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.
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3.3.2 Demonstration Phase. The FAA will require a certificate holder to demonstrate the electronic recordkeeping system. The items requiring demonstration will typically include at least the following:
3.3.2.1 Record Entry. The certificate holder should demonstrate how a record is entered into the system.
3.3.2.2 Security Protocols. The demonstration should include the following security and prevention protocols:
1. How the electronic recordkeeping system process prevents unauthorized access.
2. How the electronic recordkeeping system prevents unauthorized changes/modifications to records.
3. For electronic records that require authentication, signature, validation, or endorsement, how modifications to a record are prevented without a new authentication, signature, validation, or endorsement.
3.3.2.3 QC Procedures. The certificate holder should demonstrate how the QC and auditing procedures work.
3.3.3 Successful Completion of Application Process for Approval or Acceptance and Authorization. When the certificate holder successfully completes the application and demonstration process, the FAA will accept or approve (depending on the regulatory requirement) the electronic recordkeeping system and authorize their use by signing and issuing OpSpec A025.
3.3.4 Unsuccessful Application. If the certificate holder fails to submit an acceptable application or fails to successfully demonstrate the electronic recordkeeping process, the responsible Flight Standards office will reject the application and provide an explanation to the certificate holder in writing.
4-1 CHAPTER 4. ELECTRONIC MANUAL SYSTEMS
4.1 Electronic Manuals. Electronic manuals may consist of accepted or approved data and/or reference data used in aircraft maintenance or operations.
4.1.1 Provides Necessary Instructions. An electronic manual should provide instructions and information necessary to allow concerned personnel to perform their duties and responsibilities with a high degree of safety.
4.1.2 Provides Equivalent Data. An electronic manual should provide equivalent or better data integrity, accuracy, and accessibility to what would otherwise be provided by a printed manual.
4.1.3 Provides Clearly Identifiable Content. The content of each electronic manual should be clearly identifiable and viewable by the user and should correlate and be comparable to what would be available in a printed version of the manual.
4.1.4 Elements That Generally Comprise a Manual. An electronic manual should contain elements that generally comprise a printed manual. These elements typically include:
1. The manual title;
2. Revision control pages or sections from which the user can readily determine whether the manual is current;
3. List of effective pages;
4. Indication of FAA approval (e.g., signature or stamp) for those manuals or manual sections that require FAA approval;
5. Chapter numbers;
6. Chapter headings;
7. Section numbers;
8. Topic headings;
9. Page numbers;
10. Applicable aircraft, airframe, engine, propeller, appliance, component, or part make and model (M/M) (when applicable for minimum equipment list (MEL) and maintenance purposes); and
11. The person with the authority and responsibility for manual content.
4.2 Special Considerations in Displaying Information. Information retrieved from an electronic manual could be displayed in a format that differs from what would appear on paper. The display format could even vary by user. For example, the display of manual content could be different for pilots on the flight deck of an aircraft versus what is displayed to ground personnel at a computer workstation. This could occur for reasons such as screen resolution, software application, or an authorized display device.
Information displayed on any authorized device on the flight deck should correlate to
4-2 information displayed at an authorized computer workstation or authorized portable device. Additionally, any information displayed should be easily traceable and comparable to the source document. The most important point is that the electronic manual content remains the same, regardless of the display format or device. Any displayed manual information should be identical in content for all users.
4.3 Electronic Manual Systems. An electronic system for delivering manual content must comply with regulatory requirements for currency, availability, accessibility, and distribution to the appropriate personnel. These requirements are set forth in 14 CFR § 91.1023, part 121 subpart G, part 125 subpart C, and § 135.21. Similar requirements are also contained in 14 CFR § 145.207. The following guidelines apply to electronic manual systems:
4.3.1 Ensures Manual Currency. The electronic manual system has a method of ensuring that each person (refer to 14 CFR part 1 for definition of “person”), to whom a manual or appropriate parts of it are furnished, keeps it up to date.
