1/19/12                        FY12 SECOND Quarter Editorial Updates             8900.1 CHG 0

Volume 3 GENERAL TECHNICAL ADMINISTRATION

CHAPTER 7  ISSUE A CERTIFICATE OF WAIVER OR AUTHORIZATION: § 91.119(b) and/or (c) (MINIMUM SAFE ALTITUDES)

Section 1  Issue a Certificate of Waiver or Authorization: § 91.119(b) and/or (c) (Minimum Safe Altitudes)

3-181           PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES. 1230.

3-182           OBJECTIVE. The objective of this task is to determine whether or not an applicant is eligible for the issuance of a Certificate of Waiver to Title 14 of the Code of Federal Regulations (14 CFR) part 91, § 91.119(b) and/or (c). Successful completion of this task results in the issuance of a Certificate of Waiver or Authorization, or the disapproval of an application.

3-183           BACKGROUND.

A.     Definitions.

1)      Congested and Densely Populated Areas. Refer to Volume 3, Chapter 51, Section 6.
2)      Pipeline/Powerline Patrol. Operation of an aircraft in order to locate leaks or breaks in a pipeline or powerline.
3)      In the Public Interest. Operations conducted by Federal, State, and local governments; by private law enforcement operators; or for the purpose of conservation, wildlife preservation, or pipeline or powerline patrols.

B.     Authority. Part 91 provides for the issuance of a waiver of § 91.119(b) and/or (c). Part 91 also provides for the issuance of a waiver of § 91.313(e) if the applicant is to perform limited operations with restricted category aircraft. Refer to Volume 3, Chapter 4.

C.     Examples. Examples of waivers of § 91.119(b) and/or (c) are pipeline/powerline patrol, low‑level thermography flights, and flights by foreign operators under the North American Free Trade Agreement (NAFTA).

D.    Regulations That May Not Be Waived. Section 91.119(a) and (d) shall not be waived.

E.     History of the Waiver. Except for a minor amendment to provide relief to recognize the unique capabilities of helicopters, minimum safe altitudes (MSA) have remained unchanged. These rules were specifically written to safeguard life and property on the surface, with the highest priority placed upon the protection of human life. The Federal Aviation Administration (FAA) recognizes that certain operations justify waiving the 1,000‑foot minimum over congested areas and/or 500‑foot minimum separation distance from persons or property on the surface.

F.      Eligibility. Operators of standard, limited, or restricted category aircraft may apply for a Certificate of Waiver to engage in pipeline/powerline patrol operations. Operators of restricted category aircraft may also require a waiver of § 91.313(e) if operations will require flight over congested areas. Refer to Volume 3, Chapter 2.

G.    Forms Used. FAA Form 7711‑2, Application for a Certificate of Waiver or Authorization (Figure 3‑43), is a multipurpose form used to apply for FAA Form 7711‑1, Certificate of Waiver or Authorization (Figure 3‑44). All blocks on the form may not be applicable to the application request.

H.    Submission. Completion and submission of FAA Form 7711‑2 is the responsibility of the applicant. A completed FAA Form 7711‑2 should be submitted to the Flight Standards District Office (FSDO) in whose jurisdiction the applicant plans to conduct the operation a minimum of 45 days before the planned operation begins. If the request involves operations in more than one FSDO’s area of jurisdiction, the application should be submitted to the FSDO in the area of the applicant’s principal business office.

I.       Approval or Denial. Within 30 days of receipt of FAA Form 7711‑2, an approved FAA Form 7711‑1 or the disapproval of the application must be issued by the FSDO. Once approved, FAA Form 7711‑2 becomes a part of FAA Form 7711‑1. The jurisdictional FSDO manager or his or her designated representative, who may be either the assistant manager or another supervisor from within that jurisdictional FSDO, will sign the waiver upon approval.

J.      Expiration Date. An FAA Form 7711‑1 will expire no later than 24 calendar‑months from the date of issuance. A Certificate of Waiver may be reissued after the submission of a properly prepared FAA Form 7711‑2 and, if appropriate, the applicant’s previously approved operations manual. For NAFTA operations, the expiration date will be a maximum of 12 calendar‑months from the date of issuance.

3-184           WAIVER OF § 91.119(b).

A.     Inspector Considerations. There are three basic points that an inspector should consider before processing a request for a waiver of § 91.119(b):

1)      Is the waiver request in the public interest?
2)      Can the operation be conducted with an equivalent level of safety?
3)      What special provisions are necessary to ensure this adequate safety margin?

B.     Indicates new/changed information.Evaluation of the Application. The applicant should describe in detail the proposed operation and specify the altitude essential to accomplish the operation. When issuing the waiver, the altitude requested should be an absolute minimum, but may not be less than 500 feet from persons or property, unless necessary to safeguard human life (refer to subparagraph 3‑185B). Operations involving flights in airspace requiring two‑way communication will be coordinated with the appropriate air traffic (AT) facility. If operations will involve towing, refer to Volume 3, Chapter 3.

C.     Special Provisions. For clarity, special provision guidelines are divided into single‑engine and multiengine operations.

1)      Single‑Engine Aircraft. The minimum altitude permitted in the waiver must comply with § 91.119(a). This may be accomplished by requiring specific routes and altitudes as necessary to ensure that the aircraft can reach a safe landing area in the event of engine failure. If specific routes and altitudes are used, they should be depicted on a chart. The waiver should be limited to day visual flight rules (VFR) operations only.
2)      Multiengine Aircraft. If the aircraft is operated at weights that will allow it to climb with the critical engine inoperative, consistent with terrain but not less than 50 feet per minute, specific routes and altitudes are not required. Waivers may authorize day and night VFR.

3-185           WAIVER OF § 91.119(c).

A.     Five-Hundred-Foot Minimum Separation Distance. Unless it is necessary to safeguard human life or it can be determined to be in the public interest and contributing to the public health, welfare, and safety, the 500‑foot minimum separation distance from persons on the surface shall not be waived. Issuances of waivers to safeguard human life are discussed in subparagraph 3‑185B. Issuance of waivers determined to be in the public interest are discussed in subparagraph 3‑185C.

B.     Waivers Issued To Safeguard Human Life. For waivers issued to safeguard human life, the applicant should be required to identify a minimum altitude or proximity that will permit accomplishment of the operation. The minimum requested should be the absolute minimum permitted. In addition:

1)      Single‑Engine Aircraft. These aircraft should be prohibited from flying directly at or over persons on the surface and, when operating in close proximity to persons on the surface, it must always be possible to comply with § 91.119(a) without excessive maneuvering.
2)      Multiengine Aircraft. These aircraft should be limited to weights that will allow it to climb, with the critical engine inoperative, consistent with terrain but not less than 50 feet per minute. If this is not possible, the multiengine aircraft should be treated in the same manner as single‑engine aircraft.

C.     Indicates new/changed information.Waivers Issued in the Public Interest. Operators determined to act in the public interest may be authorized to operate closer than 500 feet, but under no condition closer than 200 feet, to persons on the surface. Waivers issued in accordance with this paragraph require the development of an operations manual (refer to subparagraph 3‑185F and paragraph 3‑186).

D.    Special Provisions. Depending upon the type of operation involved, it may be necessary to prescribe numerous and detailed special provisions. The following are special provisions that should be shown on every waiver issued under Volume 3, Chapter 6, Section 1, paragraph 3‑147, along with any additional provisions considered necessary by the issuing FSDO:

1)      Operations are limited to VFR, day only.
2)      Unless authorized by an accepted operations manual, intentional flight at less than 500 feet directly over persons on the surface is prohibited. In addition, the aircraft may not be flown along a path that would require excessive maneuvering to avoid persons on the surface in the event of an emergency.
3)      Unless authorized by an accepted operations manual, the terms of the waiver are limited to within one‑quarter mile of the authorized route or operating area, except that no community will be overflown below 500 feet or at less than 1,000 feet over the congested areas of a city.
4)      Operations under this waiver are limited to the pilots listed on FAA Form 7711‑2 or the accepted operations manual.
5)      In the event of an emergency (the known or suspected rupture of a gas pipeline, flood, storm, etc.) requiring immediate action, the waiver holder may use pilot personnel without compliance with either the initial or annual check requirements. However, within 7 days of the time that this emergency authorization is exercised, the waiver holder will notify the FSDO responsible for issuing the waiver of such action.
6)      Except when necessary to safeguard human life, no operation will be conducted in closer proximity to persons on the surface than authorized by this waiver.

E.     Other Waivers of § 91.119(c). A waiver for operations that are not for the purpose of safeguarding human life or in the public interest should prohibit flight closer than 500 feet to any vessel, vehicle, or building on the surface unless the pilot takes reasonable action to determine that they are not occupied by persons at the time of the operation.

F.      Manual. If § 91.119(c) is to be waived because it has been determined to be in the public interest (refer to subparagraph 3‑185C), the applicant must submit an original and one copy of an operations manual to the local FSDO for acceptance. Operating and safety procedures must be incorporated in the operations manual. Once accepted by the FSDO, the manual becomes a part of the special provisions. The manual is the standard by which a waiver holder must conduct all operations pursuant to the Certificate of Waiver. The controls, procedures, and conditions set forth in the operations manual are the primary assurance that persons on the surface will not be jeopardized, and will become the basis for issuing of the Certificate of Waiver. Therefore, failure to comply with the provisions of the manual will be considered a violation of the terms of the waiver and may constitute justification for cancellation of the waiver.

G.    Manual Revisions. Inspectors should encourage operators to discuss manual revisions with the FSDO before they are submitted for acceptance. Revisions should not be distributed by the operator until accepted by the FAA and returned to the operator with signature and date. If the revisions are not acceptable, notify the operator in writing within 10 days of receipt of the revisions at the FSDO.

3-186           CONTENTS OF THE OPERATIONS MANUAL. The manual must include, but is not limited to, the following:

A.     Title Page and Revision Page. This is generally self-explanatory, but Volume 3, Chapter 51, Section 3, Figure 3‑133, Sample Rotorcraft-Load Combination Flight Manual, contains typical examples.

B.     Company Organization.

1)      Business name, address, and telephone number of applicant.
2)      If more than one pilot is to be used under the terms of this waiver, the applicant must designate a chief pilot.

C.     Pilots to Be Used. This section should contain a list of pilots to be used, including their pilot certificate numbers, grade, and class, and date of medical.

D.    Aircraft to Be Used. This section should contain a list of aircraft by make and model.

E.     Operations Manual Distribution and Revision. This section should contain:

1)      Procedures for distribution of the manual to all flight personnel.
2)      A system for revising the manual to ensure that all manuals are kept current. Revisions for an accepted manual should be forwarded to the FSDO at least 15 days before the proposed effective date.
3)      Procedures that describe how approved changes to the manual will be distributed to the pilots.

F.      Area of Operations. There will be a wide variety of operational needs. Some can be identified as specific patrol routes, whereas others may involve open water or forest areas of an entire state. The following information should be provided, as appropriate.

1)      Specific Routes (Powerline/Pipeline Rights-of-Way). The manual must contain each route depicted in either cartographic or photographic form. The depiction must identify each community, settlement, stadium, or other common gathering place located within one‑quarter mile on either side of the route. The depiction should include additional information regarding the location of hazardous power or phone lines or other obstructions requiring altitudes in excess of the minimums prescribed in the waiver.
2)      Large Area Routes. Manuals developed by operators needing broad area authorization should clearly describe the land or water areas where the privileges of the waiver are to be exercised. This may be in the form of a state map with operational areas depicted or a description of operational areas; i.e., open water areas and sparsely populated areas where wildlife preservation operations are to be conducted. It is especially important that the operator provide pilots with sufficient information to know when the privileges of the waiver apply and when they must be in full compliance with § 91.119(b) and (c).

G.    Flight Operations. The operations manual will contain a flight operations section covering information necessary to ensure compliance with the waiver, and include at least the following:

1)      Weather Conditions. Operations are limited to VFR.
2)      Operations in Airspace Requiring Two‑Way Communication. The terms of the waiver may not be exercised in airspace requiring two‑way communication unless authorization for the flight has been obtained from the appropriate AT facility.
3)      Operations Within 500 Feet of Persons. Section 91.119(c) prohibits operations directly over persons on the surface at less than a 500‑foot altitude. When operations at less than a 500‑foot altitude or a 500‑foot lateral clearance from persons are desired, procedures must be approved by the FAA that include approach and departure paths, emergency procedures to be used, and the pattern and altitude that will permit the aircraft, if single‑engine, to land in an emergency without endangering persons or property on the surface. Additionally, the aircraft flightpath must be such that it will not be necessary to pass directly over persons on the surface in the event of an emergency. The trajectory of the aircraft must pass to one side or the other of any persons on the surface.
4)      Entry/Departure Paths. All normal entry and departure paths to and from the waivered flightpaths will be charted and available to the pilot.

