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302. PHASE 2—FORMAL APPLICATION. Under the regulations, an application for MSpecs must be made in a form and manner acceptable to the FAA. You should make a formal application by a letter that includes a request to be issued MSpecs to conduct operations under part 91K. The letter should include a mailing address and indicate the full name, title, and address of the designated agent for service, if other than you. Paragraph 303 lists the items addressed in the attachments that must accompany the formal application letter.
a. You should submit the formal application at least 90 days before operations will begin, and preferably as far in advance of the proposed startup date as possible. When you have fully developed the formal application, forward it to the assigned FSDO.
b. The FAA will notify you by letter whether it accepts or rejects your formal application.
FAA acceptance of a formal application does not constitute approval or acceptance of individual attachments. These documents will be thoroughly evaluated during subsequent phases of the application process. If the formal application is not accepted, it will be returned with a written explanation of the reasons for its return.
(1) Application Processing. At this time, the FSDO will form an application team and assign an inspector as the project manager. The project manager will be your point of contact at the FSDO for all matters related to your application.
(2) FSDO Team Actions. After you submit your application, the FSDO team will:
(a) Review the application package to confirm that it contains the required information and attachments. If there are omissions or errors, the team will return the formal application and all attachments to you with a letter outlining the reasons for its return.
(b) Initiate electronic MSpecs installation and training.
Note: In 2009, MSpecs will be issued under WEBOPSS.
(3) Formal Application Meeting. Once the application team has reviewed your application, it will schedule a formal application meeting. All of your key management personnel should attend the formal application meeting. If you have a comprehensive understanding of the requirements of part 91K, you should be able to resolve any omissions, deficiencies, or open questions during this meeting. The meeting will focus on the practicality of the SOE. The FAA team will fully discuss and explain the subsequent phases of the application process. You should ask for clarification of any item or event that you do not clearly understand.
303. FORMAL APPLICATION ATTACHMENTS.
a. Management Personnel Documentation. Identify personnel authorized to sign MSpecs and designated as a company points of contact. Additionally, if you request a Continuous Airworthiness Maintenance Program (CAMP), you must provide a résumé outlining the qualifications and experience for applicable management personnel.
b. Requests for Deviations. Part 91K permits you to request a deviation from certain regulations. The formal application should include the requested deviations and supporting justification. The only permissible deviations to part 91K are:
• Part 91, § 91.1041(g), proving tests—reduction of proving test hours,
• Part 91, § 91.1049(b), single-pilot operations,
• Part 91, § 91.1049(d), two-pilot operations,
• Part 91, § 91.1053, crewmember flight experience requirements,
• Part 91, § 91.1055, crew pairing requirements,
• Part 91, § 91.1063(b), part 121 training requirements, and
• Part 91, § 91.1063(c), part 135 training requirements.
c. Program Operating Manual (POM). This manual or sections of manuals contain information about your general policies, duties, responsibilities of personnel, operational control policy, and procedures. Part 91K requires that your manuals include instructions and information that allow your personnel to perform their duties and responsibilities. You should provide a draft outline of the major parts of all required manuals before Gate II.
NOTE: This draft outline will help ensure that all required material is accounted for and that the major parts of any incomplete manual are listed in the SOE with proposed dates for submission to the FAA.
(1) POM General Requirements.
(a) Part 91, § 91.1023 requires you to prepare and keep current a POM that sets forth procedures and policies acceptable to the FAA. As applicable, the manual must contain the contents required by part 91, § 91.1025 in enough detail so that your flight, ground, and maintenance personnel may properly perform their assigned duties. During the preparation of the POM, you should ensure that no conflict with the regulations exists that would prevent the FAA’s acceptance of the POM.
(b) You are responsible for developing the policy and procedures contained in the POM. The district office will provide you with guidance for developing your POM, should time and resources be available. The district office will not draft, or otherwise prepare, nor accept responsibility for developing the content of the manual. Acceptance of the POM depends upon your organizational ability to develop and manage your proposed operation.
(c) The FAA will review and accept your POM to ensure that it meets the requirements of part 91K.
(d) Program managers that are also certificated to operate under part 121 or 135 may be authorized to use the operating manual required by those parts to meet the program operating manual required by part 91K provided the policies and procedures are consistent for both operations, or, when the policies and procedures are different, the applicable policies and procedures are identified and used.
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NOTE: MSpec MA059, Authorization to Use Alternate Manuals, Programs, or Systems, provides information about authorization for alternate manuals, programs, and systems.