4.3.2 Provides Access, Availability, and Distribution to the Appropriate Personnel. The electronic manual system distributes, furnishes, and/or provides access to manual(s) by the appropriate personnel.
4.3.3 Access is Controlled. Access to the electronic manual system is controlled.
4.3.4 Electronic Access to the MEL—14 CFR Parts 91K, 121, 125, and 135. Where electronic MELs are concerned, there are additional regulatory requirements. Title 14 CFR §§ 91.1115(a)(2), 121.628(a)(2), 125.201(a)(2), and 135.179(a)(2) require certificate holders who conduct operations under 14 CFR part 91K, 121, 125, or 135 to provide flightcrews with direct access to the MEL through printed or other means approved by the Administrator. Electronic access to an MEL falls under the category of “other means approved by the Administrator.” Therefore, the use of an electronic MEL will require FAA approval in addition to FAA acceptance of the electronic manual system. Certificate holders that desire FAA approval to provide electronic access to their MEL will list each electronic MEL in the master manual or document that describes the electronic manual system. The master manual or document is discussed later in this chapter. Operations Specification (OpSpec) A025, Electronic Signatures, Electronic Recordkeeping Systems, and Electronic Manual Systems, requires each electronic MEL to be listed by aircraft M/M or make, model, and series (M/M/S), as specified by the MEL.
4.3.5 FAA Access—14 CFR Parts 91K, 121, 125, and 135. For 14 CFR parts 91K, 121, 125, and 135, each certificate holder must furnish copies of their manuals to appropriate FAA personnel. The FAA encourages certificate holders to provide access to the electronic manual system to the appropriate FAA representatives assigned to the certificate holder.
When providing such access, a certificate holder should provide the FAA’s representatives with instructions on how to access the system.
4.3.6 Functionality. The electronic manual system provides for storage and retrieval of electronic manual content and allows manual users to easily access manual content via
4-3 computer or comparable device. When appropriate or necessary, manual users should be able to print any information contained in an electronic manual. Once printed, however, content from an electronic manual could be less current than what is maintained on the electronic manual system.
4.3.7 Manual Revision Control. The electronic manual system provides revision control.
4.3.7.1 Manuals are Easy to Revise. Each manual distributed, furnished, or provided by the electronic manual system should be in a form that is easy to revise. For 14 CFR parts 91K, 121, 125, and 135, this is required.
4.3.7.2 Revision Status. Each manual accessed via the electronic manual system for 14 CFR parts 91K, 121, 125, and 135 must display the date of the last revision in a manner in which a person can immediately ascertain it (refer to 14 CFR §§ 91.1025, 121.135, 125.73, and 135.23). The intent is that the date of the last revision is readily accessible in the manual being used and that employees are able to quickly determine that they are using the most current version of the manual (refer to 88 FR 34437, Updating Manual Requirements to Accommodate Technology, dated May 30, 2023). The following are examples of how revision information could be displayed in an electronic manual:
4.3.7.2.1 Revision Status by Page. Electronic manuals that have individual pages should display the date of the latest revision for each particular page.
4.3.7.2.2 Revision Status Contained in Blocks of Information. Electronic manuals displayed in a continuous flow format, as opposed to page-by-page, should display the date of the latest revision in each section or block of information.
4.3.7.2.3 Revision Control Pages. Electronic manuals should contain a revision control page or section from which the user can readily determine whether the manual is current.
4.3.7.3 Communication of Revision Information. The electronic manual system should include a method of communicating revision information to manual users.
4.3.7.3.1 Revision information should provide the revision content, effective date, and any instructions required for ensuring that the revision is uploaded or incorporated into the electronic manual.
4.3.7.3.2 Revision information should allow the user the ability to compare the current revision to the previous version or it should explain the effect of the change.
4.3.7.3.3 Revised content should be readily apparent to the user.
4.3.7.3.4 Each electronic manual should contain a revision control page or section from which the user can readily determine whether the manual is current.