H.    Certification/Airworthiness. The aircraft may be certificated in any category, except experimental and provisional, provided the requirements of §§ 91.7 and 91.203 are met. Procedures shall be included to ensure that inspections will be in accordance with 14 CFR parts 43 and 91.

I.       Pilot Personnel Minimum Requirements. The operator will establish and specify the minimum pilot requirements. Minimum requirements should meet or exceed the following:

·        Indicates new/changed information.A current commercial or airline transport pilot certificate with ratings appropriate to the category and class of aircraft to be used under the terms of the waiver;

·        At least 500 hours as pilot in command (PIC) logged;

·        A minimum of 100 hours in the category and class of aircraft to be used;

·        Indicates new/changed information.A minimum of 25 hours as PIC in the category and class of aircraft to be used; and

·        A minimum of 5 hours as PIC in the make and model aircraft to be used under the waiver.

J.      Initial Checkout. The manual must provide that each pilot be route qualified and have his or her logbook endorsed as such by a chief pilot. The endorsement must be made by the chief pilot, although another qualified pilot may give the initial checkout. In addition to route qualification, each pilot must satisfactorily demonstrate knowledge in the following:

·        Route familiarization,

·        Aircraft performance and limitations,

·        Emergency procedures,

·        Operations manual, and

·        Terms and conditions of the waiver.

K.    Annual Check. The chief pilot will examine each pilot at least once every 12 calendar‑months. The examination will consist of an oral and practical test that covers the subject areas for the initial checkout.

L.     Pilot Notices. The applicant must develop a procedure to notify all pilots of special circumstances such as the avoidance of noise‑sensitive areas, changes in operating procedures, etc.

M.  Accident Notification. The manual must contain procedures for the notification and reporting of accidents.

3-187           REVIEW FAA FORM 7711‑2. Pertinent blocks are discussed below for clarity and uniformity. The application should be reviewed upon receipt for obvious discrepancies. The information submitted by the applicant on FAA Form 7711‑2 must not be altered by the issuing office.

A.     Indicates new/changed information.Blocks 1 and 2. If the applicant is a representative of an organization, the organization’s name should appear in block 1. The name of the individual and his or her position or authority to represent the organization (e.g., the “responsible person”) should appear in block 2. If the applicant is not representing others, the term “NA” should be entered in block 1 and the applicant’s name entered in block 2.

B.     Blocks 3, 4 and 5. Applicant should state information as explained on each individual block.

C.     Block 6. In many instances, the applicant does not know or is not sure which sections of the regulations are involved. A conference with the applicant before acceptance of the application may be necessary.

D.    Indicates new/changed information.Indicates new/changed information.Block 7. It is sufficient for the applicant to use the terms “agricultural,” “forest and wildlife,” “aerial surveying,” “patrolling,” or “weather control” to describe the type of operation. However, the applicant should include detailed information on the type of operation.

E.     Block 8. A detailed description of any city, town, county, and/or state over which operations will be conducted. For powerline/pipeline operations, the routes must be depicted in cartographic or photographic form. This depiction should include every community, settlement, stadium, or other common gathering place located on either side of the route. The depiction should also include the areas where powerlines, phone lines, or any other obstructions cross the route.

F.      Block 9. The applicant should list beginning and ending dates for the operation in this block. In cases involving one‑time operations where the applicant has not indicated an alternate date, the inspector should advise the applicant to request alternate dates in order to save time and unnecessary paperwork.

G.    Indicates new/changed information.Indicates new/changed information.Block 10. At the time the application for a waiver is submitted, the applicant may not know the names of the pilots or the aircraft to be used in a particular operation. The application may be accepted with a notation in block 10 that a list will be provided at a later, specified date.

3-188           PREREQUISITES AND COORDINATION REQUIREMENTS.

A.     Prerequisites. This task requires knowledge of the regulatory requirements of part 91 and FAA policies and qualification as an aviation safety inspector (ASI) (Operations).

B.     Coordination. This task may require coordination with the airworthiness unit within the district office, other FSDOs, appropriate AT facilities, and the Regional Office (RO).

3-189           REFERENCES, FORMS, AND JOB AIDS.

A.     References (current editions):

·        Title 14 CFR Parts 1 and 61.

·        PTRS Procedures Manual (PPM).

B.     Forms:

·        FAA Form 7711‑1, Certificate of Waiver or Authorization (Figure 3‑44).

·        Indicates new/changed information.FAA Form 7711‑2, Application for a Certificate of Waiver or Authorization (Figure 3‑43).

C.     Job Aids:

·        Figure 3-45, Instructions for Completion of FAA Form 7711-2.

·        Figure 3-46, Part 91 Operations Manual Development Guide.

·        Figure 3-47, Sample Letter of Disapproval of an Application.

·        Figure 3-48, Sample Letter of Nonacceptance of an Operations Manual.

·        Figure 3-49, Sample Letter of Acceptance of an Operations Manual.

·        Figure 3-50, Part 91 Minimum Safe Altitude Waiver and Facility Inspection Job Aid.

·        Figure 3-51, Sample Letter of an Unsatisfactory Inspection.

3-190           PROCEDURES.

A.     Initial Contact.

1)      Provide the applicant with a copy of FAA Form 7711‑2 (refer to Figure 3-43) and the Instructions for Completion of FAA Form 7711‑2 (refer to Figure 3‑45).
2)      Indicates new/changed information.Advise the applicant to complete blocks 1 through 10 and block 17 on FAA Form 7711‑2.
3)      Advise the applicant that the completed FAA Form 7711‑2 must be submitted in duplicate (the original and one copy) to the FSDO at least 45 days before planned operations begin.
4)      If § 91.119(c) is to be waived in the public interest:
a)      Advise the applicant that any required operations manual must be prepared and submitted in duplicate (the original and one copy) with the completed FAA Form 7711‑2; and
b)      Provide the applicant with a copy of the Operations Manual Development Guide (Figure 3‑46).

B.     PTRS. Make appropriate PTRS entries.

C.     Indicates new/changed information.Receipt of FAA Form 7711‑2 and an Operations Manual, if Required. Using the Part 91 Minimum Safe Altitude Waiver and Facility Inspection Job Aid (Figure 3‑50), the information provided by the applicant, and the background information in paragraph 3‑183, review FAA Form 7711‑2 for all pertinent information for the proposed operation. Accept strikeovers that are minor in nature and initialed by the applicant. Blocks 11 through 16 apply to airshow and air race waiver requests only.

1)      Blocks 1 and 2—Name of Organization/Name of Responsible Person. Ensure that the applicant has indicated the name of the organization or individual applying and the name of a person responsible for matters concerning the application.
2)      Indicates new/changed information.Block 3—Permanent Mailing Address. Ensure that the applicant indicates the permanent mailing address of the organization or individual named in block 1 or 2.
3)      Blocks 4 and 5—Pending Waivers/Denials. Ensure that the applicant has indicated whether they have any pending waivers at any other FAA office or whether they have ever had an application for waiver denied.
4)      Block 6—14 CFR Sections to Be Waived. Ensure that the applicant has listed all sections of the regulations that need to be waived.
5)      Block 7—Description of Operations. Ensure that the applicant has indicated the type of operation to be conducted.
6)      Indicates new/changed information.Block 8—Area of Operations.
a)      Ensure that the applicant has listed specific locations and altitudes of the proposed operation.
b)      Indicates new/changed information.Ensure that the area of operation is within the jurisdiction of the FSDO.
7)      Block 9—Time Period.
a)      Ensure that the applicant has included a beginning date and hour and an ending date and hour for the planned operation.
b)      Ensure that the requested dates do not exceed 24 calendar‑months.
8)      Indicates new/changed information.Indicates new/changed information.Block 10—Aircraft and Pilots. Check for aircraft make and model, pilot names, certificate numbers and ratings, and full home addresses. Block 10 may be accepted with the statement, “A list containing aircraft and pilot information will be furnished on [applicant enters a specific date].”
9)      Block 17—Certification. Ensure that the applicant has signed and dated each page of the application.
10)  If FAA Form 7711‑2 has not been completed:
a)      Indicates new/changed information.List the reasons for disapproval in the “Remarks” section of FAA Form 7711‑2. In the “Action” block, mark the “Disapproved” box and sign and date.
b)      Prepare a letter of disapproval of an application (refer to Figure 3‑47, Sample Letter of Disapproval of an Application) with a suspense date for submission of a corrected application.
c)      Retain a copy of FAA Form 7711‑2 for future comparison.
d)      Return the application, the operations manual (if appropriate), any supporting documentation, and the letter of disapproval to the applicant.
e)      Make appropriate PTRS entries.
11)  If FAA Form 7711‑2 has been completed, continue with the task.

D.    Enforcement Information System (EIS). Consult the EIS database for the violation history of the applicant and/or pilots.

E.     Review the Proposed Operations Manual. Review the operations manual to ensure that the manual contains the information discussed in paragraph 3‑186.

1)      If the manual is unsatisfactory:
a)      Indicates new/changed information.List reasons for nonacceptance in the Remarks section of FAA Form 7711‑2. In the “Action” block, mark the “Disapproved” box and sign and date.
b)      Prepare a letter of nonacceptance (refer to Figure 3‑48, Sample Letter of Nonacceptance of an Operations Manual) with a suspense date for submission of a corrected operations manual.
c)      Retain a copy of the manual for future comparison.
d)      Return FAA Form 7711‑2, the disapproved operations manual, any supporting documentation, and the letter of nonacceptance to the applicant.
2)      If the manual is satisfactory, stamp each page “Accepted.” Sign and date each page.
3)      Prepare a letter of acceptance of the operations manual (refer to Figure 3‑49, Sample Letter of Acceptance of an Operations Manual).
4)      Continue with the task.

F.      Pre‑Inspection Activities.

1)      Contact the applicant by telephone and/or letter to set up a date and time to conduct the facility inspection.
2)      Coordinate with the airworthiness unit to inspect aircraft and engine logbooks; the aircraft Weight and Balance (W&B) to see if it has been revised to reflect current equipment; and any special equipment for proper mount or installation (cameras, gas leak detector devices, helicopter device for powerline voltage readout, etc.).
3)      If a restricted category aircraft will be used, coordinate with the aircraft certification office to attend the facility inspection.

G.    Indicates new/changed information.Conduct Facility Inspection. Use the Part 91 Minimum Safe Altitude Waiver and Facility Inspection Job Aid to conduct the facility inspection.

1)      Check for appropriate pilot certificates, medical certificates, and photo identification in accordance with part 61 requirements.
2)      Check pilot logbooks for the recency of experience, appropriate aircraft qualifications, and route qualification endorsements.
3)      Ensure that the registration certificate and the airworthiness certificate, as well as a copy of the special operating limitations (restricted category), are onboard the aircraft.

H.    Unsatisfactory Inspection.

1)      Brief the operator on the discrepancies found during the inspection.
2)      Indicates new/changed information.List the reasons for the unsatisfactory inspection in the “Remarks” section of FAA Form 7711‑2. In the “Action” block, mark the “Disapproved” box and sign and date.
3)      Prepare a letter of unsatisfactory inspection (refer to Figure 3‑51, Sample Letter of an Unsatisfactory Inspection). Include in the letter a date for a followup inspection that is 15 days from the date of the letter of disapproval.
4)      Retain a copy of FAA Form 7711‑2 to use in the followup inspection to ensure that discrepancies found in the initial inspection have been corrected.
5)      Return the application, the operations manual, any supporting documentation, and the letter of disapproval to the applicant.
6)      Make appropriate PTRS entries.
7)      Perform followup inspection.

I.       Satisfactory Inspection.

1)      Mark the “Approved” block on FAA Form 7711‑2. Sign and date in the “Action” block of FAA Form 7711‑2.
2)      Prepare FAA Form 7711‑1.
3)      Develop any special provisions from paragraph 3‑184, and any other provisions deemed necessary in the interest of safety.
4)      If the area of operations indicates that the operator will conduct operations in another FSDO’s area, the following shall be included as a special provision: “Operations outside the area of operations authorized in this waiver may be conducted without obtaining an additional Certificate of Waiver, provided the operations are coordinated in advance with the appropriate FSDO and all special provisions imposed by that office are complied with.”
5)      Submit FAA Form 7711‑1 to the district office manager, or designated representative, for signature. The designated representative may be no lower than the operations unit supervisor.

