/about/initiatives/atos/135_certification/.
3. Certification Services Oversight Process (CSOP): Order 8900.1, Volume 11, Chapter 13, Section 1, Flight Standards Certification Services Oversight Process.
Appendix A A-2
4. Deviations or Exemptions:
• Order 8900.1, Volume 2, Chapter 4, Section 6, Safety Assurance System: 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 Airman, Instructor, and Supervisor Programs for Part 121 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:
http://fsims.faa.gov/wdocs/sas/guide/training/story_flash.html.
• SAS External Portal Login Request: https://sas.faa.gov/sas.external.portal/.
• SAS External Portal Information Guide:
http://fsims.faa.gov/wdocs/sas/guide/story_flash.html.
• SAS Master List of Functions Chart:
Order 8900.1, Volume 10, Chapter 1, Section 2, Table 10-1-2B, Mapping of Program Elements to Master List of Functions (SAS Approved Numbering).
• SAS Data Collection Tools (DCT) System or Subsystem Performance Assessment (SPA)/Element Performance Assessment (EPA)/Element Design Assessment (EDA):
http://fsims.faa.gov/PICResults.aspx?mode=Publication&doctype=SAS%20DCT.
A.3 Forms. FAA Form 8400-6, Preapplication Statement of Intent (PASI):
https://www.faa.gov/forms/index.cfm/go/document.information/documentID/186277.
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 “Deviation or Exemptions,” 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:
GOM page 217, paragraph 237;
GOM page 218, paragraph 238;
GOM page 219, p aragraph 240; and Pilot crewmembers must acquire operating experience as follows:
o GOM page 220, paragraph 241, Training Manual, page 25;
an d 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.