1-4 that provide an acceptable means, but not the only means, to use an electronic manual system.
1.8 Definitions. The following terms are used in this AC:
1.8.1 Authentication. The means by which a system validates the identity of an authorized user.
These may include a password, a personal identification number (PIN), a cryptographic key, a smart card, etc.
1.8.2 Computer-Based Recordkeeping System. A system of record processing in which records are entered, maintained, archived, and retrieved electronically. The term “computer-based recordkeeping system” is synonymous with “electronic recordkeeping system.”
1.8.3 Data Backup. Use of one of several recognized methods of providing a secondary means for archiving records, separately from the original or primary. The backup can be used to reconstruct the format and content of electronically stored records in case of loss, failure, or damage to the primary recordkeeping system.
1.8.4 Data Verification. A process of ensuring accuracy of data records by systematically or randomly comparing electronic records with manual data entry documents.
1.8.5 Digital Electronic Signature. A type of electronic signature that uses cryptography to verify the source of digital data is authentic and ensures data integrity has not been compromised.
1.8.6 Electronic Manuals. Certificate holder manuals that may be electronically signed, stored, and retrieved by a computer system via the internet/intranet, or via other various forms of electronic media.
1.8.7 Electronic Record. A contract or other record (including operations specifications) created, generated, sent, communicated, received, or stored by electronic means.
1.8.8 Electronic Recordkeeping System. A system of record processing in which records are entered, signed, stored, and retrieved electronically. The term “electronic recordkeeping system” is synonymous with “computer-based recordkeeping system.”
1.8.9 Electronic Signature. Functionally equivalent to a handwritten signature. The term “electronic signature” means an electronic sound, symbol, or process attached to, or logically associated with, a contract or other record and executed or adopted by an individual with the intent to sign the record.
1.8.10 Operations Specifications (OpSpecs). Documents created and issued by the FAA through the Web-based Operations Safety System (WebOPSS) are collectively referred to as “authorizing documents.” For the purposes of this AC, the use of the term “OpSpec” hereafter refers to one or more of the following WebOPSS authorization documents:
1.8.10.1 Management Specifications (MSpecs). Issued to program managers who conduct fractional ownership operations under 14 CFR part 91K.
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1.8.10.2 Operations Specifications (OpSpecs). Issued to certificate holders operating under 14 CFR part 121, 125, 129, 135, 137, 145, or 147.
1.8.10.3 Letters of Authorization (LOA). Issued to 14 CFR part 91 operators;
certificate holders operating under 14 CFR parts 133, 137, and 141; and 14 CFR part 125 LODA holders.
1.8.10.4 Training Specifications (TSpecs). Issued to 14 CFR part 142 training center certificate holders.
1.8.11 Password. An identification code or device required to access stored material, intended to prevent information from being viewed, edited, or printed by unauthorized persons.
1.8.12 Private Key. A cryptographic key that is used with an asymmetric (public key) cryptographic algorithm. For digital electronic signatures, the private key is uniquely associated with the owner and is not made public. The private key is used to create a digital electronic signature that may be verified using the corresponding public key.
1.8.13 Public Key. A cryptographic key that is used with an asymmetric cryptographic algorithm and is associated with a private key. The public key is linked to an owner and may be made public. For digital electronic signatures, the public key is used to verify a digital electronic signature that was generated using the corresponding private key.
1.8.14 Signature. A mark or sign made by an individual to signify knowledge, approval, acceptance, or obligation, and to authenticate a record entry. A signature should be traceable to the individual making the entry, and it should be handwritten or part of an electronic signature system.
1.9 Approval, Acceptance, and Authorization. There are many 14 CFR part regulations that address electronic signatures, records/recordkeeping, and manuals. There are varying requirements between the many 14 CFR parts for approval, acceptance, and authorization.
1.9.1 FAA Approval Required. FAA approval is required to use the following electronic manual and recordkeeping systems:
1.9.1.1 Electronic MEL. Title 14 CFR §§ 91.1115(a)(2), 121.628(a)(2),
125.201(a)(2), and 135.179(a)(2) certificate holders who conduct operations under 14 CFR part 91K, 121, 125, or 135 must provide flightcrews with direct access to the MEL through printed or other means approved by the Administrator.
