4-1 CHAPTER 4. CERTIFICATION PROCEDURES
4.1 General Information on Certification Procedures. The AMTS certification process is an interaction between the AMTS applicant and the FAA. The certification process extends from the initial inquiry by the school applicant to the final issuance of the Air Agency Certificate and operations specifications (OpSpecs). This process ensures the school’s method of compliance with curriculum, policies and procedures, facilities, equipment, materials, and personnel regulatory requirements are thoroughly reviewed, evaluated, and validated.
4.1.1 Five Phases. The FAA certification process consists of the five separate phases listed below:
• Preapplication phase.
• Formal application phase.
• Design Assessment (DA) phase (document compliance).
• Performance Assessment (PA) phase (demonstration and inspection).
• Administrative functions phase (certification).
Note: These phases may often overlap and can proceed concurrently. As an example, the DA phase may begin as soon as documents are received, either before or during the formal application phase.
4.1.1.1 The applicant must maintain an active project. Inactivity of greater than 90 calendar-days may be cause to terminate the certification process.
Additionally, the responsible Flight Standards office may terminate the process when it is clear that continuing the process will not result in approval or acceptance (i.e., multiple failures of the applicant’s submissions).
Figure 4-1. Part 147 Certification Process Flowchart Part 147 Certification Process Flowchart Applicant FAA
4.2 Preapplication Initial inquiry to FAA responsible Form 8400-6, Preapplication Submit completed FAA Preapplication → Are the reapplication —YES- Flight Standards Meeting documents acceptable?
Statement of Intent (PASI) office.
Notify applicant of PASI deficiencies Complete application (FAA Form 8310-6) and develop application attachments as necessary
4.3 Formal Application Submit application and application Formal Application Is the formal application attachments to the FAA Meeting submission acceptable?
Correct deficiencies and return Notify applicant documents for FAA review submission is accepted Conduct evaluation of
4.4 Design Assessment Notify applicant of documentation application Certification?
deficiencies NO Acceptable?
Notify applicant of document acceptability
4.5 Performance Assessment Correct deficiencies Arrange demonstration Conduct inspections Acceptable? •YES and inspection (as applicable) _YES_ Certification? Continue Notify applicant of application deficiencies NO
4.6 Administrative Functions -NO- Terminate Certification Applicant meets all part 147 requirements?
Issue certification documentation -YES- 4-2
4-3
4.2 Preapplication Phase.
4.2.1 Initial Inquiry. An applicant seeking certification of an AMTS under part 147 should contact the FAA responsible Flight Standards office and advise the office of the intent to pursue part 147 school certification. The FAA will advise the applicant that submission of FAA Form 8400-6, Preapplication Statement of Intent, (PASI) (see Figure 4-2, Preapplication Statement of Intent) will place the applicant in the FAA’s certification queue, which ensures that applicant certification requests are processed in the order application is made. Additionally, submission of the PASI notifies the FAA of the applicant’s intent, which allows the FAA to contact the applicant and conduct a preapplication meeting (see paragraph 4.2.3). The form is available at https://www.faa.gov/forms.
4.2.1.1 It is the applicant’s responsibility to be knowledgeable on the regulatory requirements applicable to the FAA certificate requested. The applicant could complete a Letter of Compliance (see Appendix D, Sample Letter of Compliance (i.e., Statement of Compliance, Compliance Statement)) to help facilitate understanding of part 147.
4.2.2 PASI. An applicant should submit a completed PASI only after reviewing the appropriate regulations and advisory materials. Before PASI submission, the applicant should consider the personnel, facility, equipment, and other regulatory requirements for certification and operation.
4.2.2.1 The FAA uses Safety Assurance System (SAS) automation to manage certification activities under part 147. Although not required, applicants may use the SAS External Portal to submit information. The SAS External Portal can be found at https://sas.faa.gov/sas.external.portal/ext/accounts.
4.2.3 Preapplication Meeting. Following receipt of the completed PASI, the FAA will contact the AMTS applicant and arrange a preapplication meeting. During this meeting, the applicant should ask any questions concerning FAA certification. The following events take place during the preapplication meeting:
4.2.3.1 FAA personnel will brief the applicant on the regulatory requirements and policies regarding certification and operation of an AMTS.
4.2.3.2 The applicant informs the FAA as to which of the three types of ratings are sought: airframe, powerplant, or combined airframe and powerplant.
Note: Because of the complexity and costs involved in certification, many AMTS applicants initially choose to seek certification for only one rating to reduce certification time and to get training classes under way.