(2) POM Revisions. Usually, the program manager initiates POM revisions; however, the FAA may require changes in accordance with § 91.1025. You must have a system that ensures all manuals, publications, checklists, and airport analyses that are continually revised are kept current and have a means to ensure regulatory compliance. You may amend your manuals and incorporate new or revised policies and procedures, provided they comply with the appropriate regulations.
(a) The FAA will review and approve all revisions to the MSpecs you make before you distribute and use the approved material.
(b) The program manager should not distribute sections of the POM that require approval without first obtaining such approval from the FAA.
(c) The program manager should establish procedures for manual system distribution. You must copy the manual(s) or the appropriate portions of the manual (including revisions) available to all of the program crewmembers, maintenance, and ground operations personnel. You must also issue a copy of the POM to the FAA. Each individual issued a POM, or appropriate portions, must keep it up to date with all revisions, as required by part 91, § 91.1023(a).
(d) When you revise the POM, the manual should have a tracking system to record the revisions made to the manual, the date the revision was inserted into the manual, and the date the revision became effective. Manual users should keep a record of manual revisions to provide evidence of currency. As of the effective date of a revision, all people required to have such revisions should have received and inserted the revision or the manual holder will be considered to have noncurrent manuals.
(3) Components of the POM. Section 91.1025 requires you to include the following in the POM:
• Weight and balance procedures;
• Applicable sections of the MSpecs;
• Accident notification requirements;
• Procedures ensuring the pilot in command (PIC) knows that the required maintenance inspections have been completed;
• PIC reporting and recording of mechanical irregularities before, during and after flight;
• PIC procedures regarding previous flight irregularities or deferred items;
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• PIC procedures for maintenance and servicing of the aircraft at out stations and/or acting in behalf of the operator;
• Minimum equipment list (MEL) procedures;
• Refueling procedures;
• Passenger briefings;
• Crewmember emergency procedures;
• Approved aircraft inspection program, if applicable;
• Evacuation procedures for persons needing assistance;
• Performance planning;
• Destination Airport Analysis Program (DAAP), if applicable;
• Maintenance recordkeeping;
• Flight locating and scheduling procedures; and
• Other procedures and policy required by the FAA or deemed necessary by the program manager.
d. Aircraft Inspection Program/Maintenance Manual. See Appendix 7.
e. Internal Safety Reporting Procedures and Incident/Accident Response Procedures, 14 CFR § 91.1021. For additional information, see AC 120-92, Introduction to Safety Management Systems for Air Operators.
f. Training Program. The training curriculum must be attached to the formal application letter. If authorized by the FAA, § 91.1063 allows a program manager to comply with the applicable training and testing sections of part 121 or 135, except for the operating experience requirements, instead of part 91, §§ 91.1065 through 91.1107. Training curricula must include at least the following curriculum segments appropriate to each crewmember position:
• Basic indoctrination training,
• Emergency training,
• Initial aircraft ground/flight training,
• Upgrade/Transition/Recurrent/Requalification training,
• Differences training, and
• Hazardous materials recognition.
g. Aircraft Operations Manual (AOM). An AOM is not required for part 91K operators who choose to use the manufacturers approved Aircraft Flight Manual (AFM). The AFM is not Page 14 Par 303
required to be attached to the application; however, a current AFM must be available for review during the demonstration and inspection phase.
h. MEL/CDL.
(1) Part 91, § 91.1115 provides for the use of an approved MEL to allow the fractional ownership program manager to operate its aircraft with certain inoperable equipment and instruments. Your operating manual will describe how your personnel will use the approved MEL. The manual will contain instructions and procedures for guidance of flight and ground personnel, including a procedure to properly evaluate the existing conditions to ensure the release of a safe aircraft.
(2) You must apply to your FSDO for authorization to use an MEL approved under part 91K.
(3) If you use an aircraft that does not have an FAA-approved Master Minimum Equipment List (MMEL), you should apply to your FSDO if you desire to use an MEL. In the application, you should specify the instruments and equipment to be included in the aircraft’s MMEL. The FAA FSDO will forward the request to the Flight Operations Evaluation Board (FOEB) for consideration.
(4) If you operate aircraft under part 91K and parts 121, 125, or 135, and have an approved MEL under part 121, 125, or 135, you must use that MEL for part 91K operations.
i. Initial Compliance Statement.
(1) Preparation of the compliance statement benefits the applicant by systematically ensuring that all applicable regulatory aspects are appropriately addressed during the application process. The compliance statement should be in the form of a complete listing of all appropriate 14 CFR sections pertinent to the operation the applicant is proposing. This list should reference applicable subparts and each relevant section of the subparts. Next to each subparagraph, the applicant must provide a specific reference to a manual or other document, and may provide a brief narrative description of how the applicant will comply with each regulation. This statement also serves as a master index to the applicant’s manual system to expedite the FAA’s review and approval of the operation and manual system. The compliance statement is a living document that must be updated as changes are incorporated in the applicant’s system.
