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:
8-2
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.
Advisory Circular Feedback Form IIf 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-AWA-AVS-AFS-200-Air-Transportation-Division@faa.gov or the Flight Standards Directives Management Officer at 9-AWA-AFB-140-Directives@faa.gov.
Subject: AC 120-49A, Parts 121 and 135 Certification Date: _____________________
Please check all appropriate line items:
An error (procedural or typographical) has been noted in paragraph ____________ on page _______.
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