J.      District Office File. Prepare a district office file on the operator that includes, but is not limited to, a copy of the following:

·        FAA Form 7711‑1 and any special provisions;

·        FAA Form 7711‑2;

·        Letter of disapproval of the application;

·        Letter of nonacceptance of the operations manual;

·        Accepted operations manual;

·        Letter indicating an unsatisfactory facility inspection;

·        Completed Part 91 Minimum Safe Altitude Waiver and Facility Inspection Job Aid (discard after PTRS entries are complete); and

·        Any other documents of correspondence.

K.    Waiver Distribution.

1)      Send the originals of the following documents to the applicant:

·        FAA Form 7711‑1 and any special provisions;

·        FAA Form 7711‑2;

·        The accepted operations manual; and

·        The letter of acceptance of the operations manual.

2)      Send a copy of FAA Form 7711‑1 and its associated provisions to other FSDOs in whose area the applicant has requested operating authority.

L.     Close PTRS. Make appropriate PTRS entries.

M.  Indicates new/changed information.Enhanced Vital Information Database (eVID). Establish a part 91 (Non‑Certificated) eVID record.

3-191           TASK OUTCOMES. Completion of this task results in one or more of the following:

·        A Certificate of Waiver or Authorization;

·        An accepted operations manual;

·        A letter of disapproval of an application;

·        A completed Part 91 Minimum Safe Altitude Waiver and Facility Inspection Job Aid;

·        A letter indicating the nonacceptance of an operations manual;

·        A letter indicating an unsatisfactory facility inspection; and

·        A letter indicating acceptance of an operations manual.

3-192           FUTURE ACTIVITIES.

·        Reissue a Certificate of Waiver or Authorization;

·        Cancel a Certificate of Waiver or Authorization;

·        Review revisions to manual;

·        Possible followup facility inspection; and

·        Possible enforcement investigation.

Figure 3-43.      FAA Form 7711‑2, Application for a Certificate of Waiver or Authorization

Indicates new/changed information.FAA Form 7711-2, Application for a Certificate of Waiver or Authorization

Indicates new/changed information.Figure 3-43.      FAA Form 7711‑2, Application for a Certificate of Waiver or Authorization (continued)

FAA Form 7711-2, Application for a Certificate of Waiver or Authorization (continued)

Figure 3-44.      FAA Form 7711‑1, Certificate of Waiver or Authorization

FAA Form 7711-1, Certificate of Waiver or Authorization.

Figure 3-45.      Instructions for Completion of FAA Form 7711‑2

Indicates new/changed information.1.   PREPARING FAA FORM 7711‑2. Blocks from FAA Form 7711‑2 are discussed below for purposes of clarity and uniformity of its use. However, not all blocks on the form may be applicable to the application request. Blocks 11 through 16 apply to airshow and air race waiver requests only.

a.   Blocks 1 and 2—Name of Organization/Name of Responsible Person. If you are a representative of an organization, then the organization’s name should appear in block 1. Your name and title or position, as the organization’s representative for application purposes, should appear in block 2. If you are not representing an organization, the term “NA” should be entered in block 1 and your name in block 2.

Indicates new/changed information.b.   Block 3—Permanent Mailing Address. Self‑explanatory.

c.   Block 4—Pending Waiver Application. Self‑explanatory.

d.   Block 5—Denial and/or Withdrawal of Previous Application. Self‑explanatory.

Indicates new/changed information.e.   Block 6—14 CFR Section and Number to Be Waived. All applicable 14 CFR sections and numbers that are to be waived for the operation to be conducted must be listed in this block. If you are unsure which 14 CFR sections will need to be waived, contact the Flight Standards District Office (FSDO) for guidance.

Indicates new/changed information.f.    Block 7—Detailed Description of Proposed Operations. It is sufficient to use the term “pipeline patrol,” “powerline patrol,” etc., for a description. However, additional detailed information may be included.

Indicates new/changed information.g.   Block 8—Area of Operation. A detailed description of any city, town, county, and/or state over which the operations will be conducted, and the minimum altitude essential to accomplish the operation, should be included in this block. The routes for powerline/pipeline operations must be depicted in cartographic or photographic form. This depiction should include every community, settlement, stadium, or other common gathering place located on either side of the route. The depiction should also include the areas where powerlines and phone lines or any other obstructions cross the route.

h.   Block 9—Time Period. List the beginning dates and hours and the ending dates and hours when the operation will be conducted. The maximum time period for operations is 24 calendar‑months (e.g., June 12, 1996, to June 30, 1998). The application should be submitted to the FSDO at least 45 days before the beginning date of the operation. For a one‑time operation, consideration should be given to alternate dates. A request for alternate dates may prevent a delay and/or unnecessary paperwork. These alternate dates should be included in this block.

Indicates new/changed information.i.    Block 10—Aircraft Make and Model. List the names of all pilots, their certificate numbers and ratings, full home address, and all aircraft by make and model that will be used in the operation. If the type of aircraft and/or the names of the pilots are not known at the time the application is submitted, the FAA will accept the application with the statement, “A list containing aircraft and/or pilot information will be furnished on [insert date].”

Indicates new/changed information.j.    Block 11—Sponsorship. Not required.

k.   Block 12—Permanent Mailing Address of Sponsor. Not required.

l.    Block 13—Policing. Not required.

m.  Block 14—Emergency Facilities. Not required.

n.   Block 15—Air Traffic Control. Not required.

o.   Block 16—Schedule of Events. Not required.

p.   Block 17—Certification. As the applicant or an organization’s representative, you must sign in this block and any pages that are attached as part of the application.

Figure 3-46.      Part 91 Operations Manual Development Guide

The operations manual must contain, but is not limited to, the following items:

1.   Area of Operation.

a.   The area must be depicted cartographically or photographically.

b.   Specific routes must be highlighted and must identify communities, settlements, stadiums, etc., where people may gather within one quarter mile on either side of the route. The ingress and egress routes must be identified.

c.   Each hazardous area along each route, such as phone lines, powerlines, cables, towers, etc., must be depicted.

2.   Emergency Procedures. Specify procedures for emergency notification of company officials when compromise of powerline/pipeline is observed. The manual must describe in detail how the pilot will notify the company officials or ground personnel if it is necessary to safeguard human life. Some examples of acceptable notification would be:

a.   Streamer drop; and

b.   Radio call or radio monitor by company officials.

3.   Aircraft Certification and Airworthiness.

a.   List all aircraft according to category‑standard, limited, or restricted. All the requirements of 14 CFR part 91, §§ 91.7 and 91.203 must be met, as applicable.

b.   The manual must describe the inspection program required by 14 CFR parts 43 and 91 for the aircraft being operated. Administrative control of the maintenance inspection program must also be described, including the assignment of duties and responsibilities.

4.   Personnel. The manual must include the following minimum pilot knowledge and experience requirements:

a.   Each pilot must hold a commercial or airline transport pilot certificate with ratings appropriate to the category and class of airplane to be used.

Indicates new/changed information.b.   Each pilot must have 500 hours as pilot in command (PIC).

c.   Each pilot must have 100 hours in the category and class of aircraft to be used.

d.   Each pilot must have 25 hours as PIC in the category and class of aircraft to be used.

e.   The pilot must have 5 hours as PIC of the make and model aircraft to be used in the operation.

f.    If more than one pilot will be used under the terms and conditions of the waiver, the manual must designate a chief pilot. The chief pilot must ensure that all pilots meet the minimum initial flight requirements before acting as PIC under the waiver. The minimum initial flight requirements are as follows:

(1)  Route qualification, which includes a flight check over the designated route or routes to be flown and a logbook endorsement reflecting that experience;
(2)  Aircraft performance and limitations;
(3)  Emergency procedures included in the waiver terms and conditions; and
(4)  The contents of the operations manual.

g.   The chief pilot must examine each pilot at least once every 12 calendar‑months, through the use of oral and practical testing, on:

(1)  Route familiarization;
(2)  Aircraft performance and limitations;
(3)  Emergency procedures;
(4)  The operations manual; and
(5)  Terms and conditions of the waiver.

5.   Flight Operations. The manual must contain a flight operations section covering information necessary for the waiver compliance, including the following:

a.   Weather conditions—limited to visual flight rules (VFR).

b.   Operations in controlled airspace—The terms of the waiver may not be exercised in controlled airspace unless authorization has been received by the appropriate air traffic (AT) facility.

c.   If the applicant requests operations within less than 500 feet altitude and/or 500 feet lateral clearance, the following procedures must be described:

(1)  Approach and departure path;
(2)  Emergency procedures; and
(3)  Pattern and altitude to be flown which will permit single‑engine aircraft to land in an emergency without endangering persons or property on the surface.

d.   A plan for ensuring the update of all operations manuals when amendments have been accepted by the FAA Flight Standards District Office (FSDO).

e.   An agreement specifying that a copy of the waiver must be onboard each aircraft during operation. As a minimum, the manual will be available at the main base of operations and at each satellite base.

Figure 3-47.      Sample Letter of Disapproval of an Application

FAA Letterhead

[Date]

[Applicant’s name and address]

Dear [name of applicant]:

This letter is to inform you that the application you submitted on [indicate date] has been disapproved for the reasons listed in the “Remarks” section of FAA Form 7711‑2.

Please make the corrections noted and return to this office within 15 days of receipt of this letter.

If you have any questions or comments please feel free to contact this office at the following telephone number [indicate number].

Sincerely,

[POI’s signature]

Figure 3-48.      Sample Letter of Nonacceptance of an Operations Manual

FAA Letterhead

[Date]

[Applicant’s name and address]

Dear [name of applicant]:

This letter is to inform you that the operations manual you submitted on [indicate date] has not been accepted for the reasons listed in the “Remarks” section of FAA Form 7711‑2.

Please make the corrections noted and return to this office within 15 days of receipt of this letter.

If you have any questions or comments please feel free to contact this office at the following telephone number [indicate number].

Sincerely,

[POI’s signature]

Figure 3-49.      Sample Letter of Acceptance of an Operations Manual

FAA Letterhead

[Date]

[Applicant’s name and address]

Dear [name of applicant]:

This letter is to inform you that the operations manual you submitted with FAA Form 7711‑2 on [indicate date] has been accepted.

Any revisions to the accepted operations manual must be submitted to this office for review. Revisions should not be distributed before this office has accepted the revisions.

If you have any questions or comments please feel free to contact this office at the following telephone number [indicate number].

Sincerely,

[POI’s signature]

Figure 3-50.      Part 91 Minimum Safe Altitude Waiver and Facility Inspection Job Aid

Part 91 Minimum Safe Altitute Waiver and Facility Inspection Job Aid. 

Part 91 Minimum Safe Altitude Waiver and Facility Inspection Job Aid (continued)

REMARKS:

Figure 3-51.      Sample Letter of an Unsatisfactory Inspection

FAA Letterhead

[Date]

[Applicant’s name and address]

Dear [name of applicant]:

This letter is to inform you that the following discrepancies were found during the facility inspection on [indicate date]:

[List discrepancies]

Please make corrections of the noted discrepancies within 15 days of receipt of this letter. Please notify this office when corrections have been made so that a followup inspection can be scheduled. If you have any questions or comments please feel free to contact this office at the following telephone number [indicate number].

Sincerely,

[POI’s signature]

RESERVED. Paragraphs 3‑193 through 3‑210.


2/17/12                                                                                                                       8900.1 CHG 22

Volume 3 GENERAL TECHNICAL ADMINISTRATION

CHAPTER 18 OPERATIONS SPECIFICATIONS

Section 2  Automated Operations Safety System

3-701           GENERAL. The automated Operations Safety System (OPSS) consists of standard and nonstandard templates for operations specifications (OpSpecs) management specifications (MSpecs), and letters of authorization (LOA) developed by Washington headquarters (HQ). These documents are most commonly called “paragraphs.” MSpec paragraphs are issued to program managers that conduct fractional ownership operations under Title 14 of the Code of Federal Regulations (14 CFR) part 91 subpart K (part 91K). (Paragraphs 3‑712 and 3‑714 discuss nonstandard OpSpec and MSpec paragraphs.) LOAs are used to issue certain authorizations to part 91 operators. All standard paragraphs, LOA templates, and any subsequent revisions are first coordinated within the Federal Aviation Administration (FAA) and then with appropriate industry organizations. After this coordination, the standard paragraph authorizations are incorporated into the automated OPSS computer software. The OPSS is programmed to provide only those OpSpecs/MSpecs paragraphs and other templates such as LOAs that are applicable to a particular type of operation under a particular 14 CFR part. When the appropriate standard paragraph templates have been selected and all the required information has been entered into the OPSS, a complete set of OpSpecs/MSpecs or LOAs can be issued and printed or exported electronically specific to the particular certificate holder, operator, or program manager, and type of operation.

