2-1 CHAPTER 2. CERTIFICATION PROCESS AND RULES
2.1 Application Process. The application process is designed to ensure that you, the operator, meet the requirements for certification under 14 CFR part 133.
If satisfactorily completed, the application process will result in issuance of a Rotorcraft External-Load Operating Certificate and any additional authorizations.
2.1.1 Certification Process Phases. There are five phases in the application process (see Figure 2-4, Certification Process Flowchart):
1. Preapplication (combined with Formal Application Phase in most instances),
2. Formal Application,
3. Document Compliance,
4. Demonstration and Inspection, and
5. Certification.
Note: The part 133 certification process combines Phase 1, Preapplication, and Phase 2, Application.
2.1.2 Certification Process Gates. Included in the five phases are three gates. The three gates are points in the process at which requirements must be met before proceeding to the next part of the application process.
Note: Certain cases may dictate that the guidance and suggested sequence of events in this AC be modified. In such situations, the applicant and the local Flight Standards District Office (FSDO) should consider existing conditions and circumstances. The FAA will not issue an Operating Certificate until it determines that all requested authorizations can be conducted in a safe manner and all applicable FAA regulations, guidance, and policy have been complied with.
2.2 Phase 1 and Phase 2—Preapplication and Application.
2.2.1 Applicant Resources.
1. To start a part 133 application, contact the local FSDO for your primary business address. The FSDO will provide the applicant with the appropriate information and references needed to begin the certification process.
The applicant should be aware of the certification and operating requirements of part 133. The FSDO personnel will explain:
• The general applicability and definition of terms.
• The certification requirements.
• The operating rules.
2-2
• Part 133 recordkeeping requirements.
• The requirement to comply with other Federal, State, and local regulations.
2. Special considerations include:
• Load class authorizations A, B, C, or D.
• Instrument flight rules (IFR) authorization requirements.
• Qualifications and experience required for the Chief Pilot.
• Rotorcraft-Load Combination Flight Manual (RLCFM) requirements.
• Training program requirements for Class D operations.
• Hazardous materials (hazmat) training program, if applicable.
2.2.2 FAA Form 8400-6, Preapplication Statement of Intent. Complete the Preapplication Statement of Intent (PASI) (available at http://www.faa.gov/forms) and submit it to the FSDO (see Figure 2-1, FAA Form 8400-6, Preapplication Statement of Intent). Upon receipt of a signed PASI, the FSDO will review the form to ensure that there is sufficient information to further process the preapplication and that the proposed operation is consistent with part 133. The PASI must contain the following:
• The company legal name, including any doing business as (DBA) names, the principal base of operations address, the mailing address, phone numbers, and the planned date when operations will begin.
• Names of management personnel and the Chief Pilot.
• Type, make, model, and quantity of rotorcraft operated.
• All desired authorizations (e.g., Class A, B, C, or D or IFR) in block 10.
Note: If the PASI is unacceptable, the FSDO will describe the reasons why it is unacceptable in section 2 of the form and return it. The FSDO will notify the applicant, either verbally or by letter, that the PASI is unacceptable for the reasons detailed in section 2 of the form and that a new PASI is required.
2.2.3 Application Package.
1. FSDO personnel will provide the applicant with the following materials or refer you to the current online resource:
• FAA Form 8710-4, Rotorcraft External-Load Operator Certificate Application (see Figure 2-2, Sample FAA Form 8710-4, Rotorcraft External-Load Operator Certificate Application).
• Sample Letter of Nomination for Designation as a Chief Pilot (see Figure 2-3).
• Sample Rotorcraft-Load Combination Flight Manual (see Appendix A).
2. FSDO personnel will discuss how to complete the forms and advise the applicant to submit the forms with original signatures.
2-3
3. The following factors will be used to determine if additional items need to be discussed with the applicant:
• Previous experience in part 133 external-load operations;
• Size, scope, and safety aspects of the requested operation;
• Area of operation;
• Class D or IFR authorization, if requested; and
• Ability to comply with the certification requirements.
4. FSDO personnel will discuss the following with the applicant and answer any questions about the certification process:
• The time and gate requirements for the completion of each phase;
• Area of operation (local or across FSDO boundaries), including the location of the principal base of operations, and the location of any probable satellite bases;
• Load class authorization(s) the operator is seeking;
• Operator’s previous experience with part 133 operations;
• Qualifications and experience of the proposed Chief Pilot;
• Applicability of 14 CFR parts 91 and 133;
• AC 133-1, Rotorcraft External-Load Operations;
• Previous or pending enforcement action against the applicant or pilot(s);
• Contents of the RLCFM; and
• Requirements for developing a training program for Class D operations.
