2-1 CHAPTER 2. ELECTRONIC SIGNATURES
2.1 Electronic Signatures. Public Law (PL) 106-229, Electronic Signatures in Global and National Commerce Act (E-Sign Act), defines an electronic signature as an “electronic sound, symbol, or process, attached to or logically associated with a contract or other record and executed or adopted by a person with the intent to sign the record.”
Note: Throughout this AC, the term “electronic signature” refers to either electronic signatures or digital signatures. The specific electronic signature used depends on the end user’s preference and the system application.
2.1.1 Digital Electronic Signatures. Digital electronic signatures are electronic signatures that incorporate encryption and decryption technology. Digital electronic signatures that use this technology are typically the most secure because of the controls that are inherent with the technology itself.
2.1.1.1 Digital Cryptography. Digital electronic signature technology is based on Public Key Infrastructure (PKI) cryptography. PKI is a framework established to issue, maintain, and revoke public key certificates, which are essential for verifying identities and securing communications. Although different, the public and private keys in a key pair are mathematically linked. To ensure the authenticity of a digital electronic signature, PKI incorporates the use of a digital certificate to authenticate the signer’s identity. A digital certificate is issued by a trusted party known as a certificate authority (CA). The CA verifies the identity of the digital certificate holder and issues the digital certificate, assuming responsibility for vouching for the individual’s identity.
2.1.1.1.1 Public Key. A public key is used to verify a digital electronic signature that was generated using the corresponding private key. A more detailed definition of public key is contained in paragraph 1.8.13.
2.1.1.1.2 Private Key. The private key is used to create a digital electronic signature that may be verified using the corresponding public key. A more detailed definition of private key is contained in paragraph 1.8.12.
2.1.1.2 Controls. Digital electronic signatures that use PKI and incorporate digital certificate authentication contain controls that ensure the authenticity of the signature. This technology also ensures the signature is permanently embedded in the document, record, or data in such a way as to render the content unalterable without a new signature.
2.1.2 Key Elements of an Electronic Signature. The following key elements comprise an electronic signature and ensure its validity. In accordance with PL 106-229, an electronic document or record that contains a valid electronic signature or authentication may not be denied legal effect, validity, or enforceability solely because it is in electronic form.
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2.1.2.1 The signature is unique to the signer.
2.1.2.2 There are means to identify and authenticate a particular person as the signer.
2.1.2.3 The signature is under the sole control of the signer.
2.1.2.4 The electronic signature is executed or adopted by a person with the intent to sign.
2.1.2.5 The electronic signature is the result of a deliberate action taken by the signer to affix their signature.
2.1.2.6 The electronic signature prevents the signer from denying that they affixed a signature to a specific record, document, or body of data (nonrepudiation).
2.1.2.7 The electronic signature is permanent and the information to which it is attached is unalterable without a new signature.
2.1.2.8 A document, once signed, cannot be edited.
2.1.3 Electronic Signatures on Regulatory Records. An electronic signature that is affixed to any record required by 14 CFR part 91K, 121, 125, 133, 135, 141, 142, 145, or 147 will require a certificate holder to have an FAA-approved or FAA-accepted (depending on the regulatory requirement) electronic recordkeeping system. These systems are discussed in detail later in this AC.
2.2 Electronic Signature Process. A certificate holder who desires to use electronic signatures should have a definitive process that ensures all of the elements that comprise a valid electronic signature are present. For 14 CFR parts 91K, 121, 125, and 135, an electronic signature process is a requirement of Operations Specification (OpSpec) A025, Electronic Signatures, Electronic Recordkeeping Systems, and Electronic Manual Systems. The following guidelines apply to a certificate holder’s electronic signature process:
2.2.1 Signature Uniqueness. The electronic signature process ensures the uniqueness of the signature, which is difficult to duplicate.
2.2.2 A Means to Convey the Intent to Sign. The electronic signature process prompts the signer before their signature is affixed. The electronic signature block should contain a word or statement of intent that definitively conveys the signer’s intent to affix their signature. Examples of statements that do this include, but are not limited to:
• “Signed by,”
• “Certified by,”
• “Instructor’s signature/certification,”
• “Signature,”
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• “Authorized by,”
• “Signatory,”
• “Authentication,”
• “Acknowledged by,”
• “Acknowledgement,” and/or
• “Affirmed by.”
2.2.3 Notification of Signed Record or Document. The electronic signature process notifies the signer that the signature has been affixed.
2.2.4 Scope of Information. The electronic signature process clearly identifies the information being attested to by the signature.