(2) Where the compliance information has been developed (e.g., the manual material submitted with the formal application), a manual reference or description of the method of compliance must be entered next to the applicable regulatory section.
(3) Present the list of the specific regulations and subparts, including all subparagraphs, in the manner prescribed below:
(a) Example 1, Compliance Statement. Part 91, § 91.1035, Passenger Awareness.
1. Content of Passenger Briefing: POM p. 217, par. 237.
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2. Briefing of Persons needing assistance: POM p. 218, par. 238.
3. Advising passengers of entity in operational control: POM p. 219, par. 239.
4. Requirement for Passenger briefing conducted by PIC or another crewmember: POM p. 220, par. 240.
5. Use of an approved recording playback device for passenger briefing: POM
p. 221, par. 241.
6. Printed briefing cards: Attached example of briefing card: POM p. 222, par. 242.
(b) Example 2, Compliance Statement. Part 91, § 91.1025(e), Program Operating Manual Contents. The POM, page 37-5, paragraph 35, instructs the PIC on the requirements for, and methods of completing, the aircraft discrepancy log. The PIC must review the log before each flight and ascertain the status of each previous entry. The GMM page 58-33, paragraph 665(1)(A), instructs maintenance personnel on the requirement to record discrepancies discovered during preflight checks and other types of checks.
j. Cockpit Checklist, 14 CFR, § 91.1033. (Including emergency, if applicable.)
k. Passenger Briefing Cards. For additional information, see AC 121-24, Passenger Safety Information Briefing and Briefing Cards.
l. Flight and Rest Scheduling Program. If authorized, a program manager may use the applicable unscheduled flight time limitations, duty time limitations, and rest restrictions of either part 121 or 135 instead of the flight time, duty time and rest requirements of part 91K. A program manager does not have to additionally hold an air carrier/commercial operator certificate to use the flight, duty, and rest rules of part 121 or 135. This provision is authorized by MSpecs.
m. Hazardous Materials Recognition Program 14 CFR, § 91.1085.
n. Certification of the Execution of Agreements and Acknowledgment of Owner’s Operational Control Responsibilities. It is not necessary to submit copies of all the required contracts or owner’s operational control acknowledgments. The program manager can certify that the contracts and agreements contain the regulatory elements. The FAA reserves the right to inspect contracts and acknowledgment forms. See Appendix 3 for a copy of this document.
o. Pilot Safety Background Checks and Procedures.
p. Drug and Alcohol Misuse Education Program.
(1) Each direct employee and/or contract employee must receive drug and alcohol misuse education, which will include:
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(a) Effects and consequences of drug use and alcohol misuse on personal health, safety, and work environment.
(b) Manifestations and behavioral cues that may indicate drug use and alcohol misuse and abuse.
(2) Materials can be obtained from:
(a) Private and public organizations.
(b) Web sites on drug and alcohol misuse and abuse such as:
http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam/drug_alcohol/policy/ and http://www.dot.gov/ost/dapc/.
(3) Fractional ownership employees may only be tested under their company’s authority. Department of Transportation (DOT)/FAA regulations only cover employees performing safety-sensitive functions for:
• Part 121 Air Carrier,
• Part 135 Commuter and On-Demand Operations, and
• Part 135.1(c) Sightseeing Operations.
(4) Company drug and alcohol testing programs must be separate and distinct from the DOT drug and alcohol testing program.
(5) Fractional owners are prohibited from using Federal Custody and Control Forms and Alcohol Testing Forms for non-DOT drug and alcohol tests.
(6) When in need of emergency maintenance (as defined in part 91, § 91.1047) fractional ownership companies must first exhaust options of attaining maintenance personnel who have already received drug and alcohol misuse education before performing emergency maintenance on an aircraft.
q. Load Manifest Form. Each program manager is responsible for the accurate preparation of a load manifest form in duplicate before each takeoff. The PIC of the aircraft for which the manifest was prepared must carry the manifest to its destination. It must include the following information:
(1) The number of passengers;
(2) The total weight of the loaded aircraft;
(3) The maximum allowable takeoff weight for that flight;
(4) The center of gravity limits;
(5) The center of gravity of the loaded aircraft, except that the actual center of gravity need not be computed if the aircraft is loaded according to a loading schedule or other approved Par 303 Page 17
method that ensures that the center of gravity of the loaded aircraft is within approved limits. In those cases, an entry on manifest must indicate that the center of gravity is within limits according to a loading schedule or other approved method;
(6) The registration number of the aircraft or flight number;
(7) The origin and destination; and
(8) Identification of crewmembers and their crew position assignments.