A.     Generating OpSpecs/MSpecs and LOAs. This section provides general direction and guidance to inspectors concerning actions necessary to generate a complete set of OpSpecs/MSpecs and LOAs. This section also provides general information on the OPSS, such as control of standard paragraphs/templates, use of filter colors, and procedures for amending standard paragraphs. The OPSS is designed for generating automated OpSpecs/MSpecs/LOAs to allow inspectors to collect and record appropriate information necessary for issuing required OpSpec/MSpec paragraphs as well as authorizing the optional paragraphs and LOAs as listed in OpSpec/MSpec A004. Before attempting to enter information directly into the OPSS, users should be familiar with the OPSS and the most current OPSS user’s manual. The most current user’s manual can be downloaded at http://fsims.faa.gov/PublicationForm.aspx.

B.     General Subsystem Information. This section also provides general information for the subsystems within the OPSS. These subsystems include, but are not limited to, the applicable guidance (guidance subsystem), emergency airworthiness directives (OpSpecs/MSpecs paragraph A447, Emergency Airworthiness Directive (AD) Notification), the exemptions, 14 CFR part 298 liability insurance (see paragraph 3‑718), and report and query capability. These subsystems are an integral part of the Dynamic Information System (DIS).

C.     OPSS Guidance Subsystem. The guidance subsystem contained within the OPSS provides relevant guidance documents in association with individual paragraphs. Many guidance documents such as advisory circulars, bulletins, preambles, directives, and excerpts from orders and regulations may be associated with multiple paragraphs. Other guidance documents are unique to the individual paragraphs:

1)      Revision History. The revision history gives a summary of each paragraph revision since the paragraph was transferred into the new automated OPSS.
2)      OpSpec/MSpec/LOA Job Aid. An OpSpec/MSpec/LOA job aid is designed to provide a variety of up-to-date information regarding individual paragraphs. These job aids contain miscellaneous information, references for the authorization, and a sample of the associated template. The job aid may change with the addition or correction of information. The date of the last job aid revision is indicated on the title line of the document. Other directives or guidance documents may include job aid information.

3-702           DYNAMIC INFORMATION SYSTEM. The OPSS is the mechanism used to collect and maintain the information required for the DIS. The most conspicuous portion of the OPSS contains the OpSpec/MSpec paragraphs and the LOAs. The DIS subsystems are integrated into the OPSS to enable the population of the DIS data. Before the OpSpec/MSpec paragraphs and LOAs can be processed, certain fields of information must be provided to the OPSS. These critical fields of information must be current for the OpSpecs/MSpecs or LOAs to be technically accurate. The fields of information under the “Certificate Holder” menu option are used in the OpSpec/MSpec paragraphs and LOAs when the user is prompted to “Select Data” for individual OpSpecs/MSpecs or LOA. The DIS consists of the following data fields for each selected certificate holder or operator information:

A.     Aircraft Authorization. This area contains specific information about the aircraft the operator/program manager is authorized to use and specific conditions for that operator/program manager. This information is used in OpSpecs/MSpecs A003, D085, and any other paragraphs or LOAs that require the insertion of aircraft for authorization or data collection. Information that is collected includes:

1)      Aircraft Make/Model/Series (M/M/S).
2)      Aircraft Registration Number.
3)      Nose Number (if applicable).
4)      Aircraft Serial Number (SN).
5)      Specific regulations that the aircraft is being operated under 14 CFR parts 91, 91K, 121, 125, 129, 133, 135, and 137.
6)      Specific sections of 14 CFR part 119 that identifies the type of approved operational usage:

·        Sections 119.1(e)(2), 135.1(c), (Air Tour),

·        Section 119.21(a)(1), 121 Domestic (intrastate),

·        Section 119.21(a)(2), 121 Flag (common carriage),

·        Section 119.21(a)(3), 121 Supplemental (common carriage),

·        Section 119.21(a)(4), 135 Commuter (common carriage),

·        Section 119.21(a)(5), 135 On-demand (common carriage),

·        Section 119.21(b), 121 Domestic (common carriage),

·        Section 119.21(c), 121 Supplemental (common carriage),

·        Section 119.23(a), 125 operators (common carriage is not involved),

·        Section 119.23(b), 135 operators (common carriage is not involved),

·        Section 119.25(a), Rotorcraft commuter (common carriage), and

·        Section 119.25(b), Rotorcraft on‑demand, (common carriage).

7)      Operational Use of Aircraft (previously “Kind of Operation”) (see paragraph 3‑703 for discussion on “kinds of operations”):

·        Part 129, § 129.14 Foreign,

·        Commuter (part 135),

·        Domestic (part 121),

·        External Load (part 133),

·        Flag (part 121),

·        Nonstop Sightseeing (§ 135.1(c)),

·        On‑Demand (part 135),

·        On‑Demand Cargo‑Only (part 135),

·        Supplemental (part 121),

·        Flight (part 91),

·        Fractional Part 91K,

·        Flight (part 125), and

·        Aerial Application (part 137).

8)      Configuration of the Specific Aircraft: Pax and Cargo, Passenger, All Cargo, Combi.
9)      Noise Stage (if applicable).
10)  Seats Demonstrated (evacuation demonstration under 14 CFR parts 25 and 121; certified number for all other aircraft)).
11)  Seats Approved (mini evacuation demonstration that is operator specific).
12)  Flight Attendants (F/A) (required number).
13)  Class of Operation: Amphibian, HEL (helicopter), MEL (Multiengine Land), MES (Multiengine Sea), MEL/MES (both), SEL (Single‑Engine Land), SES (Single‑Engine Sea), SEL/SES (both).
14)  En Route Type: instrument flight rules (IFR)/visual flight rules (VFR).
15)  Condition: Day Only, Day/Night.
16)  Civil Reserve Aviation Fleet (CRAF): Medical, Floor, Door.
17)  Remarks section that records and identifies multiple comments.

B.     Domestic and International Addresses. These addresses for the certificate holder, program manager, or operator will be inserted into OpSpec/MSpec A001.

C.     Airworthiness Directives (AD) Notification. The FAA must send emergency ADs to the applicable certificate holders and operators. Therefore, the FAA must have the current mailing information for certificate holders, operators, and program managers. This mailing information will be inserted into OpSpec/MSpec A447. Because OpSpec/MSpec A447 paragraph is not an “authorization” per se and is used primarily for information, the signature of the certificate holder is not required for this paragraph to be completed, processed, and activated/issued. If the principal inspector (PI) can provide the appropriate mailing information, then an FAA signature is sufficient. See OpSpec/MSpec A447 in Volume 3, Chapter 18, Section 3, for guidance.

D.    Deviation and Exemption Assignments From 14 CFR Parts. OpSpec A005 is populated with the information from these assignments. The deviation list is built by the OPSS users for others to use as well so it is important that the referenced 14 CFR is accurate and that the description is concise. Any deviation granted must be listed in A005 even if the deviation specifics are described through the issuance of an OpSpec/MSpec paragraph. If the deviation specifics are described in a separate OpSpec/MSpec paragraph, the paragraph should be identified in the “Remarks” column next to the deviation listed in A005. This should be a general remark and not specific for the operator/program manager. The exemptions are selected from the exemption database. The text of each exemption is available to the user. If an exemption that is needed does not appear in the database, contact the OPSS Operations Center to request that it be loaded into the system.

E.     Principal Inspectors (PI). This area contains the names of principal avionics inspector (PAI), principal maintenance inspector (PMI), and principal operations inspectors (POI) specific to the certificate‑holding district office (CHDO) to which the OPSS is defaulted. This area is used to update the specific PIs that are assigned to a certificate holder, air operator, or program manager. This information is used when the OpSpec/MSpec paragraphs are ready to be signed. All three PIs are responsible for the oversight and coordination of the authorizations granted by the issuance of the OpSpecs/Mspecs and in some cases LOAs. It is the responsibility of all three principals to ensure that the paragraph being issued is accurate and complete. Many of the authorizations require the scrutiny of avionics, maintenance, and operations inspectors. If there is a disagreement between a POI, PMI, and PAI regarding the contents of an operator’s/program manager’s OpSpec/MSpec paragraph, the issue must be resolved prior to the issuance of the paragraph in question.

F.      Doing Business As (DBA). If the certificate holder, program manager, or operator conducts operations under other names, these are put into the DIS at this location and are labeled “doing business as” or abbreviated as DBA. This information is inserted into OpSpec/MSpec A001. (See OpSpec/MSpec A001 in the Volume 3, Chapter 18, Section 3) for more information on DBAs).

G.    Personnel.

1)      This area contains basic and generally static information about the certificate holder’s, program manager’s, or air operator’s responsible personnel. The information field(s) include the FAA accountable manager in a fractional ownership program management company and the maintenance and avionics points of contact, FAA recognized position titles, names of the approved personnel, and the company’s equivalent position title and what, if any, parts of the OpSpecs/MSpecs/LOAs they are authorized to sign. The following are examples of the titles and corresponding paragraphs indicated in parentheses:

·        AD Notification Representative (A447),

·        Chief Inspector (A006),

·        Agent for Service (A007),

·        Director of Operations (A006),

·        Director of Maintenance (A006),

·        Other Designated Persons (A007),

·        Chief Pilot (A006),

·        Director of Safety (A006),

·        FAA Accountable Manager (91K only) (A007), and

·        Points of Contact for Part 91K Operations, Maintenance, and Avionics (A007).

2)      For operators that have a split certificate and operate under both parts 121 and 135, the OPSS provides position selections to accommodate this situation. If the operator separates part 121 and 135 operations with specific personnel for position titles, the appropriate title selection must indicate which 14 CFR part that person is responsible for. If there is no split certificate, the position title would not contain a reference to any 14 CFR part.

H.    Authorized Areas. This area contains the information that is selected for insertion into the operator’s/program manager’s approved geographic areas of operations for OpSpec/MSpec B050. It is used by other district offices (other than the CHDO) that have a surveillance work program for the operator/program manager in their respective geographic areas of responsibility. The OPSS guidance subsystem contains names and locations of islands and countries that may be used for insertion into OpSpec/MSpec B050.

I.       Review Insurance Information. This online module is made available for the PIs to review the status of the liability insurance of the certificate holder. Refer to paragraph 3‑718 for detailed information.

3-703           OPERATIONAL USE OF AIRCRAFT AND KINDS OF OPERATIONS.

A.     Part 119, § 119.49, Contents of Operations Specifications (OpSpecs), and §§ 119.49(a)(5), 119.49(b)(5), and 119.49(c)(4) dictate in pertinent part that each certificate holder conducting domestic, flag, commuter, supplemental, or on-demand operations must obtain OpSpecs containing the “kind and area of operations authorized.” Title 14 CFR part 110, § 110.2, Definitions, states that “kind of operation” means one of the various operations a certificate holder is authorized to conduct, as specified in its OpSpecs. For instance, if a certificate holder normally conducts only domestic operations and wants to extend those operations to any foreign point, “flag” must be entered in OpSpec A001 (by virtue of the definition of a flag operation) even if the certificate holder has authorization to conduct those operations under “domestic” regulations.

1)      Section 119.7(b) addresses only agency actions that alter the overall type of operations that an air carrier (part 121 or part 135) is authorized to conduct. These operations are identified in paragraph A001, which lists the kinds of operations that the FAA authorizes the air carrier to perform under its certificate (e.g., commuter, domestic, supplemental, flag, or on‑demand operations). These must be appropriately selected for each certificate holder.
2)      For part 125 certificate holders, § 125.31 requires the OpSpecs to contain the “kinds of operations authorized.” The certificate holder is authorized to conduct flight operations in noncommon carriage and private carriage pursuant to 14 CFR § 119.23(a), part 125, and provided the certificate holder does not engage in common carriage. In addition, the part 125 certificate holder may not conduct operations carrying people or property for compensation or hire, where such operations result directly or indirectly from any person’s holding out to the public to furnish transportation (i.e., common carriage). The kind of operations for part 125 certificate holders are included in the standard OpSpec paragraph A001 and is not selectable.
3)      For the fractional ownership program managers providing services under part 91K, the kinds of operations are not required in the MSpecs because they do not engage in common carriage.