2.2.4.1 The electronic signature process provides the signer with an opportunity to review the record before signing it.
2.2.4.2 The electronic signature process ensures the signer’s electronic signature is applied only to what the signer is able to review.
2.2.5 Nonrepudiation. The electronic signature process ensures the signer cannot deny having affixed the signature to a specific record, document, or body of data.
2.2.6 Security Protocols and Controlled Access. The electronic signature process contains security protocols and prevents unauthorized access to the system that affixes the signature to the intended documents or records. The electronic signature process should:
2.2.6.1 Ensure control of private keys and access codes. The process should ensure that the private key (for digital electronic signatures), or access to the electronic system that affixes the signature, is under the sole custody of the signer at all times.
2.2.6.2 Ensure that only the intended signer can affix their signature and prevent unauthorized individuals from certifying documents.
2.2.6.3 Prevent modifications to information/data and/or prevent the addition of entries to records or documents without requiring a new signature.
2.2.6.4 Contain restrictions and procedures to prohibit the use of an individual’s electronic signature when the individual leaves or terminates employment.
2.2.7 Electronic Signatures are Permanent and Unalterable. The electronic signature process ensures that each signature is a permanently affixed to the document or record in its original form and content at the time it was signed. Users should not be able to edit the contents of the document or record once the signer affixes their signature.
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2.2.8 Ability to Make Corrections to Signed Documents. The electronic signature process includes a means for a certificate holder to correct records or documents that were either electronically signed in error or were signed correctly but the information or data is in error. An electronic signature should be invalidated any time a superseding entry is made to correct the record or document.
2.2.9 Archivable. The electronic signature process has a secure means of archiving electronically signed documents.
2.2.10 Information Technology (IT) System Support. The electronic signature process includes IT system support for any hardware, software, or network that is part of the electronic signature process.
2.2.11 Policies and Procedures. The electronic signature process should include policies and procedures that address the key elements of an electronic signature and follow the guidelines contained in this chapter. The policies and procedures should be documented in the certificate holder’s manual system, and should include the following:
2.2.11.1 Regulatory Compliance. Policies and procedures should address how the electronic signature process ensures compliance with 14 CFR regulatory requirements as they apply to records and documents that require a signature.
2.2.11.2 Description of Electronic Signature Process. Policies and procedures should include a description of the electronic signature process.
2.2.11.2.1 OpSpec A025 requires each electronic signature process to be listed in the appropriate table of the OpSpec. A025 also requires the listing of the manual that contains the description of the electronic signature process. For those certificate holders who are not required to have manuals (e.g., 14 CFR part 135 single-pilot operators), a standalone electronic signature process document is an acceptable alternative, provided it is in an official document maintained by the certificate holder.
2.2.11.2.2 The description of the electronic signature process should explain how electronic signatures will be used and how electronic signatures are applied throughout the certificate holder’s operation (e.g., dispatch releases, training records, airworthiness releases, and maintenance actions).
2.2.11.2.3 The electronic signature process description should include the hardware, software, and network applications.
2.2.11.3 Responsible Personnel. Policies and procedures should identify the certificate holder’s personnel who have the authority and overall responsibility for both the electronic signature process and for controlling access to the computer software/application used in the process.
2.2.11.4 Defined Users. Policies and procedures should identify the authorized users of the electronic signature process. This includes identifying each user’s role
2-5 in the process, along with the records or documents each user is authorized to sign electronically.
2.2.11.5 Quality Control (QC) and Auditing. Policies and procedures should include QC and auditing measures that ensure that all of the key elements of electronic signatures are present and follow the guidelines contained in this AC.
2.2.11.6 How Changes to the Electronic Signature Process Changes Will Be Submitted to the FAA. Policies and procedures should address how the certificate holder will submit changes to the electronic signature process to the FAA for acceptance.
2.2.12 Training and User Instructions. The electronic signature process should include any training and instructions necessary to ensure that authorized users understand how to apply the electronic signature process.
2.3 Electronic Signature Authorization.
2.3.1 Submit an Application. Certificate holders will submit their application to use an electronic signature process to the responsible Flight Standards office in writing. The FAA will review the application package for accuracy and completeness and notify the certificate holder in writing of any deficiencies. Before the responsible Flight Standards office accepts the application package, the certificate holder will be required to correct all of the deficiencies. A certificate holder’s application package for authorization to use electronic signatures should include the following:
2.3.1.1 Letter of Intent. The application should contain the certificate holder’s Letter of Intent to use electronic signatures.