2.2.4 Application Review. If the application package is not complete, the FSDO will notify the applicant in writing of the changes needed before certification can continue. An example of a properly completed application form is shown in Figure 2-2. An indepth review of the package will be conducted during the Document Compliance Phase.
2.2.5 Application Meeting. After the application review process is completed, an application meeting will be scheduled to discuss:
• A schedule for certification, and any necessary adjustments.
• The requirements for each load class authorization requested.
• The requirements for the RLCFM.
• The rotorcraft ownership or lease agreement.
• The applicant’s previous experience in external-load operations.
• The experience and qualifications of the designated Chief Pilot.
2-4
• The requirements for an IFR authorization, if applicable.
• The requirements for a Class D training program, if applicable
2.2.6 Gate Complete. All steps in the Application Phase must be completed before continuing to the Document Compliance Phase (see Figure 2-4). If the applicant does not complete this phase within 90 days of the FSDO’s receipt of the PASI, the FSDO may need to end the certification process. Completion of this gate triggers a new 90-day completion timeline for the Document Compliance Phase.
2.3 Phase 3—Document Compliance.
2.3.1 Application Form (FAA Form 8710-4).
1. In block 1, the applicant indicates the following:
• “Original Issuance” if the application is for initial certification;
• “Amendment” if the application is for a change to an existing certificate; or
• “Renewal” if the application is for renewal of an existing certificate.
2. In block 1, the applicant enters the certificate number if the application is for amendment or renewal, and checks the appropriate block(s) to indicate the load classes requested.
3. In block 2, the applicant indicates the name (including DBAs), mailing address, and telephone number of the operator.
4. In block 3, the applicant indicates the address and telephone number of the principal or local base of operations. Verify the applicant has not used a post office box number in this block.
5. In block 4, the applicant indicates the name of the Chief Pilot or designee and that pilot’s Airman Certificate grade (e.g., private, commercial, and airline transport pilot (ATP)) and certificate number.
6. In block 5, the applicant indicates all rotorcraft to be used by registration number, make, and model. The applicant also indicates the requested load classes and whether the attaching device for each rotorcraft has been previously approved by the FAA. The applicant may use the remarks column to indicate which rotorcraft will be used in IFR operations.
7. At the bottom of the form, the applicant or authorized officer must date and sign the application. The person signing the application must also include their title (e.g., Director of Operations or President).
8. The reverse side of the form is completed by the FAA during the Certification Phase.
2-5
2.3.2 Rotorcraft Lease. The rotorcraft lease must list:
• Name(s) of owner(s);
• Name of certificate holder/applicant;
• Identification and type of rotorcraft;
• Duration of lease (6 month minimum);
• Indication of sole possession, control, and use for flight, including an agreement for performance of required maintenance; and
• Signatures of the owners and certificate holder or applicant, to include dates.
2.3.3 RLCFM. See Appendix A for a sample RLCFM which includes a detailed description of the required content.
1. Authority. Part 133, § 133.47 requires the operator to develop an RLCFM as part of the application package for certification of rotorcraft external-load operations. Section 133.47(a) requires the RLCFM to include the operating limitations, procedures, performance, and other information established under §§ 133.41–133.51. This includes the information established during operational flight checks performed under § 133.41. The operator should place limitations, procedures, performance, and other information not included in the approved Rotorcraft Flight Manual (RFM) into the RLCFM.
2. Content. Section 133.47 outlines instructions and specifications for the contents of the RLCFM. Title 14 CFR part 27 subpart G or part 29, whichever is applicable, requires the establishment of operating limitations and other information necessary for safe operation. The RLCFM provides a means of conveying this information to the crewmembers.
3. Purpose. The RLCFM is a required document that provides the information necessary for the safe carriage of external loads.
4. Developing an RLCFM. The RLCFM must cover each class of external-load operation conducted with a specific rotorcraft. The operator must prepare an RLCFM for each rotorcraft, even if some makes and models are similar.
The manufacturer’s calculation of performance data and operating limitations may be unique for each rotorcraft. An operator planning to add or delete a load class must revise the RLCFM accordingly to reflect the safety considerations.
5. Initiation. The applicant for a part 133 external-load Operating Certificate must submit two copies of an RLCFM for review and approval, or one electronic copy, if acceptable, to the FSDO. The applicant must prepare the RLCFM in conformance with part 27 subpart G or part 29 subpart G.