B.     By contrast, OpSpec/MSpec A003 does not identify the operator’s/program manager’s overall authority to conduct a particular kind of operation. Instead, OpSpec/MSpec A003 represents the FAA’s approval of the operator’s/program manager’s use of particular aircraft in carrying out the kinds of operations that are authorized, presumably through the air carrier or operating certificate and OpSpec A001.

C.     For part 121 and part 135 air carriers, the column “Operational Use of the Aircraft” in OpSpec A003 reflects this true effect by identifying the FAA approved use for the aircraft types listed. When listing aircraft that are used for more than one kind of operation as authorized in OpSpec A001, those aircraft should be identified with the most extensive use of the aircraft. For instance, if the certificate holder is authorized domestic, flag, and supplemental operations in OpSpec A001 and the aircraft could be used in any one of the three operations, the certificate holder should identify the aircraft as a “flag” aircraft. However, if the certificate holder intends to use an aircraft in only one kind of operation, despite the multiple authorizations in A001, the certificate holder should identify the aircraft as such.

D.    The rest of the “set” of OpSpec/MSpec paragraphs are then developed to authorize the conduct of specific types, areas, or routes of operations in accordance with the authorizations issued in A001 and A003 and must not contradict the authorizations for the “kind of operation” authority issued to them in A001 and A003. Thus, through the issuance of a variety of OpSpecs/MSpecs, (e.g., OpSpec A050, Helicopter Operations with Night Vision Goggles, OpSpec B036 for Class II Navigation, and OpSpec C065, Powerback Operations with Airplanes) different types of operations are authorized in order to support the “kinds” of authorization(s) granted in OpSpec A001.

3-704           REQUIRED AND OPTIONAL OPSPEC AND MSPEC PARAGRAPHS. The following is a general discussion of the available OpSpec/MSpec paragraphs and part 91 templates and LOAs for each database.

A.     Required and Optional OpSpec/MSpec Paragraphs. With the development of the OPSS, specific required and optional OpSpec/MSpec paragraphs for a certificate holder, program manager, or operator operating in accordance with certain 14 CFR parts are automatically extracted from the databases. For example, if the certificate holder is certified under part 121, then only the OpSpec paragraphs that are required and optional for part 121 authorizations will be available. Part 135 required OpSpec paragraphs will not be available in that database. Likewise only the required and optional MSpec paragraphs will be available in the part 91K database.

B.     LOAs. In the part 91 database, all the LOAs are optional authorizations for issuance to the operator; however, in the part 91 database inspectors will need to process the operator name, identification number, address, and aircraft information in order to issue an LOA. Inspectors will need to sign and activate paragraphs A001, A003, A004, A006, but will not “issue” them to the operator. (Refer to Volume 3, Chapter 18, Sections 3, 4, 5, and 7 for details about each paragraph in the database.)

C.     Standard OpSpec/MSpec Paragraphs and LOA Templates for Part 91K (MSpecs), 121, 125, 129, and 135 Fixed‑Wing and Rotorcraft Operations. These OpSpec/MSpec paragraphs and LOA templates are divided into the following six parts. Each part contains standard paragraphs that can be consecutively numbered from 001 to 999. Approval of all OpSpec/MSpec paragraphs and LOAs may be indicated by the signature of the PIs, supervisor, or the CHDO manager who may sign for any of the PIs (refer to paragraph 3‑714 below for details). Most of the authorizations in Parts A, B, and C need thorough coordination between the POI, PMI, and PAI for issuance. If there is a disagreement between a POI and PMI/PAI regarding the contents of an operator’s/program manager’s OpSpec/MSpec paragraph, this issue must be resolved prior to the issuance of the paragraph in question. The part 91 database contains standard part 91 LOAs and the part 91K database contains the official standard MSpec authorizations for fractional ownership program managers.

1)      Part A—General. Part A paragraphs are generally considered to be the responsibility of both Airworthiness and Operations aviation safety inspectors (ASI). Contents of these paragraphs must be carefully coordinated between POIs, PAIs, and PMIs before approval. Approval of these paragraphs is indicated by the signature of any one of the three assigned PIs or as determined by individual CHDO policy (see paragraph 3‑714 for details). If there is a disagreement between a POI and PMI/PAI regarding the contents of an operator’s/program manager’s OpSpec or MSPEC paragraph (or LOA), the issue must be resolved before the PIs issue the paragraph (or LOA) in question.
2)      Part B—En Route Authorizations and Limitations. Operations inspectors are primarily responsible for preparing and approving (signing) authorizations in Part B. Coordination between operations, maintenance, and avionics inspectors is essential.
3)      Part C—Airplane Terminal Instrument Procedures and Airport Authorizations and Limitations. Part C pertains only to fixed wing airplanes. Operations inspectors are primarily responsible for preparing and approving (signing) the authorizations in Part C. Coordination between operations, maintenance, and avionics inspectors are essential.
4)      Part D—Maintenance MSpecs/OpSpecs/LODAs. Maintenance and avionics inspectors are primarily responsible for preparing and approving (signing) the paragraphs in Part D.
5)      Part E—Maintenance MSpecs/OpSpecs/LODAs. Maintenance inspectors are primarily responsible for preparing and approving (signing) Part E. The maintenance inspectors must carefully coordinate the Part E OpSpec/MSpec authorization with operations inspectors.
6)      Part H—Helicopter Terminal Instrument Procedures and Airport Authorizations and Limitations. Part H is the rotorcraft equivalent to the Part C paragraphs for fixed‑wing operations. Operations inspectors are primarily responsible for preparing and approving (signing) the paragraphs in Part H. (Parts 121 and 125 operations will not have Part H in the databases.)

D.    Training Centers. Training specifications (TSpecs) are issued in accordance with part 142, § 142.5(b). For the purpose of the TSpecs required for part 142, the term “TSpecs” will be synonymous with the terms OpSpecs/MSpecs, and the generic form for OpSpecs contained within the new automated OPSS will be used in place of the original FAA Form 8400‑8, Operations Specification 1. The training center program manager is responsible for the issuance and signing of TSpecs for part 142 certificate holder (see paragraph 3‑714 for signature information). Information regarding the applicability and issuance of TSpecs is contained in § 142.11 and Volume 3, Chapter 54, Part 142 Training Centers. TSpecs were realigned to correspond more closely with the numbering system employed for OpSpecs issued to air carriers. This alignment will provide a correlation when discussing the relationships between the training center and its contracting operators/program managers. Part 142 OpSpecs are divided into the following four basic sections:

1)      Part A—General. Includes the issuance and applicability, definitions, authorizations and limitations summary, exemptions and deviations, flight training equipment and training location authorizations, and personnel listings.
2)      Part B—Training Authorizations and Limitations. Includes the approved curricula listings for individual airmen and operators/program managers, special training programs and training agreements.
3)      Part C—Airplane Terminal Instrument Procedures and Airport Authorizations and Limitations. At this time this section only contains approved circling approach authorizations for specified simulators.
4)      Part D—Maintenance Requirements, Limitations, and Procedures. Includes flight training equipment maintenance and records requirements, minimum equipment list (MEL), and Simulator Component Inoperative Guide (SCIG) authorizations.

E.     Repair Stations. Part 145, § 145.19 sets forth the requirements for repair station OpSpecs. The term “certificate holder” is now used to include the holder of a repair station certificate as described in the OpSpecs. The OpSpecs lettering and numbering system used for repair stations attempts to be consistent with those in use by other 14 CFR certificate holders and operators. The repair station OpSpecs (Form 8400‑4‑1) has been replaced with the issuance of the OPSS computer generated generic OPSS form. For guidance for issuing part 145 OpSpecs, see Volume 2, Chapter 11, Section 1. The principal airworthiness inspector(s) assigned to the part 145 certificate are responsible for issuing and authorizing (signing) all of the certificate holder’s OpSpecs. (See paragraph 3‑714 for signature proxy guidelines.) Part 145 standard (and nonstandard, if applicable) OpSpecs are currently divided into three parts, each of which has an assigned letter designator and contains standard paragraphs.

1)      Part A OpSpec paragraphs are considered to be general paragraphs and are issued for both Domestic and Foreign Repair Stations. This part contains the ratings, limitations, and special authorizations.
2)      Part B currently contains only OpSpec B050 which applies to foreign repair stations and provides for the authorization to conduct services under contract to a U.S. Carrier/part 129 foreign flag operator at a location other than the repair stations facility. (Refer to Volume 2, Chapter 11, Section 3, paragraph 2‑1247.)
3)      Part D contains specific authorizations, limitations, and procedures in OpSpec D100, for work to be performed at a place other than the repair station’s fixed location. OpSpec paragraph D100 must list the work authorized and the Repair Station Manual (RSM) must reference the work that the repair station may perform away from the fixed location. A repair station may have D107 line maintenance authorization issued if the repair station is contracted to perform maintenance for a part 121, 129, or 135 operation U.S.-registered aircraft.

F.      Part 133 Standard OpSpecs. The standard OpSpec paragraphs for part 133 operators, external load, and additional policy guidance can be found in this order. Both Operations and Airworthiness inspectors are assigned to a part 133 certificate and should follow the guidance for signature authority in paragraph 3‑714 .

1)      Part A—General. Includes the issuance and applicability; definitions, authorizations, and limitations summary; exemptions and deviations; personnel listings; airworthiness directives information, and other general authorizations. It also contains the official authorizations for Class D and IFR operations.
2)      Part D—Aircraft Listing (for Airworthiness).

G.    Part 137. There are standard “OpSpec” paragraphs developed for part 137 certificate holders, agricultural aerial application. Even though OpSpec paragraphs are not required for part 137 operations, PIs are encouraged to use the provisions of the OPSS to record the information on the part 137 certificate holder in the OPSS. Provisions are available for the part 137 certificate holder to use the OPSS in their own offices in the same way as the part 121 or part 135 certificate holders. For example, if the part 137 certificate holder requests a waiver from § 137.51, Operation Over Congested Areas, the waiver may be issued in an OpSpec format through the OPSS part 137 database. The part 137 certificate holder is also eligible to participate in Industry OpSpecs or IOPSS if requested. The POIs and Airworthiness inspectors assigned to the part 137 certificate are responsible for maintaining the information for that certificate in the OPSS. The guidance in paragraph 3‑714 would apply:

1)      Part A—General. This includes the issuance and applicability; definitions, authorizations, and limitations summary, exemptions and deviations; personnel listings; any waivers or special authorizations; and AD information.
2)      Part D—Aircraft Listing (for Airworthiness). OpSpec D085 provides for the aircraft listing of those aircraft that meet the airworthy requirements used in the certificate holders agricultural aerial application operations.

3-705           OPSPEC/MSPEC (AND LOA) CHECKLIST FOR OPTIONAL AUTHORIZATIONS AND LIMITATIONS.

A.     OpSpec/MSpec A004 contains a series of statements considered to be a checklist for optional authorizations or available LOAs. A004 also gives a statement of prohibitions if the operator/program manager is not authorized those optional authorizations. The A004 checklist provides for the selection of authorizations that are available for the specific 14 CFR type of certificate holder, operator, or program manager. When accurately selected in the A004 checklist, the checklist describes the optional authorizations applicable for the specific certificate holder, operator, or program manager for which OpSpecs/MSpecs or LOAs are being prepared. Required OpSpec/MSpec paragraphs will not appear in the A004 checklist. Some of the statements in A004 describe general information about the operator/program management responsibility and certain statements describe the capability of the aircraft being operated. Other statements identify specific authorizations and/or limitations which apply or will apply to the operator or program manager.

B.     When selecting authorizations concerning the operator/program manager, the authorizations must be factually correct. When selecting a statement which describes a limitation or restriction, inspectors must be aware that the selection will result in the A004 checklist showing the authorization of an OpSpec/MSpec paragraph or LOA. Standard OpSpec/MSpec paragraphs providing special authorizations usually require special training curriculums, maintenance programs, and modifications to the operator’s/program manager’s manuals and MEL. The A004 checklist includes both operations and maintenance items. Coordination between operations, avionics, and maintenance inspectors is absolutely essential for these authorizations. The POI, PMI, and PAI must all agree that the selections made on the A004 checklist are accurate. PIs should also review the A004 checklist with the operator/program manager and agree that the selected statements accurately describe the operations authorized to be conducted.