Figure 4-2. Preapplication Statement of Intent Expiration Date: 34730/202 -orm Approve
PREAPPLICATION STATEMENT OF INTENT US Department of Transportation Federal Aviation Administration perwork Reduction Act Statement: A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply wit ection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB Control Number for t Section 1A. To Be Completed By All Applicants
1. Name and mailing address of company 2. Address of principal base where operations will be conducted (do not use post office box)
3. Proposed Start-up date 4. Requested three-letter company identifier in order of preference
2.
Company Email Address Doing Business As (DBA)
5. Management Personnel Name (Last, first, middle) Title Telephone (including area code) and Email Address Section 1B. To Be Completed By Air Operators
6. Proposed type of operation (check as many as applicable)
• Air Carrier Certificate • Part 121 • Passengers and Cargo • Single Pilot Operator
• Operating Certificate Part 125 • Cargo Only • Single Pilot-in-Command Operator
• Part 133 • Scheduled Operations • Basic Part 135 Operator _ Part 135 - Nonscheduled Operations Section 1C. To Be Completed By Air Agencies
7. Proposed type of agency and rating(s)
• Part 145 Repair Station • Part 147 Maintenance Technical School Domestic • Airframe
- Foreign • New • Renew • Powerplant Satellite • Both
• Airframe Instrument
• Powerplant • Accessory
• Propeller • Specialized Service
• Radio —Any other purpose for which the FAA finds the applicant's request if appropriate Section 1D. To Be Completed By Air Operators
8. Aircraft Data 9. Geographic area of Intended operations Numbers and types of aircraft (Include Registration if available) Number of passenger seats or (by make, model, and series) cargo payload capacity FAA Form 8400-6 (05-17) Supersedes Previous Edition Page 1 Electronic Version 4-4
Section 1E. To Be Completed By All Applicants
10. Additional information that provides a better understanding of the proposed operation or business (attach additional sheets, if necessary)
11. The statements and information contained on this form denote an intent to apply for FAA certification.
Signature Date Name and Title Section 2. To Be Completed By FAA District Office Received by (district office): Precertification Number Date: Date Coordinated with AFS-620 Remarks FAA Form 8400-6 (05-17) Supersedes Previous Edition Page 2 Electronic Version 4-5
4-6
4.2.3.3 The applicant is given a thorough briefing on required attachments to the formal application. The FAA will discuss the certification process and events, and the applicant’s expectations for the certification completion schedule (see Figure 4-3, Sample Part 147 Schedule of Events (SOE)).
4.2.3.4 These attachments can be presented to the FAA either before or during formal application. The format (e.g., paper, electronic) is the choice of the applicant.
The attachment documents need to be prepared and brought to the formal application meeting, if not previously submitted, and include the following:
1. A completed FAA Form 8310-6, Aviation Maintenance Technician School Certificate and Ratings Application. This form is available at https://www.faa.gov/forms. See Figure 4-4, FAA Form 8310-6, Aviation Maintenance Technician School Certificate and Ratings Application.
2. A description of the AMTS facilities (refer to § 147.5(b)(1)). The descriptions will be included in the AMTS OpSpecs once issued. The description must be detailed enough to demonstrate that the AMTS can provide and maintain facilities that are appropriate to the rating or ratings requested, and the number of students taught. The applicant may provide facility diagrams in addition to the written description, which could be referenced in the OpSpec. The applicant must provide the facility description for the primary location and each additional training location.
See paragraph 2.8.1 for discussion on AMTS facilities.
3. A description of the equipment (refer to § 147.5(b)(1)). The description will be included in the AMTS OpSpecs once issued. The description must be detailed enough to demonstrate how the AMTS can provide and maintain equipment appropriate to the rating or ratings requested, and the number of students taught. The applicant must provide an equipment description for the primary location and each additional training location.
See paragraph 2.8.2 for discussion on AMTS equipment.
4. A description of the materials (refer to § 147.5(b)(1)). The description will be included in the AMTS OpSpecs once issued. The description must be detailed enough to demonstrate how the AMTS can provide and maintain materials appropriate to the rating or ratings requested, and the number of students taught. The applicant must provide a material description for the primary location and each additional training location. See paragraph 2.8.3 for discussion on AMTS materials.
Note: For certificated AMTSs that provide training at more than one location in accordance with § 147.15, the facilities, equipment, and materials used at each location must be appropriate to the curriculum or portion of the curriculum, and the number of students being taught, at that location.