r. List of All Fractional Owners and Associated Aircraft. This list must contain the names of all fractional owners and types of aircraft, and aircraft registration markings and serial numbers. The list can be contained in the program manager’s management specifications, or kept at the principal base of operations or other approved location and referenced in the MSpecs.
s. SOE. The SOE lists the items, activities, programs, and aircraft and/or facility acquisitions that you must accomplish or make ready for FAA inspection before application. It must include your best estimate of the date you will acquire each item or accomplish each event, including a planned start and completion date. These estimated dates must be logically sequenced. For example, your training programs must be approved before beginning crewmember training. When FAA approval is required before beginning a subsequent event or item, you should allow at least 30 days for the FAA to review, inspect, and approve each item or event. Failure to accomplish an item or event in a satisfactory manner, or in accordance with the SOE, could delay the issuance of MSpecs. If at any time during the application process you find it necessary to revise the SOE, you should notify the FAA project manager as soon as practical.
See Appendix 6 for a sample SOE for part 91K.
t. Other Programs, Manuals, and Material. The following is a list of additional programs, manuals, and material that may apply to the fractional ownership program:
(1) Configuration Deviation List (CDL).
(2) Environmental Review.
(3) Destination Airport Analysis Program. Required for turbine-engine-powered, large, transport-category airplanes in accordance with part 91, § 91.1037(c) (80 percent rule). See Appendix 8 for further guidance.
(4) Proving and/or validation test plan.
(5) Continuous analysis and surveillance system for aircraft maintained under a CAMP.
(See Appendix 7 for further guidance).
(6) Flight Locating Program
(7) Other requested authorizations.
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Par 303 Page 19 NOTE: The FAA does not require applicants to submit security programs;
however, the Transportation Security Administration (TSA) may require a security program. For further guidance please check the TSA Web site at:
www.tsa.gov.
304. PHASE 3—DOCUMENT COMPLIANCE.
a. The FSDO team will:
(1) Conduct an extensive review of your application package.
(2) Brief you on the findings as the review progresses. You will need to make revisions, as necessary.
b. After any required revisions are made, the FSDO team will:
(1) Review your revised documents and approve, accept, or recommend revisions as necessary.
(2) Conduct a formal meeting with you to review your document revision plans and the plans for proving and validation tests, if required.
NOTE: These documents may include paper representation of data intended for display on the airplane; for example, electronic checklists or approved flight manuals. Guidance on the use of electronic checklists is provided in AC 120-64, Operational Use and Modification of Electronic Checklists.
Operators’ use of electronic checklists should be consistent with the provisions of AC 120-64 (as amended).
305. PHASE 4—DEMONSTRATION AND INSPECTION.
a. Section 91.1041 requires you to demonstrate the ability to comply with regulations and safe operating practices before you begin operations. These demonstrations include actual performance of activities and/or operations while being observed by FAA inspectors, and on-site evaluations of aircraft maintenance equipment and support facilities. During these demonstrations and inspections, the FAA evaluates the effectiveness of the policies, methods, procedures, and instructions (as described in your manuals and other documents). The FAA will focus on your management effectiveness during this phase and identify any deficiencies. You must take corrective action before the FAA will issue MSpecs.
b. The following list provides examples of the types of items, equipment, facilities, and activities evaluated during the demonstration and inspection phase. This list is not all-inclusive, and certain items may not apply to a particular type of operation:
(1) Conduct of training programs (e.g., classroom, simulators, aircraft, crewmember training, scheduling or flight release personnel training, and maintenance personnel training).
(2) Crewmember testing (e.g., pilots, Flight Attendants (F/A), as applicable).
(3) Facilities (e.g., equipment, procedures, and personnel).
(4) Recordkeeping procedures (e.g., documentation of training, flight and duty times, flight papers).
NOTE: Program managers that are also certificated to operate under part 121 or 135 may satisfy the recordkeeping requirements of part 91, §§ 91.1027 and 91.1113 with records maintained to fulfill equivalent obligations under part 121 or 135.
(5) Flight Scheduling and Locating.
(6) Maintenance and inspection programs (e.g., procedures, recordkeeping).
(7) Maintenance facilities (e.g., personnel, procedures, technical information, spare parts, equipment, fueling).
(8) Aircraft (e.g., conformity inspection and aircraft maintenance records, AFM).
(9) MEL and CDL (e.g., compliance with operating and maintenance procedures, if applicable).
(10) Weight and balance procedures (e.g., accuracy, and document control).