2.3.1.1.1 Estimated Date of Implementation. The letter should include the estimated date on which the certificate holder would like to begin using electronic signatures.
2.3.1.1.2 Primary Point of Contact (POC). The letter should include the certificate holder’s primary POC for the electronic signature process application.
2.3.1.2 The Documents and/or Records That Will Contain an Electronic Signature. The application should state specifically which documents or records the certificate holder desires to contain an electronic signature.
2.3.1.3 Manual Containing the Electronic Signature Process. The certificate holder should include a copy of the manual(s) (or document, for operations that do not require a manual) that contains the electronic signature process, its description, and the associated policies and procedures that address the key elements and guidelines described in paragraphs 2.1 and 2.2 above. For 14 CFR parts 91K, 121, 125, and 135, OpSpec A025 requires the manual (or document) to be listed in the OpSpec. Therefore, the FAA will not accept an
2-6 application package that does not include this manual for those regulatory parts.
2.3.2 Demonstration Phase. The FAA will require a certificate holder to demonstrate the electronic signature process. The items requiring demonstration will typically include at least the following:
2.3.2.1 How an Electronic Signature is Accomplished. The demonstration should show how an electronic signature is actually accomplished for each type of document or record for which a certificate holder desires to use an electronic signature.
2.3.2.2 Security Protocols and Prevention of Unauthorized Access and Modification. The certificate holder should demonstrate the following:
1. How the electronic signature process prevents unauthorized personnel from signing a document or record.
2. How the process prevents anybody other than the intended signer to affix their signature.
3. How modifications to a signed document or record are prevented without a new signature.
4. How the signature is permanently affixed to the document or record being signed.
2.3.2.3 QC Procedures. The certificate holder should demonstrate their QC procedures for ensuring the security and authenticity of electronic signatures.
2.3.3 Successful Completion of Application Process for Acceptance and Authorization. When a certificate holder successfully completes the application and demonstration process, the FAA will accept the electronic signature process and authorize its use by signing and issuing OpSpec A025.
2.3.4 Unsuccessful Application. If the certificate holder fails to submit an acceptable application or fails to successfully demonstrate the electronic signature process, the responsible Flight Standards office will reject the application and provide an explanation to the certificate holder in writing.
3-1 CHAPTER 3. ELECTRONIC RECORDKEEPING
3.1 Electronic Records. An electronic record should provide equivalent or better data integrity, accuracy, and accessibility to what would otherwise be provided by a paper record. In general, a record preserves the evidence of an event. It should contain enough information to clearly depict the event that took place. It is the certificate holder’s responsibility to address all 14 CFR requirements for their recordkeeping system(s) applicable to their operation(s).
3.1.1 Key Elements of an Electronic Record. The following key elements comprise a complete and valid electronic record:
3.1.1.1 The type of event that took place (e.g., training, maintenance performed, signing of a release, conduct of a flight, etc.).
3.1.1.2 For a training event, the information that shows compliance with regulatory requirements, such as the name of the course module or subject, the number of hours of instruction, whether the student passed or failed, etc.
3.1.1.3 When the event took place (e.g., the date and time).
3.1.1.4 Where the event took place (e.g., the station, training facility, maintenance facility, etc.).
3.1.1.5 Who was involved in the event (e.g., crewmembers, dispatchers, instructors, mechanics, etc.).
3.1.1.6 Aircraft type and registration number for pilot logbook records (when required by regulation).
3.1.1.7 Certification, verification, or authentication of the event, such as a signature, where required by regulation.
1. The record contains certification, verification, and/or authentication of the event (e.g., a signature), where required by regulation.
2. Where certification, verification, and/or authentication are required, authorization to use an electronic signature is also required.
3.1.1.8 Aircraft information, including each aircraft, airframe, engine, propeller, appliance, component, or part make and model (M/M) for maintenance records, as required by regulation.
3.1.1.9 Other items required by regulation. The record contains all other items required by the regulation mandating the record.
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3.2 Electronic Recordkeeping Systems. The following guidelines apply to each electronic recordkeeping system used by certificate holders:
3.2.1 Controlled Access. The electronic recordkeeping system contains safeguards against uncontrolled access.
3.2.2 Record Preservation. The electronic recordkeeping system ensures that each record is preserved and unalterable without the appropriate certification, verification, and/or authentication.