5. A description of the manner in which the school’s curriculum will ensure the student has the knowledge and skills necessary for attaining a mechanic certificate and associated ratings under part 65 subpart D (refer
4-7 to § 147.5(b)(2)). This description should describe the basis of the curriculum, such as hours, credit hours, competency-based training (CBT), or some other basis of the curriculum. The description may also describe course delivery methods to be used by the school, such as in-person or distance learning.
6. A description of the manner in which the school will ensure it provides the necessary qualified instructors to meet the requirements of § 147.19 (refer to § 147.5(b)(3)). The description should include how the school provides the appropriate number of instructors, how it ensures instructors are appropriately qualified, and how the school ensures the student-to-instructor ratios are maintained in shop classes.
7. Curriculum. The school must submit its curriculum to the FAA. The FAA will review the curriculum to ensure it meets the requirements of § 147.17(a)(1) prior to certification of the AMTS.
Note: The FAA does not formally approve the AMTS curriculum.
However, the FAA ensures the curriculum aligns with the Mechanic ACS, pursuant to § 147.17(a)(1).
8. Evidence of accreditation, if applicable. If the AMTS meets the requirements of § 147.23(a) through accreditation within the meaning of 20 U.S.C. § 1001(a)(5), then it must be able to demonstrate to the FAA how its meets the accreditation requirement, to include evidence of the school’s accrediting organization and the school’s accreditation status.
9. AMTS quality control (QC) system, if applicable. If the AMTS intends to meet the requirements of § 147.23(a) through a QC system that meets the requirements specified in § 147.23(b), then the school must submit its QC system to the FAA for review and approval.
10. Exemption approvals, if applicable. Exemptions held by an AMTS are listed in the AMTS OpSpecs. If an AMTS holds an exemption to a 14 CFR requirement, it should include a copy of the exemption grant in the formal application package. If the AMTS is in the process of requesting an exemption, it should include a copy of the exemption request that was sent to the FAA.
11. Any other application attachments the AMTS would like to submit to demonstrate compliance with part 147.
12. A letter requesting that the application be processed and indicating when the facilities and equipment will be ready for a formal inspection by the FAA.
13. If the applicant elects to perform the applicable Element Design Data Collection Tools (ED DCT), these completed DCTs should be submitted to the FAA as a part of formal application to allow for evaluation during the DA phase.
4-8 Figure 4-3. Sample Part 147 Schedule of Events (SOE) Phase Event Proposed Date MM/DD/YYYY
1. Preapplication Initial Contact
1. Preapplication Submit PASI, FAA Form 8400-6
1. Preapplication Preapplication Meeting
2. Formal Application Conduct Formal Application Meeting
2. Formal Application Submit Formal Application and Attachments 2a. Documents Application, FAA Form 8310-6 2a. Documents Descriptions Required by § 147.5 2a. Documents Curriculum 2a. Documents Evidence of Accreditation, if applicable 2a. Documents Quality Control (QC) System, if applicable 2a. Documents Evidence of Exemption Grant/Request, if any 2a. Documents Applicant-Completed DCTs, if applicable
2. Formal Application Review Formal Application Documents
2. Formal Application Accept or Deny Formal Application
3. Design Assessment (DA) Review Documents
3. Design Assessment (DA) Document Deficiencies, if any. Notify Applicant.
3. Design Assessment (DA) Approve QC System, if applicable
4. Performance Assessment (PA) Evaluate Facilities and Proposed Training Operations
4a. Inspection Items Facilities 4a. Inspection Items Equipment 4a. Inspection Items Materials 4a. Inspection Items Instructor Qualifications 4a. Inspection Items Evidence of Accreditation, if applicable