2.3.4 Letter of Designation of Chief Pilot. Upon issuance and acceptance of the Letter of Designation, both the operator and Chief Pilot must sign the letter.
2-6
2.3.5 Qualifications of Chief Pilot. The Chief Pilot nominee must meet the requirements of § 133.21 and have passed the knowledge and skill test for external-load operations.
The inspector may base the determination that the candidate’s knowledge and skill are adequate on the Chief Pilot’s previous experience and safety record in rotorcraft external-load operations. The Chief Pilot must have previously passed a knowledge and skill test for the same class of rotorcraft external-load operations.
Note: It may be necessary to administer a knowledge and skill test for the Chief Pilot; if so, it will be conducted during the Demonstration and Inspection Phase.
2.3.6 Rotorcraft and Equipment Maintenance Records. Airworthiness aviation safety inspectors (ASI) will inspect the following records:
• Rotorcraft maintenance records;
• Records showing FAA approval of the attaching means;
• Airworthiness and registration certificates;
• Approved RFM; and
• For Class D authorizations, records showing engineering approval of the personnel lifting device.
2.3.7 Class D Training Program (if applicable). A Class D initial and recurrent training program should contain the following elements.
1. Ground training for pilots should include:
a. Reviewing contents of the Class D authorization;
b. Calculating the longitudinal and lateral Weight and Balance (W&B);
c. Determining single-engine hovering out-of-ground effect performance, considering weight and environmental conditions (refer to § 133.45(e)(1));
d. Reviewing normal and emergency communications procedures, including hand signals;
e. Reviewing crew coordination procedures;
f. Reviewing preflight procedures for all equipment;
g. Reviewing congested area plan (CAP) requirements;
h. Briefing all persons involved with the external-load operation;
i. Using approved personnel lifting devices;
j. Operating the winch, including weight, longitudinal and lateral center of gravity (CG), operational limitations, preflight, normal, and emergency procedures;
Note: See Appendix C, Possibility of D-Ring Reversal or Dynamic Rollout During Winching or Long Line Operations, for information about winch operation.
2-7
k. Reviewing night operation considerations, limitations, and risk mitigation procedures (if applicable);
l. Avoiding collisions and obstacles; and
m. Reviewing other information necessary to ensure pilot competence. For example, for each rotorcraft make and model used, examine the training program for information about the following:
• Major rotorcraft systems,
• Limitations of the rotorcraft make and model,
• Performance characteristics,
• Fuel consumption and management,
• Approved RFM, approved RLCFM, and approved supplements,
• Procedures for normal and emergency situations,
• Explanations of the causes of loss of tail rotor effectiveness and procedures to recover, and
• Avoidance of potentially hazardous meteorological conditions.
2. Flight training for pilots while carrying a simulated load (ballast) on the personnel lifting device should include:
a. Computing longitudinal and lateral W&B and performance planning;
b. Performing takeoffs and landings;
c. Maintaining directional control while hovering;
d. Accelerating from a hover;
e. Performing approaches to landing or work areas;
f. Operating the winch, if so equipped;
g. Using safety devices that prevent inadvertent release of the load;
h. Releasing the load in an emergency;
i. Single engine hovering and maneuvering for landing;
j. Night flight training (if applicable); and
k. Avoiding collisions and obstacles.
3. Ground training for flightcrew members (e.g., winch operators) should include:
a. Reviewing normal and emergency communications procedures, including hand signals;
b. Operating the winch, including weight and operational limitations, preflight, normal, and emergency procedures;
c. The appropriate portions of the RLCFM;
2-8
d. Reviewing crew coordination procedures;
e. Conducting a preflight inspection of lifting equipment;
f. Using the approved personnel lifting devices;
g. Using personal safety equipment, such as harnesses, clothing, and gloves;
h. Recognizing the onset of hazardous load oscillations;
i. Recognizing other dangerous situations;
j. Night operation considerations, limitations, and risk mitigation procedures (if applicable); and
k. Avoiding collisions and obstacles.
4. Flight training for flightcrew members (e.g., winch operators) while carrying a simulated load (ballast) should include:
a. Operating the winch, if so equipped;
b. Communicating among crewmembers, including hand signals as well as normal and emergency communications procedures;
c. Using safety devices that prevent inadvertent release of the load;
d. Releasing the load in an emergency;
e. Using an approved personnel lifting device;
f. Using personal safety equipment, such as harnesses, clothing, and gloves;
g. Stabilizing oscillating winch loads;
h. Night flight training (if applicable); and
i. Avoiding collisions and obstacles.