C.     After the selections are moved to the OPSS workspace grid, the appropriate standard paragraphs or LOAs can then be completed (reference the current OPSS User’s Manual for details). The active table of contents can be printed to review all the standard paragraphs applicable to the operator/program manager and identifies paragraphs or LOAs which provide special authorizations or prohibitions.

3-706           TEST OR TRAINING OPSPECS/MSPECS. Each Flight Standards office can generate a set of practice or test OpSpecs/MSpecs. When generating practice OpSpecs/MSpecs, refer to either the OPSS Student Training Manual or to the OPSS User’s Manual for details. A set of practice or test OpSpecs/MSpecs can be used when someone wants to practice using the OPSS and does not have a “real” operator in the database or does not want to experiment with the information on a “real” operator. From time to time the OPSS database managers will purge the testing and training databases. For information about obtaining a precertification or certification number, please refer to the current version of the OPSS User’s Manual.

3-707           OPERATOR- OR PROGRAM MANAGER‑REQUESTED OR FAA‑INITIATED OPSPEC/MSPEC CHANGES. The signature block of each OpSpec/MSpec identifies whether the FAA issued the paragraph because of an FAA initiated change or if the certificate holder applied for a change to the content of the specific paragraph.

A.     During the signing process for each OpSpec/MSpec, within the signature block section, under the “Origin (FAA or Operator)” tab, two selections are available for the user to choose from: “Issued by the Federal Aviation Administration” or “The Certificate Holder applies for the Operations in this paragraph.”

B.     If the user selects the “Issued by the Federal Aviation Administration” toggle, no further comments can be made. The user can find a brief synopsis of FAA initiated change information in the revision history for each document. The revision history, as well as the official handbook documentation with applicable guidance for the revision, can be found in the Guidance Subsystem of OPSS.

C.     If the user selects “The Certificate Holder applies for the Operations in this paragraph” toggle, the user can enter a brief statement documenting the reason for the reissuance or amendment in the “Support Information Reference” clear text box. In this text box, the user may want to refer to the date of the operator/program manager’s letter requesting the authorization or any other pertinent information applicable to the change.

3-708           DRAFTS OF AND FINAL SIGNED OPSPECs/MSPECs OR LOAs.

A.     Inspectors should coordinate the draft OpSpecs/MSpecs or LOAs with the operator/program manager. This coordination should involve the operator/program manager throughout the final preparation of the documents. This provides an opportunity to develop a common understanding between the operator/program manager and the FAA about the authorizations, limitations, and provisions in the authorizations. The operator/program manager must also be given the occasion to verify that added operator or program manager specific information is correct.

1)      The OPSS guidance subsystem provides access to various guidance documents in association with individual OpSpec/MSpec paragraph and LOA authorizations. Inspectors should review these documents with the certificate holder, program manager, or operator, along with a draft of the authorization, to see what the operator must do to be in compliance prior to the issuance of the requested or required paragraph.
2)      Access to guidance documents is found under the OPSS tool bar “Paragraph—Guidance Documents.”

B.     After the draft OpSpecs/MSpecs or LOAs have been reviewed and final corrections made, if any, the final authorizations can be printed and physically signed or if the certificate holder or operator has electronic signature capability, the authorizations can be electronically signed. The FAA must sign (electronically) to issue/activate the authorization to the certificate holder or operator’s grid as a final document for issuance. The certificate holder or operator should also sign the final document (either electronically or physically). However, the certificate holder does not always have to sign the OpSpec/MSpec paragraph for it to be effective.

3-709           TABLE OF CONTENTS FOR AUTHORIZATIONS. The automated OpSpecs/MSpecs and LOAs table of contents is an integral section of an operator’s/program manager’s authorizations. The OPSS can automatically print a table of contents for each part individually.

3-710           AUTOMATED FEATURES AND SYMBOLOGY OF AUTOMATED OPSPEC/MSPEC PARAGRAPHS AND LOAs.

A.     Page Numbers. The OPSS prints page numbers automatically on the OpSpecs/MSpecs and LOA forms.

B.     Headquarters (HQ) Control Date. The OPSS automatically prints the words “HQ Control Date” and the date on the upper right corner of the OpSpecs/MSpecs or LOA template and gives reference to the latest Headquarters revision. This “HQ Control Date” is for Headquarters control purposes only and must not be construed as an effective date. The OPSS prints the operator’s/program manager’s certificate or identification number in the lower right corner of the template and the operator’s/program manager’s name will be printed on the bottom center of each page. See paragraph 3‑711 for a discussion about the HQ revision terminology.

C.     Effective Date and Signature Date. For original issuance of an OpSpec/MSpec paragraph or LOA both the “effective date” and the “signature date” should be the same but is not required to be the same. For authorization amendments, these dates may also be different. The effective date may be later than the signature date, or in the case of an FAA initiated required change, the effective date may be before the authorization is actually signed by the certificate holder, program manager, or operator. For an authorization to be effective, it does not necessarily have to be signed by the certificate holder, program manager, or the operator; it is effective by FAA signature only.

D.    OPSS Provides A Filter. The OPSS provides a filter under the “Tools” pull down menu and affects what is seen within the OPSS. The OPSS filter automatically displays, in color, those paragraphs that headquarters has changed or archived and is intended to alert the users that a change has occurred.

3-711           Indicates new/changed information.MANDATORY AND NONMANDATORY CHANGES. Changes to OpSpec/MSpec and LOA templates are categorized as either mandatory or nonmandatory.

·        A mandatory change is typically based on a regulatory change or policy clarification.

·        A nonmandatory change is typically used for minor text or format changes, or for changes that are limited in scope.

A.     All Changes. For all OpSpec/MSpec/LOA changes, PIs should review the “History” tab in the Web-based Operations Safety System (WebOPSS) to determine the cause of the change. PIs should also review the guidance documents associated with the OpSpec/MSpec/LOA. Guidance documents are accessed through the “Guidance” button in WebOPSS. Mandatory changes (and some limited nonmandatory changes) will typically be accompanied by a new policy document (usually a notice). The policy document will be available in the Flight Standards Information Management System (FSIMS) and with the guidance documents associated with the template in WebOPSS.

B.     Mandatory Changes. When HQ makes a mandatory change to an OpSpec/MSpec/LOA template, PIs must issue the new template and archive the old one. PIs must follow the instructions contained in any accompanying policy documents (e.g., a notice or a change to Order 8900.1) prior to issuing the new template. PIs must complete the issuance of a mandatory OpSpec/MSpec/LOA template change within 30 days, or as otherwise directed by the appropriate HQ policy division. HQ will typically provide this direction in a notice. Mandatory changes to OpSpec/MSpec/LOA templates will result in a change to the HQ revision number of the template (e.g., from HQ Revision 010 to HQ Revision 020).

C.     Nonmandatory Changes. When HQ makes a nonmandatory change to an OpSpec/MSpec/LOA template, PIs must determine if the change affects any particular certificate holder(s)/program manager(s). If a PI determines that the nonmandatory change impacts a certificate holder’s/program manager’s particular operation, the PI will issue the new template as directed by HQ or within 90 days for all affected certificate holder(s)/program manager(s). Nonmandatory changes to OpSpec/MSpec/LOA templates will result in the addition of a letter to the current template revision number (e.g., from HQ Revision 010 to HQ Revision 01a; HQ Revision 02a to HQ Revision 02b, etc.). If a nonmandatory change does not affect a particular certificate holder/program manager, PIs do not have to reissue the OpSpec/MSpec/LOA template.

D.    Archived and Decommissioned Templates. When an OpSpec/MSpec/LOA template is revised by HQ, WebOPSS automatically archives the previous version of the “Available” template within the system; however, each individual certificate holder/program manager or PI will need to manually archive any old templates in the WebOPSS Workspace. HQ may also permanently withdraw or decommission an OpSpec/MSpec/LOA template without replacing it with a revised template. Once HQ archives, withdraws, or decommissions a template, it will no longer be “Available” for issuance or editing in WebOPSS. Inspectors may view archived/decommissioned templates and guidance by adjusting the filter settings in WebOPSS.

3-712           Indicates new/changed information.OPTIONAL TEXT, STANDARD, AND NONSTANDARD TEXT.

A.     Standard OpSpec/MSpec Paragraphs and LOA Templates. Many of the standard templates in the OPSS have a provision permitting inspectors to include optional text. The templates having optional text entered can be considered either “standard” or “nonstandard” depending upon the specific requirements for authorization itself or the text that is added. The optional or additional text should relate to the subject matter of the standard paragraph or give a description of the approved program for that authorization. Inspectors may need to add optional or additional text as a subparagraph to address operator/program manager situations which are unique or to satisfy an operator’s/program manager’s request to have a situation addressed in their individual authorization. The provisions in the optional/additional text must not be less restrictive or contrary to the provisions in standard templates developed by Washington Headquarters. If the optional/additional text that is added is more restrictive than the standard text, the inspector must have a justifiable reason. A more restrictive provision results in unique treatment and could adversely affect an operator’s/program manager’s competitive position. Examples of situations which may justify adding extra subparagraphs include the following:

1)      An accident or series of incidents or enforcement actions which indicate a need for higher minimums, more stringent procedures, or prohibition of certain maneuvers.
2)      En route, terminal area, or airport situations which are unique to a particular operator/program manager or a small number of operators/program managers.
3)      Situations which require interim provisions such as airport construction, temporary obstacles, or temporary aircraft performance restrictions.
4)      Situations in which the operator/program manager does not train for certain maneuvers or procedures, resulting in a need to specify restrictions to provide for acceptable levels of safety.
5)      Self imposed restrictions or procedures requested by the operator/program manager to be specified in the authorization.

B.     Program or Method of Operation Description. Certain templates are by nature ones that require the operator/program manager to explain or describe its own program or method of operations, or reference to an FAA-approved program but do not require approval by the Regional or Headquarters offices as nonstandard paragraphs. An example of this kind of OpSpec/MSpec would be A008, Operational Control (or Flight Operations for the MSpecs).

C.     Nonstandard, Temporary Data Collection, and Time Limited Templates.

1)      Three Hundred Series are Nonstandard Authorizations. There are cases where an operator or a PI requests a nonstandard authorization that is unique. When approved by headquarters, these are entered into the OPSS as a 300 series. Nonstandard authorizations can be proposed by the certificate holder, program manager, operator, CHDO, region, or headquarters. There are cases where it is necessary to provide a unique authorization for an air carrier. For example, for emerging technologies where complete guidance has not been developed, a nonstandard authorization can be proposed, approved, and made available in the appropriate OPSS database. All nonstandard authorizations are approved by the appropriate headquarters policy division. Parts 91, 91K, 125, 125M, and 141 operators’ nonstandard operational requests must be approved by the General Aviation and Commercial Division (AFS‑800); parts 121, 135, and 142 nonstandard operational requests must be approved for issuance by the Air Transportation Division (AFS‑200); all airworthiness, nonstandard requests must be approved by the Aircraft Maintenance Division (AFS‑300); and all weather operations relating to instrument procedures must be approved by the Flight Technologies and Procedures Division (AFS‑400). Once approved, these nonstandard templates are put into the appropriate OPSS database part with a “300” series number (e.g., A312, B302, C315, D371), and the template type will be an “N” for “nonstandard.” If the nonstandard template were to be approved as a standard authorization, it would then be assigned a new number in the standard sequencing. The new standard template must be issued in its place and the nonstandard template and issued authorizations will be archived and no longer available. A request for a nonstandard authorization must follow the procedures outlined in paragraph 3-713.
2)      Additional Text. Also known as optional text or “Text 99.” Adding additional text as extra subparagraphs to a standard template authorization that is less restrictive is not allowed unless the procedures for requesting a nonstandard authorization, outlined in paragraph 3‑713, are followed and approved by the appropriate headquarters policy division. A request for a nonstandard authorization and additional nonstandard text in a standard template must follow the procedures outlined in paragraph 3‑713.
3)      Four Hundred Series are Data Collection. There are cases where it is necessary to provide a unique temporary data collection template. For example, when the Administrator asks for continuous progress reports on the status of the installation for the cockpit door requirement, a specific template can be developed and made available in the appropriate OPSS database. These data-collecting templates are put into the appropriate OPSS database and part with a 400‑series number (e.g., A412, B402, C415, D471). As such, these do not result in an “authorization” but are considered to be official “documents” and are handled using the same processes as described for issuing authorizations.
4)      Five Hundred Series are Time Limited. Certain nonstandard authorizations may have predetermined time limits in which the authorization expires. An example of this is specific deviation authorizations for part 119 certificate holders in support of military operations operating under part 121 or 135 (part 119, §§ 119.55 and 119.57). These temporary authorizations will be put into the appropriate template part (general, en route, terminal, or airworthiness, etc.) with a 500‑series number (e.g., A501, B511, C515, D521). These templates may be either standard (type “S”) or nonstandard (type “N”). If a nonstandard time-limited template becomes a standard authorization with no automatic time limit, it will be assigned a new number in the standard template sequencing and part, and the nonstandard template will be archived. If the template is a nonstandard authorization, the processes and procedures for nonstandard authorization or deviations for military operations would apply.