1.9.1.2 Title 14 CFR Part 121 Crewmember and Dispatcher Records. Title 14 CFR § 121.683(c) allows a certificate holder to use a computerized recordkeeping system, approved by the Administrator, to maintain crewmember and dispatcher records required by 14 CFR part 121.
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1.9.1.3 Title 14 CFR Part 125 Crewmember Records. Title 14 CFR § 125.401 allows a certificate holder conducting 14 CFR part 125 operations to use a computerized recordkeeping system that is approved by the Administrator to record and maintain crewmember records required by 14 CFR part 125.
1.9.2 FAA Acceptance Required. With the exception of the items that require FAA approval (see paragraph 1.9.1 above), FAA acceptance is required for certificate holders to use electronic signatures, electronic recordkeeping systems, and electronic manual systems to satisfy the requirements of 14 CFR parts 91K, 121, 125, 133, 135, and 145. FAA acceptance is also required for certificate holders who use electronic records, and the electronic signatures associated with those records, to satisfy the requirements of 14 CFR parts 141, 142, and 147.
1.9.3 Authorization in Operations Specification (OpSpec) A025 is Required. The FAA will authorize the use of electronic signatures, electronic recordkeeping systems, and electronic manual systems via OpSpec A025, Electronic Signatures, Electronic Recordkeeping Systems, and Electronic Manual Systems. The OpSpec A025 template name varies by regulatory part. OpSpec A025 authorization is required for 14 CFR parts 91K, 121, 125, 133, 135, 141, 142, 145, and 147. It is important to note that the FAA does not require a certificate holder to use electronic signatures, electronic recordkeeping systems, or electronic manual systems. The use of these electronic systems is optional. However, if a certificate holder elects to exercise this option, that authorization is issued via A025. FAA guidance on the issuance of OpSpec A025 is in FAA Order 8900.1, Volume 3, Chapter 18, Section 3, Part A Operations Specifications— General.
1.9.4 The FAA Will Use OpSpec A025 as the Method to Convey Approval, Acceptance, and Authorization. The FAA will use OpSpec A025 as the method to convey FAA approval or acceptance for those items that require specific FAA approval or acceptance to be maintained, accessed, furnished, or distributed electronically. The signature on the OpSpec by the FAA principal inspector (PI) or other aviation safety inspector (ASI) with OpSpec signature authority indicates the FAA’s approval or acceptance of the item (depending on the requirement). When the FAA issues OpSpec A025 in WebOPSS, the certificate holder is authorized to use the electronic items listed as of the effective date of the active OpSpec. This date also signifies the effective date of FAA approval or acceptance.
1.9.5 There is No Requirement for Formal Approval, Acceptance, or Authorization for 14 CFR Part 61, 63, 65, 91 (excluding 91K), 129, or 137. The use of an electronic signature, electronic recordkeeping system, or electronic manual system under 14 CFR part 61, 63, 65, 91 (excluding 91K), 129, or 137 does not require formal FAA approval, acceptance, or authorization. OpSpec/MSpec/TSpec/LOA A025 does not apply to operations under these parts. However, the FAA recommends that all certificate holders follow the guidelines for electronic signatures, records, and manuals as set forth in the AC, regardless of whether or not approval, acceptance, or authorization is required. If a required signature, record, or manual provided in an electronic format or application does not contain the key elements or does not follow the guidelines set forth in this AC, the
1-7 FAA may question its validity. If the FAA determines that an electronic signature, record, or manual is missing key elements, does not follow the guidelines, or is otherwise unacceptable, the FAA office with oversight responsibility will notify the certificate holder in writing. Upon receiving notification, it is incumbent upon the certificate holder to make the appropriate corrections.
1.9.6 Certificate Holders Who Have Authority in OpSpec A061 to Use an Electronic Flight Bag (EFB) Program. OpSpec A025 is the authorization for the use of electronic signatures, electronic recordkeeping systems, and electronic manual systems. For certificate holders who have authorization to use an EFB program in accordance with OpSpec A061, electronic signatures, electronic recordkeeping systems, and electronic manual functions may co-reside and/or otherwise be displayed on an EFB, provided the certificate holder has authority to use these items in OpSpec A025.
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