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4.3.8 Data Archiving. The electronic manual system has a method of archiving technical and procedural data superseded by revision. Earlier versions of manuals are archived and preserved to provide for future needs to duplicate, regenerate, or reconstruct instructions.
4.3.8.1 The Importance of Historical Data. Archived historical data is particularly important for the following reasons:
1. To trace aircraft repair information or reconstructing maintenance instructions.
2. To evaluate normal and abnormal flight deck (cockpit) checklist procedures.
3. For training purposes.
4. For investigation purposes in the event of an accident, incident, or occurrence.
4.3.9 Transferring Data to Another System. Technological hardware or software advances could make it desirable and/or necessary for a certificate holder to update their electronic manual system. When transferring manual data from one electronic system or application to another, the electronic manual system ensures that data integrity is maintained during transfer. This includes ensuring that archived information remains intact. This could entail running redundant systems for a brief period of time.
4.3.10 Information Technology (IT) System Maintenance and Support. The electronic manual system includes maintenance and support that can identify and resolve hardware, software, and network issues.
4.3.11 Backup Method. The electronic manual system has a backup method of maintaining, distributing, or otherwise providing access to manuals in case of system hardware, software, or network failure. The backup method may be a separate electronic system, a backup server to the authorized system, the use of backup media such as print or CD-ROM, or other methods acceptable to the FAA.
4.3.12 Master Manual for 14 CFR Parts 91K, 121, 125, and 135. The electronic manual system has a master manual. OpSpec A025 requires an electronic manual system used in operations under 14 CFR parts 91K, 121, 125, and 135 to include a master manual that describes the electronic manual system, contains the policies and procedures applicable to the electronic manuals system, and lists each manual maintained and distributed via the system. A025 requires the name of the master manual to be listed in the appropriate table of the OpSpec. (A 14 CFR part 135 certificate holder authorized by OpSpec A040 to be a single-pilot operator, who elects to have a manual and maintain/distribute it electronically, may list that manual as being the master manual for the purposes of OpSpec A025.)
4.3.13 Certificate Holders with Large and Complex Manual Systems. For a certificate holder with a large and complex manual system that contains numerous manuals, it is acceptable to list the kinds of manuals in the master manual, instead of listing each manual, provided
4-5 all of the particular kinds of manuals are maintained and distributed via the electronic manual system. For example, list “All Ground Operations Manuals,” “All Maintenance Manuals,” or “All Training Program Manuals.”
4.3.14 Description of the Electronic Manual—14 CFR Parts 133 and 145. For electronic manuals used in 14 CFR parts 133 and 145, a description of how each electronic manual is displayed, maintained, revised, and distributed should be included in the certificate holder’s manual system. The description should also include an explanation of the media by which manuals will be distributed to required personnel.
4.3.15 Policies and Procedures. Certificate holders with electronic manual systems should have policies and procedures that address the guidelines listed in this chapter. Policies and procedures should be documented in the certificate holder’s manual system. For 14 CFR parts 91K, 121, 125, and 135, documentation should be included in the master manual.
4.3.15.1 A Description of the Electronic Manual System. Policies and procedures should include a description of the electronic manual system. The description should include the methods for distribution and/or access to manual(s), including revision control.
4.3.15.2 Delivery Media. Policies and procedures should include an explanation of the media by which the manuals will be distributed to required personnel.
4.3.15.3 Personnel With Authority and Responsibility. Policies and procedures should list the certificate holder’s personnel who have the overall authority and responsibility for maintaining the electronic manual system.
4.3.15.4 Distribution of Electronic Manual Revisions to the FAA. Policies and procedures should include the certificate holder’s method of distributing electronic revisions to the FAA. When a particular manual requires FAA approval or acceptance, procedures should explain how the certificate holder will submit an electronic revision to the FAA for approval or acceptance of the revised content.
4.3.15.5 Changes to the Electronic Manual System. Policies and procedures should address how the certificate holder will submit electronic manual system changes to the FAA for acceptance, prior to implementation. For 14 CFR parts 91K, 121, 125, and 135, changes to the electronic manual system will typically necessitate a revision to the master manual.