3-713           PROCEDURES FOR REQUESTING NONSTANDARD AUTHORIZATIONS.

A.     Nonstandard Airworthiness or Part 145 Repair Station OpSpec Paragraphs. Paragraph 3‑712 provides guidance for the PMI on issuing nonstandard paragraphs and will remain the same, stating that nonstandard paragraphs only be used in situations unique to a specific certificate holder.

B.     Nonstandard Operator or Program Manager Requested Authorizations. Any nonstandard authorization request from the operator/program manager must be submitted to the PI. It must contain enough information to support the request, such as a statement of why the operator/program manager cannot comply with the specific standard authorization; the airports specific to the operation; the comparable level of safety; pertinent navigational equipment; the type of aircraft; company procedures that ensure the safety of flight; and any other supporting documentation. The request must include a copy of the standard authorization with the proposed nonstandard language inserted appropriately.

1)      The PI must evaluate and substantiate the information. If the PI does not concur with the proposal, the operator and program manager will receive a letter denying the application of the nonstandard paragraph with an explanation of the reasons for denial.
2)      If the PI concurs, the completed package must be forwarded as described in subparagraph D below. The package must include the recommendation, the operator’s/program manager’s application, the supporting information, alignment with current national policy, the necessity of the proposed paragraph, and the proposed nonstandard verbiage.

C.     Nonstandard Authorization Request by the POI. The POI may need to add a subparagraph to an already existing standard authorization in order to address operator/program manager situations which are unique or to satisfy an operator’s/program manager’s request to have a situation addressed in a particular authorization. The provisions in those nonstandard subparagraphs should not be less restrictive to the provisions in standard template authorizations developed by Washington headquarters. The nonstandard subparagraphs should relate to the subject matter of the main paragraph. Anything outside the approved guidance should be forwarded to the appropriate headquarters division for prior approval.

1)      In those cases where the nonstandard additional text is less restrictive, FAA headquarters must authorize the proposed text prior to issuance to the operator/program manager. The proposal must contain the same information as described above for operator/program manager requested nonstandard authorizations.

Note:       Caution. Do not change or add anything to the language, format, or numbering of the standard templates as provided by Headquarters. If the standard template language is changed in any way, this may invalidate Headquarters policy.

2)      In the OPSS the nonstandard text is entered under the text tab which states “Enter text for a nonstandard paragraph.” In the template there will be a bookmark, “TEXT99” where that subparagraph will be inserted when the paragraph is drafted. The nonstandard language will be a new subparagraph that prints in italics to set off the nonstandard language and normally will be written similarly as:

e. Notwithstanding subparagraph [insert appropriate subparagraph reference, i.e., “c(5)”] above for operations [insert appropriate language, i.e., “that are conducted solely within the state of Alaska” or “conducted at Example Airport”], the highest of the following minimum altitudes apply....

D.    Nonstandard Authorization to a Standard Template. When a nonstandard authorization to a standard template is requested, the PI forwards a transmittal letter and the supporting documentation for the request with a copy of the whole standard template and the requested nonstandard verbiage as shown above, to the appropriate regional Flight Standards division (RFSD). If the RFSD concurs with the PI, it will forward its response to the appropriate Flight Standards headquarters division for review. Once the determination is made at the appropriate headquarters division level, a notification will be sent to the RFSD who will in turn forward it to the requesting PI. The headquarters division should also send an informal notification of the denial or approval to the POI via an electronic mail message. If the response is a concurrence to the proposed nonstandard text, the PI can authorize the nonstandard text by entering it into the OPSS for that authorization and issue it to the operator/program manager. The OPSS allows for the nonstandard text of each authorization to be evaluated to determine if other operators/program managers are similarly affected and whether the standard paragraph needs revision.

E.     Proposed Authorizations and Templates. Another type of nonstandard authorization should only be considered when the subject matter does not relate to any standard paragraph and it would be inappropriate to add the information as additional text, or a proposed standard document or authorization that needs guidance developed for nationwide implementation. These can be sent electronically to Flight Standards headquarters and requested to be inserted into the OPSS database for use. These special nonstandard templates can be inserted into the appropriate part of the OPSS using a 600‑series number and an “N” after the number.

F.      Expedite the Nonstandard Review Process. In order to expedite the nonstandard review process, the headquarters divisions may accept the completed package as attachments through email as long as the hard copy package is subsequently forwarded to the appropriate headquarters division. Prior to sending it electronically, contact the respective division to ensure that electronic processing is acceptable, and to ensure proper coordination.

3-714           SIGNATURE AUTHORITY FOR OPSPEC, MSPEC, TSPECS, LOA, OR OTHER ISSUANCE OF DOCUMENTS USING THE OPSS. In general, for OpSpecs, MSpecs, LOAs, and other authorizations or documents in the OPSS, the following guidance applies.

A.     Which Types of (Qualified) Aviation Safety Inspectors. The following list shows which types of (qualified) ASIs are responsible for and who may sign each type of OpSpec/MSpec:

1)      Part A. Both Operations and Airworthiness inspectors are responsible for and may sign Part A authorizations. Issuance requires coordination between the Operations and Airworthiness inspectors.
2)      Part B. Operations inspectors are responsible for and may sign for Part B authorizations, but only after coordination with the Airworthiness inspectors responsible for the operator/program manager.
3)      Part C. Operations inspectors are responsible for and may sign for Part C authorizations, but only after coordination with the Airworthiness inspectors responsible for the operator/program manager.
4)      Part D. Airworthiness inspectors are responsible for and may sign for the issuance of the Part D authorizations.
5)      Part E. Airworthiness inspectors are responsible for and may sign the authorization, but only after coordination with the Operations inspector responsible for the operator/program manager.
6)      Part H. Operations inspectors are responsible for and may sign the Part H authorizations but only after coordination with the Airworthiness inspectors.

B.     Proxy for Signature Authority. For certificate holders, part 142 training center program managers, part 91K program managers, and the PIs assigned to the certificate/program manager are given the applicable signature authority by virtue of their position. For situations where the appropriate PI is not available and an authorization or other document needs to be signed and activated, each Flight Standards District Office should develop office policy in regard to the proxy or proxies for the PI’s signature authority. The following items should be addressed in the office policy:

1)      Normally the office manager and the supervisor of the PI has signature authority by virtue of their positions and could sign for the PI in his/her absence.
2)      The PIs for each certificate/operator or program manager should designate additional proxies for his/her signature that are qualified and authorized. These could include but not limited to:
a)      Assistant PIs assigned to the same operator or program manager.
b)      Other qualified ASIs (that are not assigned to the operator or program manager) as designated by the local office policy.

C.     Other Local Office Policy Determinations. Local office policy should also determine:

1)      Who is responsible for maintaining the aviation safety inspector list in the OPSS.
2)      That the signature block is changed to show the inspector doing the signing for the assigned PI. (In the future it may be possible to have the name of the proxy inspector doing the electronic signing in the watermark.)
3)      Procedures for determining proxy authorization limits, such as:
a)      If the proxy is authorized to sign mandatory and nonmandatory authorization amendments
b)      If the proxy is authorized to sign and activate a 400‑series (data collection) paragraph?
c)      If the proxy is authorized to sign and activate paragraphs in the databases where the documents are not required by regulation or are not official authorizations, but are completed, signed, and activated for recordkeeping purposes. For example, part 137 (with the exception of the issuance of official waivers, etc., in the OPSS) or part 133 (with the exception of the issuance of official IFR and Class D authorizations, etc.).

3-715           PRINTING AUTOMATED AUTHORIZATIONS OR DOCUMENTS.

A.     Any template, authorization, or document can be printed at different stages in the development toward issuance. Please refer to the current OPSS User’s Manual for more detailed instructions.

B.     After an authorization or document has been reviewed, verified for accuracy, and coordinated with the operator/program manager, it can be printed for signature. An authorization or data collection document is considered to be effective if the FAA has signed it electronically or by hand. In cases where the FAA generates the authorizations for the certificate holder or operator, the FAA should hand sign the individual authorizations and ask the certificate holder or operator to hand sign. Because the FAA is still transitioning to a paperless environment, the CHDO should retain the paper copy with the operator or certificate holder’s signature in the office file for a minimum of 5 years. All MSpecs authorizations and documents will be electronically signed by both the FAA and the individuals designated to sign for the program managers. There is no need, nor requirement for, paper copies of the MSpecs to be retained in the CHDO office files as the OPSS will retain the official copies that are electronically signed by both parties. A single authorization or a selected set of authorizations may be printed with or without the table of contents in each part. Please refer to the current OPSS User’s Manual for more detailed instructions.

3-716           OPERATOR’S RECEIPT OF APPROVED AUTHORIZATIONS OR DOCUMENTS.

A.     Authorizations or Documents Signed by Hand.

1)      After the operator completes a new or amended OpSpec, LOA, or other document, the CHDO will review the proposed document in the workspace and make or suggest any proposed changes. Once the CHDO and operator agree on the proposal, the CHDO will place the document in “Signed” status, move it to “Active,” print two copies, and sign both by hand. Both copies will then be hand delivered or sent by U.S. mail with return receipt to the operator for signature. When both copies have been signed by the operator, both the CHDO and the operator must retain one copy. When the operator signs the document as being received, they are acknowledging that they have reviewed it, agree that the information is correct, and that they will comply with the specifications appearing in that document.
2)      PIs will keep a current, signed copy of all hand signed OpSpec documents, including the table of contents, on file in the CHDO for at least 5 years. The signed documents that are currently in effect for the operator will be filed together. Superseded, surrendered, or revoked documents and authorizations and table of contents will be marked appropriately and retained in the CHDO office for at least 5 years. If an operator’s certificate is surrendered or revoked, the OpSpecs will be marked appropriately and retained in the district office files for at least 5 years. Surrendered or revoked OpSpec paragraphs or other authorizations must be inactivated in the OPSS by the applicable PI. The OPSS active OpSpecs or other authorizations remain in effect within the OPSS until they are amended or inactivated by the FAA. When amended or inactivated, the previous active document will be electronically archived. Under certain circumstances the FAA allows for the “suspension” of a certificate holder’s OpSpecs. OpSpec A501 is issued to an air carrier certificate holder that requests to completely cease all kinds of operations for all of its aircraft for a designated period of time. The issuance of OpSpec A501 voluntarily holds “all” of the air carrier certificate holder’s OpSpecs, with the exception of paragraph A501, in a state of suspension for the established period of time, as listed in OpSpec A501. (See Volume 3, Chapter 18, Section 3, OpSpec A501).
3)      All MSpecs will be electronically signed by both the FAA and the individuals designated to sign for the program managers. There will be no issuance of MSpecs using paper copies. Therefore, there is no requirement to store hard copies of MSpecs. The official copies will remain in the OPSS database either as active or archived.

B.     Electronically Signed Authorizations and Documents Issued From the OPSS.

1)      After the operator/program manager has completed a new or amended OpSpec paragraph, LOA, or other document and placed it in draft status in the OPSS, the CHDO will review the proposed document in the “Workspace” area and make or suggest any proposed changes. Once both the CHDO and operator/program manager agree on the proposal, the operator/program manager must electronically sign the paragraph and advise the CHDO that the industry signature has been accomplished. When the industry signature has been accomplished, the operator/program manager is acknowledging that the information is correct and that they agree to comply with the specifications appearing in the paragraph, authorization, or document. The CHDO will then electronically sign the paragraph and move it to the “Certificate Holder” area.
2)      Once the document is in the “Certificate Holder” area, the CHDO may wish to print a paper copy of the document for data retention purposes. A printed copy is not required because the active official documents will be retained in the OPSS database. When an OpSpec or other document is amended or revoked, the previous active OpSpec or document will be electronically archived. Surrendered or revoked OpSpec paragraphs, authorizations, or documents must be deactivated in the OPSS. The OPSS active OpSpec, authorization, or document remains in effect within the OPSS until they are amended or inactivated by the FAA. When amended or inactivated, the previous active document will be electronically archived for an indefinite period of time.