5. Ground and flight training for ground crew personnel while carrying a simulated load (ballast) should include:
a. Reviewing normal and emergency communications procedures, including hand signals;
b. Reviewing crew coordination procedures;
c. Performing a preflight inspection of the lifting equipment;
d. Using an approved personnel lifting device;
e. Operating the winch, including limitations and normal and emergency procedures;
f. The appropriate portions of the RLCFM;
g. Recognizing dangerous situations;
h. Recognizing the onset of hazardous oscillation of the load; and
i. Using personal safety equipment, such as helmets, gloves, and goggles.
2-9
2.3.8 Gate Complete. All steps in the Document Compliance Phase must be completed before continuing to the next phase (see Figure 2-4). The FSDO may end the certification process if the Document Compliance Phase has not been completed within 90 days.
The completion of this gate triggers a new 90-day completion timeline for the Demonstration and Inspection Phase.
2.4 Phase 4—Demonstration and Inspection.
2.4.1 Knowledge and Skill Tests. A knowledge and skills test will be administered unless the Chief Pilot has previously passed the knowledge and skill test. The tests must have been for the same class of external load and for the same make and model of rotorcraft.
Only in rare circumstances would the applicant’s previous experience fully satisfy the requirements of § 133.23(d).
2.4.2 Knowledge Test. Whether the ASI selects either an oral or a written knowledge test, at least the following areas must be tested:
1. The pilot must be able to describe or answer questions about procedures for preflight inspection of aircraft, attaching means, and personnel lifting devices, if appropriate.
2. The pilot must be able to conduct an accurate survey of the flight areas to be used, including the pickup site, the route, and the landing site. The pilot should indicate that the routes for the approach to and departure from each site should be over the lowest obstacle and in the direction of the prevailing wind.
3. The pilot should be able to calculate W&B with emphasis on a lateral CG.
The pilot must also correctly describe how to prepare the load, check the rigging, and attach that load to the helicopter.
4. The pilot should be able to identify the different types of webbing, nylon rope, chairs, clevises, and connector links. The pilot should have a general knowledge of the weight lifting capacity and the rigging of each.
5. For Class D authorizations, the pilot should know how to operate the personnel lifting device and be aware of its limitations.
6. The pilot must have thorough knowledge and understanding of the performance capability, operating procedures, and limitations of the helicopter to be used. The pilot should be able to calculate the adjusted gross weight performance when the temperature and/or density altitude changes.
2.4.3 Communications Test. The pilot must demonstrate an understanding of the ground crew’s hand signals, as communication between the flightcrew and ground crew is critical in ensuring the safety of persons on the ground and in the helicopter. Class D authorization requires radio communication among flight and ground crewmembers,
2-10 and, if appropriate, the pilot must show that he or she is familiar with standard radio phraseology and with phraseology developed for the operation.
1. The pilot must have complete knowledge of all material in the approved RLCFM.
2. When all the requirements are satisfied, the skill test is conducted. Because of the elaborate preparations and equipment sometimes involved in external-load operations, the ASI may conduct the skill test after failure of the knowledge portion if special circumstances make it necessary. The skill test may only be conducted at this time if the deficient knowledge area is unrelated to the skill test.
2.4.4 Skill Test. The pilot must successfully perform flight operations for the appropriate load class in the helicopter for which certification is sought. For the purposes of the skill demonstration, the external-load weight, including the external-load attaching means, must be the maximum weight for which authorization is sought. The ASI can elect to conduct the skill test in the helicopter with the applicant or observe from the ground.
1. For a Class A external load, the skill test must consist of the following:
a. Before liftoff, the pilot should make a check of security and proper rigging of the load.
b. The rotorcraft and load must be lifted to an appropriate hover altitude where the pilot determines if power is available for takeoff.
c. While at a hover, the pilot must demonstrate that adequate directional control is available by making heading changes of 180 degrees to each side of the proposed takeoff path.
d. The pilot must demonstrate smooth acceleration from a hover into forward climbing flight. Sufficient power, not to exceed the maximum allowable, must be applied on takeoff to ensure that the aircraft clears the tallest immediate obstacle safely.
e. The pilot must demonstrate horizontal flight at the maximum operational airspeed for the load authorization requested.
f. The pilot must demonstrate normal and steep approaches.