4. Performance Assessment (PA) Observe use of FAA-Approved QC System, if applicable
4. Performance Assessment (PA) Observe Exemption Conditions and Limitations, if applicable
4. Performance Assessment (PA) Document Deficiencies, if any. Notify Applicant.
5. Certification Issue Part 147 Air Agency Certificate
5. Certification Issue Part 147 OpSpecs, as appropriate
5. Certification Prepare FAA Certification File
Figure 4-4. FAA Form 8310-6, Aviation Maintenance Technician School Certificate and Ratings Application TYPE OR PRINT ALL ENTRIES IN DARK INK OMB No. 2120-0040 Exp. --/--/-- Aviation Maintenance Technician School Certificate and Ratings Application A. APPLICANT
1. Name of School 2. Additional Business Names (Doing Business As (DBA)) (If applicable)
3. Name of Contact/Training Director 4. Contact Telephone No. 5. Contact Email Address B. PURPOSE OF APPLICATION
a. RATINGS REQUESTED (Specify): b. ADDITIONAL TRAINING LOCATIONS REQUESTED (during initial certification):
1. - ORIGINAL CERTIFICATE • AIRFRAME • POWERPLANT • NO
• AIRFRAME AND POWERPLANT • YES (Enter address information in section C below)
a. • ADDED RATING (Specify): • AIRFRAME • POWERPLANT • AIRFRAME AND POWERPLANT
2. • AMENDED CERTIFICATE b. • REMOVED RATING (Specify): • AIRFRAME • POWERPLANT • AIRFRAME AND POWERPLANT (Indicate only those items that are additions/changes to what c. • CHANGE OF LOCATION (Primary Location) (Enter new physical and/or mailing address in section C below) is currently approved.) d. • CHANGE OF NAME: (Enter new name or changes to DBA)
a. IDENTIFY REASON FOR SUBMISSION:
3. • OTHER C. FACILITIES
1. PHYSICAL ADDRESS OF PRIMARY SCHOOL LOCATION.
Address City State Zip Code Country
2. MAILING ADDRESS OF SCHOOL • Same as Physical Address.
Address City State Zip Code Country
3. PHYSICAL ADDRESS OF ADDITIONAL TRAINING LOCATIONS. (List additional locations on separate sheet if needed) • Additional Locations Attached Address City State Zip Code Country Address City State Zip Code Country D. APPLICATION ATTACHMENTS
• Description of Facilities (each location)
• Description of equipment (each location)
• Description of materials (each location)
• Description of curriculum
• Description of ensuring instructor requirements • Quality Control System (as applicable)
• Curriculum • Other (list other application attachments):
L Evidence of instructor qualifications L Evidence of accreditation (as applicable) E. APPLICANT'S CERTIFICATION NAME OF AUTHORIZED REPRESENTATIVE OF THE APPLICANT (Print Name) TITLE OF AUTHORIZED REPRESENTATIVE OF THE APPLICANT (Print Title) I hereby certify that I have been authorized by the school identified in section A to make this application and that statements and attachments hereto are true and correct to the best of my knowledge.
DATE (MM/DD/YYYY) AUTHORIZED REPRESENTATIVE SIGNATURE F. FAA CERTIFICATION ACTION (FOR FAA USE ONLY)
ACTION TAKEN CERTIFICATE ISSUED
- APPROVED Number: Ratings Issued:
DISAPPROVED (Certificate NOT Issued) Date: • AIRFRAME • POWERPLANT • AIRFRAME AND POWERPLANT Date FAA Signature FAA Office/Designation No.
(Print Name and Sign) FAA Form 8310-6 (01-22) SUPERSEDES PREVIOUS EDITION Page 1 of 1 4-9
4-10
4.2.3.5 The FAA uses SAS automation to assist in documenting the applicant’s compliance with regulatory requirements. SAS automation utilizes design DCTs which can be provided to the applicant to assist them in developing their policies and procedures to ensure compliance. If provided during the certification process, applicants may use these DCTs to conduct a self-audit to determine if the organization is in compliance with regulatory requirements prior to submitting the application attachments to the FAA for review. The applicant can submit their self-audit DCTs along with the required formal application attachments.
4.3 Formal Application Phase. The formal application phase begins upon submission of the completed FAA Form 8310-6 and the required application attachments discussed in paragraph 4.2.3.4.
4.3.1 The Formal Application Meeting. The formal application meeting could occur before, after, or in conjunction with submission of the formal application and attachments. In the formal application meeting, the AMTS applicant’s key decision-making personnel should be available to meet with the FAA and discuss the entire application package. The purpose of this meeting is to resolve any questions on the part of either party and to establish a common resolve for future proceedings of the application process.
4.3.2 Submission Package Review. When the responsible Flight Standards office has determined that the application package submission is complete, the Flight Standards office will notify the applicant that the submission is acceptable and will proceed to review all documents within the submission. In the case of a rejected application, the FAA will return the application and attachments to the applicant with the reasons stated for rejection.
4.4 Design Assessment (DA) (Document Compliance) Phase. The DA or document compliance phase is the part of the certification process when the applicant’s curriculum and other documents are reviewed in depth to ensure compliance with applicable regulations and conformity to safe operating practices. These documents may include paper representation or electronic format. It is recommended that this phase be initiated as early as possible in the certification process.