4.3.16 Quality Control (QC) and Auditing. Policies and procedures should include QC and auditing measures that ensure the guidelines for electronic manual systems, continue to be met.
4.3.17 User Instructions and Training. The electronic manual system should include training and instructions necessary to ensure authorized users understand how to use the system.
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4.4 Electronic Manual Authorization.
4.4.1 Submit an Application. Certificate holders will submit their application for an electronic manual system 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 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 manual or manual system should include the following:
4.4.1.1 Letter of Intent. The application should contain the certificate holder’s Letter of Intent to use an electronic manual system.
4.4.1.1.1 Estimated Date of Implementation. The letter should include the estimated date on which the certificate holder would like to implement the electronic manual system.
4.4.1.1.2 Primary Point of Contact (POC). The letter should include the certificate holder’s primary POC for the electronic manual system application process.
4.4.1.2 The Master Manual for 14 CFR Part 91K, 121, 125, or 135. An application to use an electronic manual system for 14 CFR part 91K, 121, 125, or 135 should include a copy of the master manual as described in paragraph 4.3 above. The manual is required by OpSpec A025 and should address the guidelines set forth in this AC, contain policies and procedures, and list each manual maintained and distributed by the electronic manual system. The FAA will not accept an application that does not include the master manual.
4.4.1.3 A Description of the Electronic Manual—14 CFR Parts 133 and 145. An application to use an electronic manual for 14 CFR parts 133 and 145 should include a description of the electronic manual as described in paragraph 4.3 above.
4.4.1.4 Manuals Included in the System. The application should state specifically which manuals the certificate holder intends to maintain and distribute electronically. All of the applicable manuals should be included. For example:
• Flight Operations Manuals (FOM) by title;
• Ground operations manuals by title;
• Maintenance manuals by title;
• Training program manuals by title;
• Electronic MELs;
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• General policy manuals by title; and
• User manuals (e.g., flight planning system and other hardware/software applications) by title.
4.4.1.5 How Electronic Manuals Will Be Provided to the FAA. The application should explain how electronic manuals will be furnished/provided to the responsible Flight Standards office, including an explanation of how revisions and future electronic manuals will be provided.
4.4.1.6 Electronic Access to an MEL. Title 14 CFR parts 91K, 121, 125, and 135 require a certificate holder or program manager to have FAA approval and OpSpec authority to provide access to an MEL via electronic means.
Certificate holders desiring to provide electronic access to an MEL must specify that in the application and include details on how electronic access will be provided.
4.4.2 Demonstration Phase. The FAA will require a certificate holder to demonstrate the electronic manual system. The items requiring demonstration will typically include at least the following:
4.4.2.1 System Functionality. The certificate holder should demonstrate how the electronic manual system works. Specifically, the demonstration should show how manuals are accessed. If access is different for certain users, the demonstration should include how information is accessed by each group.
4.4.2.2 Revision Status. For electronic manuals used in 14 CFR parts 91K, 121, 125, and 135 operations, the demonstration should show how each electronic manual displays the date of latest revision in a manner in which a person can immediately ascertain it (see paragraph 4.3.7 above). Additionally, the demonstration should show how revisions are posted to electronic manuals.
4.4.2.3 Security Protocols. The demonstration should include how the system prevents unauthorized access and/or unauthorized modifications to manual content.
4.4.2.4 QC Procedures. The demonstration should show how the QC and auditing procedures work.
4.4.3 Successful Completion of Application for Approval or Acceptance and Authorization.
When a certificate holder successfully completes the approval (applicable only to electronic access to an MEL) or acceptance process, the FAA will authorize the electronic manual system by signing and issuing OpSpec A025.
4.4.4 Unsuccessful Application. If the certificate holder fails to submit an acceptable application or fails to successfully demonstrate the manual system process, the responsible Flight Standards office will reject the application and provide an explanation to the certificate holder in writing.