3.2.3 Protection of Confidential Information. The electronic recordkeeping system protects confidential information.
3.2.4 Prevention of Data Corruption. The electronic recordkeeping system prevents data corruption.
3.2.5 Information Technology (IT) System Support. The electronic recordkeeping system has IT support that includes hardware, network, and software applications and contains provisions for system outages and protects against the loss of record data.
3.2.6 Software Revision Control. The electronic recordkeeping system includes a process for revision control that monitors and tracks software revisions and how they affect the overall system and the records maintained on the system. This is a requirement of Operations Specification (OpSpec) A025, Electronic Signatures, Electronic Recordkeeping Systems, and Electronic Manual Systems, for 14 CFR parts 91K, 121, 125, and 135. The approved process will be included in the certificate holder’s manual containing the electronic recordkeeping system description, which is required to be listed in the appropriate table of A025.
3.2.6.1 The revision control process is included in the certificate holder’s manual containing the electronic recordkeeping system description, which is required to be listed in the appropriate table of A025.
3.2.6.2 The revision control process includes certificate holder notification to the responsible Flight Standards office whenever software revisions affect the following items:
• Record entry.
• Record display.
• Record access.
• Data quality.
3.2.7 Backup Measures. The electronic recordkeeping system includes backup measures to maintain and provide access to records in the event of a system failure. The backup measures provide a record equivalent to that which would be entered and/or otherwise
3-3 maintained on the primary system. Examples of backup methods include, but are not limited to:
• A separate electronic system,
• A backup server,
• External drives, and
• Printed records.
3.2.8 Policies and Procedures. Certificate holders with electronic recordkeeping systems should have policies and procedures that address the key elements and guidelines listed in this chapter. The policies and procedures should be documented in the certificate holder’s manual system. For those certificate holders who are not required to have manuals
(e.g., 14 CFR part 135 single-pilot operators), a standalone electronic recordkeeping system procedures document is an acceptable alternative, provided it is an official document maintained by the certificate holder. Policies and procedures should include at least the following:
3.2.8.1 Regulatory Compliance. Policies and procedures should address how the electronic recordkeeping system ensures compliance with the 14 CFR regulatory requirements as they apply to records.
3.2.8.2 Description of Electronic Recordkeeping System(s). Policies and procedures should include a description of the electronic recordkeeping system, including how it meets the guidelines contained in this chapter. For 14 CFR parts 91K, 121, 125, and 135, OpSpec A025 requires the manual containing the description of the electronic recordkeeping system to be listed in the OpSpec. For those certificate holders who are not required to have a manual, a standalone electronic recordkeeping system procedures document is an acceptable alternative, provided it is an official document maintained by the certificate holder. Each electronic recordkeeping system description should address the key elements and guidelines contained in paragraphs 3.1,
3.1.1, and 3.2 above, as well as the following:
3.2.8.2.1 The description of each electronic recordkeeping system should include the hardware, software, and network applications.
3.2.8.2.2 The description of the electronic recordkeeping system should include clear descriptions of each electronic recordkeeping system utilized by the certificate holder.
3.2.8.2.3 The description of the electronic recordkeeping system should identify the records maintained and stored on the system. Where more than one system is used, the description should specify the kind of record(s) maintained on each system.
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3.2.8.2.4 The description of the electronic recordkeeping system should include the software revision control process as outlined in paragraph 3.2.6 above.
3.2.8.2.5 The description of the electronic recordkeeping system should identify the electronic records for which the certificate holder will use an authorized electronic signature process.
3.2.8.3 Responsible Personnel. Policies and procedures should identify the certificate holder’s personnel who have the authority and overall responsibility for the electronic recordkeeping system and have overall responsibility for controlling access to network, computer, and software applications.
3.2.8.4 Defined Users. Policies and procedures should identify the authorized users of the electronic recordkeeping system. This includes identifying each user’s role.
3.2.8.5 Quality Control (QC) and Auditing. Policies and procedures should include QC and auditing measures that ensure all guidelines for the electronic recordkeeping system, including system backup measures, continue to be met.
3.2.8.5.1 QC and auditing should be accomplished at regular intervals
(e.g., semiannually, biannually, or annually).
3.2.8.5.2 QC and auditing should apply to any backup method or system.
3.2.8.5.3 QC and auditing should include verifying the continued accuracy of records maintained on the system.
3.2.8.5.4 Personnel responsible for accomplishing QC and auditing should be identified.
3.2.8.6 Procedures for Making Required Records Available to FAA and National Transportation Safety Board (NTSB) Personnel. Policies and procedures should address making records available to the FAA and NTSB. Regulations require certificate holders to provide records in accordance with 14 CFR § 119.59, and Title 49 of the Code of Federal Regulations (49 CFR) § 830.1.