4.4.1 Evaluation of Documentation. The FAA will carefully review all documents submitted during the formal application phase. The FAA will maintain contact with the applicant during this phase. If deficiencies are found in the submission items, the FAA will return the entire submission to the applicant with a letter outlining the deficient areas. The FAA generally offers suggestions on modifying the product, but will not write the applicant’s documents. A future meeting between the FAA and the applicant can be scheduled to discuss each deficiency in detail, if necessary. If the submission as a whole is not of sufficient quality to complete the certification, the FAA may terminate the entire certification process.
4.4.2 Termination. In the case of termination of the certification process, the applicant must begin the certification process again. See paragraph 4.2.
4-11
4.5 Performance Assessment (PA) (Demonstration and Inspection) Phase. In the PA phase, the FAA determines whether the applicant’s proposed procedures and programs for training and directing personnel in the performance of their duties are effective. In this phase, the emphasis is on compliance with regulations and safe performance practices.
4.5.1 Inspection Schedule. When appropriate, the FAA will arrange with the applicant to inspect the facility. At this point, the FAA expects the AMTS facility to be complete with all facilities, equipment, and materials available for inspection. Before scheduling an inspection, the applicant should be certain the facility is ready to meet part 147 requirements.
4.5.2 Demonstration Criteria. In particular, the AMTS must demonstrate compliance with §§ 147.13 and 147.23, to include:
1. The descriptions of facilities, equipment, and materials provided pursuant to § 147.5 represent those actually used by the AMTS.
2. The AMTS as a whole is providing the facilities, equipment, and materials that are appropriate to the rating or ratings held by the school and the number of students taught.
3. At each training location, the AMTS facilities, equipment, and materials are appropriate to the curriculum or portion of the curriculum, and the number of students being taught, at that location.
4. Evidence of instructor qualifications. The school must be able to demonstrate to the FAA how its instructors meet the requirements of § 147.19.
5. Evidence of accreditation, if applicable. If the AMTS meets the requirements of § 147.23(a) through accreditation within the meaning of 20 U.S.C. § 1001(a)(5), then it must be able to demonstrate to the FAA how its meets the accreditation requirement, to include evidence of the school’s accrediting organization and the school’s accreditation status.
6. If the AMTS meets the requirements of § 147.23(a) through a QC system that meets the requirements specified in § 147.23(b), then the FAA will verify that the school is using its QC system procedures and that the procedures are producing the desired outcomes.
7. Observation of the AMTS compliance with conditions and limitations associated with any FAA exemption issued to the school and listed in the AMTS OpSpecs.
4.5.3 Demonstration Deficiencies. When deficiencies in the demonstration arise, the FAA will provide a written list of the discrepancies to the applicant. Depending on the magnitude of the deficiencies, the FAA may schedule a meeting to discuss in detail the appropriate corrective actions that are needed. Should the AMTS want to continue in the application and certification process, the AMTS must demonstrate how they have corrected the deficiencies to comply with part 147.
4-12
4.5.4 Termination. If the FAA terminates the application, and the applicant would like to continue to pursue certification, the applicant should correct the identified discrepancies and submit a new PASI to reinitiate the certification process.
4.6 Administrative Functions (i.e., Certification) Phase.
4.6.1 Successful Application. When the FAA has determined that the regulatory requirements have been met, the school will be issued an AMTS Air Agency Certificate and appropriate OpSpecs. The original FAA Form 8000-4, Air Agency Certificate, signed by the responsible FAA office manager, will contain the school’s certificate number; the name of the school, including any additional business names used by the school
(i.e., doing business as (DBA)); and the ratings issued to the school. At this time, the FAA will return any documents to the applicant. Copies of AMTS curriculum, the AMTSs’ FAA-approved QC system (if applicable), and copies of documents that include the descriptions required by § 147.5 (when those descriptions are not included directly in the AMTS OpSpecs) will be kept on file at the responsible Flight Standards office.
4.6.1.1 The school must display FAA Form 8000-4 pursuant to § 147.29 at a location that is visible by and normally accessible to the public, at:
• The primary school location, and
• Each additional fixed location.
Note: The FAA only provides the air agency with a single FAA Form 8000-4. The AMTS may display a copy of its Air Agency Certificate at each additional fixed location.
4.6.2 FAA Inspection. A newly certificated school should expect that the FAA will inspect and observe the school frequently during the first 90 days of operation to determine compliance with the applicable regulations. The FAA may also identify needed changes in the methods or techniques of the school’s operation and communicate these with the AMTS.