2. For a Class B external load, the skill test must consist of the following:
a. During preflight, the pilot must demonstrate that both electrical and manual functions of the rotorcraft attachment system operate properly.
b. Before liftoff, the pilot should make a check of security and proper rigging of the load.
c. The pilot must demonstrate pickup of the external load. The load should be lifted slowly in a vertical ascent until the sling becomes taut and centered. The load is then lifted to an appropriate hover altitude where the pilot determines if power is available for takeoff.
2-11
d. While at a hover, the pilot must demonstrate that adequate directional control is available by making heading changes of 180 degrees to each side of the proposed takeoff path.
e. The pilot must demonstrate smooth acceleration from a hover into forward climbing flight. Sufficient power, not to exceed the maximum allowable, must be applied on takeoff to ensure that the load clears the tallest immediate obstacle safely.
f. The pilot must demonstrate horizontal flight at the airspeed for which authorization is requested. As the airspeed is increased, low-density light loads generally tend to shift further aft and may become unstable. When the load is of greater density, more compact, and better balanced, the ride is steadier and the airspeed may be safely increased. Any unstable load may flutter, oscillate, or rotate, resulting in reduced aircraft control and undue stress on the helicopter.
A reduction in forward airspeed will usually allow regaining of aircraft control and steadying of the load. If the load begins oscillating fore and aft or fluttering, it is especially important that the helicopter’s forward airspeed be reduced.
g. The pilot must maneuver the external load into the release position and release it, under normal flight conditions, using the normal and, if practicable, emergency release controls.
h. The pilot must demonstrate winch operation if a winch is used to lift the external loads. The pilot and the winch operator, if appropriate, should each operate the winch during the test. Whenever the cyclic grip switch location or function has been modified, the pilot must demonstrate the ability to actuate the switch in normal operations and simulated emergencies without having to assume an unusual finger or thumb position that may induce unwanted control input.
3. For a Class C external load, the skill test must consist of the following:
a. The pilot must make a preflight check of the electrical and mechanical functions of the rotorcraft’s attachment system.
b. The pilot must lift a portion of the load if it is to be dragged, or lift the entire load if it is ballast for a wire stringing operation.
c. The pilot must demonstrate lateral (sideward) flight with proper speed, heading control, and smoothness.
d. If the operator plans on towing (boats, barges), the pilot must demonstrate forward flight.
e. If a winch is installed, the pilot or winch operator must demonstrate its use.
4. For Class D load authorization flight checks, the pilot must demonstrate the same maneuvers as indicated for Class B, including winch operations, if applicable. The test should include picking up a dummy load, moving this load to a predetermined area, and releasing the load under normal circumstances.
2-12
2.4.5 Rotorcraft and Equipment Inspection. (See Appendix C for more information about winches used for attaching external loads.)
1. Rotorcraft external-load attaching means must meet the requirements outlined in § 133.43(a).
2. While conducting external-load operations, the aircraft must have on board a facsimile of the approved Rotorcraft External-Load Operating Certificate (FAA Form 8430-21, Operating Certificate). This certificate constitutes a valid airworthiness certificate while the operator conducts external-load operations. It in no way invalidates the airworthiness certificate issued at certification. The facsimile, carried in the aircraft, is only valid while an external load is attached.
Note: The airworthiness certificate issued at certification must be displayed in accordance with part 91, § 91.203.
3. Each external-load attaching means must have been approved under one of the following:
• Civil Air Regulations (CAR) part 8, Aircraft Airworthiness Restricted Category, on or before January 17, 1964;
• Part 133, before February, 1977;
• Part 27 or 29, as applicable, regardless of the approval date;
• Supplemental Type Certificate (STC); or
• FAA Form 337, Major Repair and Alteration (Airframe, Powerplant, Propeller, or Appliance).
4. Quick-Release Device: A quick-release device must have been approved under either of the following:
• Part 27 or 29, as applicable; or
• Part 133, before February 1, 1977.
5. Control for quick release must be installed in accordance with part 27, § 27.865. In addition, a manual mechanical control for the quick-release device must be readily accessible to either the pilot or another crewmember.
2.4.6 Operational Flight Checks (As Required by § 133.33). This flight check should be conducted while the ASI observes from the ground, unless the ASI determines observation from aboard the rotorcraft is absolutely necessary.
1. The pilot must ensure the gross weight and CG location of the rotorcraft-load combination (RLC) is within approved limits. They should also verify the external load is securely fastened and does not interfere with devices provided for its emergency release.
2. The pilot will make an initial lift off to verify that controllability is satisfactory.