While neither regulation stipulates the format in which records are to be provided, records should be provided in a manner that is acceptable to the requesting agency. FAA personnel assigned to a certificate holder with an electronic recordkeeping system may request a certificate holder to provide direct access to the electronic recordkeeping system for the purpose of inspecting regulatory records maintained on the system and listed in OpSpec A025. While providing the FAA direct access to electronic recordkeeping system is voluntary, providing the records themselves is mandatory.
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3.2.8.7 Instructor and Evaluator Access and Certifications. Policies and procedures should address access by regulatory personnel (e.g., instructors, check pilots, check flight engineers (FE), aircraft dispatcher supervisors, and flight attendant (F/A) supervisors) to electronically enter record information and certify all record entries for which they are responsible.
3.2.8.8 Electronic Authentication, Certification, Signature, Validation, or Endorsement. Policies and procedures should specify and ensure that the certificate holder is authorized in OpSpec A025 to use an electronic signature process whenever electronic records require validation, such as a signature, certification, endorsement, or authentication.
3.2.8.9 Transferring Data to Another System. Should technological advances make it desirable or necessary for a certificate holder to update their electronic recordkeeping system or transfer data to a new system, policies and procedures should ensure the continued integrity of record data when a certificate holder moves records from one system to another. This could entail running redundant systems for a brief period of time.
3.2.8.10 Continuity of Data Between Legacy and Electronic Systems. Policies and procedures should ensure continuity of data during transition from a legacy (hardcopy) system to an electronic system.
3.2.8.11 Continuity of Records for Maintenance Providers. Policies and procedures should ensure continuity of record data utilized and maintained by maintenance providers.
3.2.8.12 Maintenance Record Transfer. Policies and procedures should ensure that electronic maintenance records transferred with an aircraft meet the regulatory requirements for record transfer (refer to 14 CFR §§ 43.10, 91.419, 121.380a, and 135.441).
3.2.8.13 Changes to the Electronic Recordkeeping System. Policies and procedures should include details of when revisions to the electronic recordkeeping system (including new versions of system software) will be submitted to the FAA for approval or acceptance (depending on the regulatory requirement) prior to implementation.
3.2.9 Training and User Instructions. The electronic recordkeeping system should include any training and instructions that are necessary to ensure authorized users understand how to use the system.
3.3 Electronic Recordkeeping Authorization.
3.3.1 Submit an Application. Certificate holders will submit their application for an electronic recordkeeping process to the responsible Flight Standards office in writing. The FAA will review the application package for accuracy and completeness and notify the certificate holder in writing of any application deficiencies. Before the responsible Flight Standards
3-6 office accepts the application package, the certificate holder will be required to correct all of the deficiencies. A certificate holder’s application package for authorization to use an electronic recordkeeping system should include the following:
3.3.1.1 Letter of Intent. The application should contain the certificate holder’s Letter of Intent to use an electronic recordkeeping system.
3.3.1.1.1 The Name of the Electronic System(s). The letter should include the kinds of records along with the name of the electronic system to be used to maintain the records. There may be more than one system required to maintain various kinds of records.
3.3.1.1.2 Estimated Date of Implementation. The letter should include the estimated date on which the certificate holder would like to implement the electronic recordkeeping system.
3.3.1.1.3 Primary Point of Contact (POC). The letter should include the certificate holder’s primary POC for the electronic recordkeeping system application process.
3.3.1.2 The Manual Containing the Policies, Procedures, and Description of the Electronic Recordkeeping System. The application should include the manual(s) (or document for operations that do not require a manual) that contains the electronic recordkeeping system policies, procedures, and description as outlined in paragraph 3.2 above. For 14 CFR parts 91K, 121, 125, 133, and 135, OpSpec A025 requires the manual (or document) to be listed in the OpSpec. Therefore, the FAA will not accept an application package that does not include this manual for those regulatory parts.
3.3.1.3 The Records That Will Be Maintained in the System. The application should state specifically which records the certificate holder intends to maintain and access via the electronic recordkeeping system. The application should include a sample of each record type.
3.3.1.4 The Software Revision Control Process. The application should include the certificate holder’s proposed electronic recordkeeping system software revision control process.
3.3.1.5 The Data Backup. The application should describe the details of the certificate holder’s data backup system.
3.3.1.6 Electronic Signature Processes Used in the Electronic Recordkeeping System. The application should include a description of any electronic signature process associated with each electronic record category.