(11) Operating information. (To include checklists and charts.)
306. PROVING/VALIDATION TESTING.
a. General. Proving tests are conducted to allow you to demonstrate your capability to operate a specific type of aircraft within the scope of the proposed MSpecs and applicable sections of the regulations. When the FAA conducts validation testing it scrutinizes the applicable portions of your proposed procedures, operational control, training programs, manuals, facilities, and maintenance programs. The FAA conducts validation tests so that you can demonstrate your proficiency to operate:
(1) Over specific areas of operation, while using specific navigational equipment.
(2) Within specified limitations in critical areas.
(3) A new program aircraft that is not considered similar to a previously proven aircraft.
(4) Procedural or operational authorizations.
NOTE: Refer to FAA Order 8900.1 for additional guidance.
NOTE: Proving and validation tests conducted under part 121 or 135 may be used to justify a partial or complete deviation to the proving and validation test requirements of part 91K. Conversely, proving and validation tests Page 20 Par 305
under part 91K can be used to justify a partial or complete deviation to the proving and validation test requirements of part 121 or 135.
b. Before any proving and validation tests, you must:
(1) Have all manuals reviewed and discrepancies corrected and approved or accepted, as required.
(2) Have your training programs initially approved and sufficient personnel trained.
(3) Have your inspection/maintenance programs approved and conformity checks satisfactorily completed.
(4) Have your proving and validation test schedule reviewed and accepted.
(5) Have all other discrepancies and open questions satisfactorily resolved.
NOTE: See table 3-1 below to determine if proving and/or validation testing are applicable.
TABLE 3-1. PROVING AND VALIDATION TESTING TABLE Steps
Two-Pilot “Aircraft” by Type Certificate (Non-Turbojet) Turbojet Airplane
PROVING
TESTS/FLIGHTS
1. Initial Aircraft Type Each Requires a Proving Test if not previously authorized on MSpecs/OpSpecs Airplane Rotorcraft/ TiltRotor Airplane
VALIDATION
TESTS/FLIGHTS
2. Each Additional A/C Type < 99,000 lb MGTOW Validate Additional Authorizations
> 99,000 lb MGTOW Validate each “Type Rating” and Validate Additional Authorizations Validate each “Type Rating” and Validate Additional Authorizations < 99,000 lb MGTOW Validate Additional Authorizations
> 99,000 lb MGTOW Validate each “Type Rating” and Validate Additional Authorizations
Notes: (applies to all aircraft)
• A table of authorizations that require procedural and/or flight validation testing for aircraft operating under part 91K, and part 135 can be found in FAA Order 8900.1, Flight Standards Information Management System.
• MGTOW based upon the MGTOW contained in the original aircraft type certificate.
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307. PHASE 5—DOCUMENTATION.
a. MSpecs Approval. After the applicant has satisfactorily completed the document compliance, demonstration, and inspection phases (including proving and validation testing, as applicable), the FAA project manager will prepare, approve and sign the applicable MSpecs. The MSpecs contain authorizations, limitations, and provisions specific to an applicant’s operation.
Any fractional ownership applicant must request access to the Industry Operations Specifications Subsystem (OPSS/WEBOPSS). The FAA will work with the applicant to develop appropriate MSpecs. Access to OPSS/WEBOPSS requires the creation of an AVS user account. Before applying for the digital signature, applicants should complete the AVS New User Request Form for Industry OPSS/WEBOPSS found in Appendix 9, and have their principal inspector (PI) forward the completed form to ‘9-awa-afs-opssprob@faa.gov, as the PI needs to approve the request for access. Direct questions regarding this process to the OPSS Support Center
(405) 954-7272.
Note: In 2009, MSpecs will be issued under WEBOPSS.
b. Owner/Program Manager. The owner/program manager are jointly responsible for continued compliance with the regulations and authorizations, limitations, and provisions of its MSpecs. When the owner/program manager operation changes, the MSpecs will be amended accordingly. The process for amending MSpecs is similar to the application process, but may be a less complex procedure, depending on the requirements of the amendment. In accordance with part 91, § 91.1019, the FAA is responsible for periodically inspecting the owner/fractional program manager’s operation to ensure continued compliance with the regulations and safe operating practices.
NOTE: Once MSpecs have been issued to the operator and operations have commenced, amended MSpecs must be approved by the POI before the implementation of the specific request.
308. FAA Oversight. Part 91K operations are subject to equivalent FAA oversight as part 135 air carriers, except for cabin and cockpit en route inspections, and line checks. FAA Order 8900.1 contains guidance that outlines the required inspections and requirements that must be accomplished before beginning operations and for continued operations.