C.     Issuance of an OpSpec/MSpec, Authorization, or Document by the FAA Without the Concurrence or Signature of the Operator/Program Manager. In general, when the FAA issues and signs a required OpSpec/MSpec paragraph, authorization, or document, it is considered to be effective whether or not the operator, program manager, or certificate holder has signed it. If, in accordance with the provisions and limitations of § 119.51 or part 91K, the FAA determines that an amendment is needed, the CHDO will issue the amended OpSpec, authorization, or document as effective with only the FAA’s electronic signature. For instance, some of the OpSpec/MSpec paragraphs are not necessarily issued as authorizations but as data collection documents. These paragraphs are “issued” for information purposes, such as, OpSpec/MSpec A447, Emergency Airworthiness Directives (AD) Notification Information. It is not a requirement for the operator or program manager to sign this paragraph/document for it to be “effective” or activated in the OPSS. It is desirable for the operator or program manager to sign the document to validate that the information being collected is correct.

3-717           PART 142 TSPECS. Information regarding the applicability and issuance of TSpecs is contained in part 142, § 142.11 and Volume 3, Chapter 54. TSpecs are issued in accordance with § 142.5(b). TSpecs have been realigned to correspond more closely to the numbering system employed for OpSpecs. This will provide a correlation when discussing the relationships that will be developed between the training center and its contracting operators/program managers. (See additional guidance in this order in regard to part 142 training centers and specifications).

3-718           OPSS LIABILITY INSURANCE SUBSYSTEM. The FAA Air Transportation Division, Technical Programs Branch (AFS‑260) maintains the 14 CFR part 298, § 298.21(c)(2) registration for the part 135, on‑demand certificate holders. Office of the Secretary of Transportation (OST) Form 4507; Air Taxi Operator Registration and Amendments Part 298, of the Regulations of the Department of Transportation; and OST Form 6410, U.S. Air Carriers Certificate of Insurance Under 14 CFR Part 205, are to be submitted whenever changes occur within the certificate holder’s operation. Every (on‑demand) air carrier operator who plans to begin operations under part 135 must register with AFS‑260, not later than 30 days prior commencing such operations. The registration of an on-demand air carrier will remain effective until it is amended by the carrier or canceled by the Administrator. (Refer to paragraph 2‑130 for additional guidance in regard to part 298 liability insurance.)

A.     Flight Standards division personnel in FAA headquarters review insurance information and, based on their findings, identify which certificate holders are no longer authorized to operate. If a certificate holder is no longer authorized to operate, the Flight Standards division personnel place a notification in the OPSS. This is an immediate notification in OPSS and is visible upon opening the certificate holder window. The caption “Insurance in a Non‑Compliant State” is displayed in red in the top center of the “Maintain Operations Specifications” window (see Figure 3‑67).

B.     A red alert clause has been added to the OPSS as a new feature that may appear at the top of the “Maintain Operation Specifications” window to aid POIs in their surveillance of the certificate holder’s compliance with part 298 exemption authority regulations. The alert clause will display when an applicant or existing certificate holder is not in compliance these regulations under either of the following two conditions:

1)      A new applicant for part 135, on‑demand operations is waiting for the part 298 exemption authority, and/or
2)      An existing part 135, on‑demand air carrier’s part 298 exemption authority has become delinquent.

C.     If a red alert clause, “Insurance in a Non‑Compliant State,” appears at the top of the “Maintain Operations Specifications” window in the OPSS, the “Review Insurance Info” selection can be used to view the details of the noncompliance. See the guidance document in association with OpSpec A001 that graphically explains this feature.

D.    If you have questions regarding a respective part 135 air carrier’s part 298 exemption authority status as displayed in the OPSS, you may contact one of the following by telephone or email:

1)      Katherine Tatum, 202-267‑7897 (air carriers A–D).
2)      George Ceffalo, 202-267‑9814 (air carriers E–N).
3)      Roy Robinson, 202-267‑7773 (air carriers O–Z).
4)      Cathy Howell, 907-271-1308 (Alaska Region only).

Figure 3–67.     Red Alert Clause

Figure shows screenshot of the OPSS CHDO when insurance is in a non-compliant state.

Follow these steps to review the 14 CFR part 298 exemption authority status for the selected certificate holder:

1.   Select “Certificate Holder” from the automated Operations Safety System (OPSS) certificate‑holding district office (CHDO)—Maintain Operations Specifications menu bar.

2.   Select “Review Insurance Info” as shown below:

Figure shows a screenshot of a drop-down menu in the OPSS CHDO.

Insurance Information Screen:

3.   The Insurance Information screen (below) shows the three statuses for insurance policies:

Figure shows a screenshot of the insurance information screen in the OPSS CHDO.

·        Approved (Active)—The insurance policy is in effect and up to date.

·        Cancelled—The insurance policy is no longer in effect, and the certificate holder should not be operating.

·        Terminated—The insurance policy is no longer in effect, and the certificate holder should not be operating.

4.   When you have finished reviewing the information, click the “close” button at the bottom of the screen.

RESERVED. Paragraphs 3-719 through 3-733.


3/16/12                                                                                                                     8900.1 CHG 192

Volume 3 General Technical Administration

chapter 18 Operations Specifications

Section 3  Part A Operations Specifications—General

3-736           DISCUSSION. This section and sections 4, 5, and 6 of Volume 3, Chapter 18 discuss each standard template available for issuance by the automated Operations Safety System (OPSS), also known as the Web‑based automated Operations Safety System (WebOPSS). These templates are more commonly referred to as “paragraphs.” The standard paragraphs discussed in this order are limited to operations in accordance with Title 14 of the Code of Federal Regulations (14 CFR) parts 91, 91 subpart K (91K), 121, 125 (including Letter of Deviation Authority (LODA) 125 subpart M (125M)), 135, and 145.

A.     Definition of OpSpecs. The standard paragraphs for parts 121, 125, 135, and 145 are called operations specifications (OpSpecs).

B.     Definition of MSpecs. The standard paragraphs for part 91K are called management specifications (MSpecs).

C.     Definition of LOAs. The standard paragraph for part 91 and 125M are called letters of authorization (LOA).

D.    Other Source Documents. References are provided to other sections of this handbook, to advisory circulars, or other applicable documents that discuss detailed requirements for certain standard paragraphs.

E.     Ensure Complete Review. Before issuing a standard paragraph, any specific requirements specified by this order or the referenced material (relative to the paragraph being issued) must be met. Before reading the following sections for the first time, review the applicable paragraphs available in the OPSS for the specific regulation.

F.      Applicability of Paragraphs. There are some standard paragraphs that are required to be issued to all operators for a specific regulation. There are standard paragraphs that are optional and only issued when the operator is specifically authorized to conduct those operations.

Note:       All 300‑series (300–399) OpSpecs/MSpecs/training specifications (TSpec)/LOAs (Parts A, B, C, D, E, and H) require approval by the appropriate headquarters (HQ) policy division. Title 14 CFR part 91K, 125, 125M, 133, 137, and 141 operators’ nonstandard operational requests must be approved by the General Aviation and Commercial Division (AFS‑800); parts 121, 135, and 142 nonstandard operational requests must be approved for issuance by the Air Transportation Division (AFS‑200); part 145 repair station and all airworthiness nonstandard requests must be approved by the Aircraft Maintenance Division (AFS‑300); and All Weather Operations (AWO) relating to instrument procedures must be approved by the Flight Technologies and Procedures Division (AFS‑400). Any additional provisions and/or authority added to an OpSpec/MSpec/TSpec paragraph or LOA through the use of nonstandard text entered in the nonstandard text block (sometimes referred to as “Text 99”) must also be approved by the appropriate HQ policy division. For detailed guidance on the process for obtaining HQ approval for nonstandard authorizations, principal inspectors (PI) must read the guidance contained in Volume 3, Chapter 18, Section 2.

3-737           PART A OPERATIONS AND MANAGEMENT SPECIFICATIONS PARAGRAPHS.

OPSPEC/MSPEC A001, ISSUANCE AND APPLICABILITY.

A.     General. A001 identifies the OpSpec/MSpec holder. The name must be the legal name of the operator. A001 also specifies the kinds of operations authorized, the applicable regulatory sections under which the operations are to be conducted, and any other business names under which the operations are being conducted. See the new OPSS user’s manual for additional guidance to issue A001. Figure 3‑4 is a summary of the information required in OpSpec/MSpec A001.

Table 3‑4.         Summary of Information Required in OpSpec/MSpec A001

Type of Certificate

Any of the following may apply:

Type of Carriage:

Regulation Reference:

Economic Authority

Text to be inserted:

Air Carrier

Domestic

Common

119.21(a)(1)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

Flag

Common

119.21(a)(2)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

Supplemental Passenger

(more than 60 pax and/or >18,000# payload)

Common

119.21(a)(3)(i)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

Supplemental All Cargo

Common

119.21(a)(3) (ii)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

Commuter

(5+ trips/week)

Common

119.21(a)(4)

(Part 135)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

On Demand

(less than 5 round trips/week)

Common

119.21(a)(5)

(Part 135)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Operating

Flight

(Part 125)

Private

Non Common

119.23(a)

(Part 125)

and provided the certificate holder does not conduct any operation which results directly or indirectly from the certificate holder or any other person holding out to the public to provide for the carriage of person or property.

Operating

On Demand

(non scheduled)

Private

__________

Non Common

119.23(b)

(Part 135)

Ltd. to holding out to public

________

# of Con tracts

(Definitions)

119.23(b)(3)

and provided the certificate holder does not conduct any operation which results directly or indirectly from the certificate holder or any other person holding out to the public to provide for the carriage of person or property.

Air Carrier

Commuter

Rotorcraft

Common

119.25(a)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

On Demand

Rotorcraft

Common

119.25(b)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

None

Fractional

Non Common

Part 91K

None.

B.     Authorization. A001 authorizes the conduct of operations under other business names known as “doing business as” (DBA). If no operations are authorized to be conducted under another DBA, the statement selected will state that “the operator is authorized to use only the business name which appears on the certificate to conduct the operations described in subparagraph a.” Other DBAs authorized under 14 CFR parts 215 or 298 must be listed in OpSpecs. Before listing a DBA in an operator’s OpSpecs or entering a DBA in an Air Oper Enhanced Vital Information Database (eVID) file, inspectors must verify that the DBA is on file with DOT or an appropriate state agency. This verification can be accomplished by one of the following means:

1)      The operator shows that the DBA is listed on a DOT registration (proof of insurance);
2)      The operator shows that the DBA is listed on a DOT certificate of public convenience and necessity;
3)      The operator shows that the DBA is authorized by a DOT order or other DOT document;
4)      When the operator claims the DBA is on file with the DOT, verification must be made by contacting the DOT Office of Aviation Analysis, Air Carrier Fitness Division, (202) 366‑9721; or
5)      When an “operating certificate” is involved, the operator shows that the DBA is authorized and registered by an appropriate state authority.
6)      DBAs can apply to 14 CFR part 91 subpart K, but they do not have economic authority requirements.

C.     Part 145. For part 145 repair stations, A001 lists the:

·        Location,

·        Mailing address (if different from the fixed location),

·        Other DBAs (see subparagraph B above) if authorized, and

·        Any delegated authorities.

OPSPEC/MSPEC A002, DEFINITIONS AND ABBREVIATIONS. A002 includes definitions of words or phrases used in other paragraphs. These definitions are not found in the regulations and should enhance understandings between the FAA and the aviation industry. Washington headquarters developed definitions must not be changed by regional or district offices. Washington headquarters will add definitions when it becomes apparent that they are needed. Addition of a definition by a certificate‑holding district office (CHDO) makes the whole paragraph nonstandard and must be processed as a nonstandard OpSpec/MSpec request.

OPSPEC/MSPEC A003, AIRPLANE/AIRCRAFT AUTHORIZATION. OpSpec/MSpec A003 authorizes an operator or certificate holder to use specific make, model, and series (M/M/S) of airplanes in 14 CFR part 91 subpart K (part 91K), 121, 125, or 135 operations. A003 is populated with data from the “Maintain Operator Data—Aircraft” area of the automated Operations Safety System (OPSS). The only field that is populated within the A003 template is nonstandard text. If this field is used, the additional text must be coordinated and approved in accordance with Volume 3, Chapter 18, Section 2, paragraphs 3‑712 and 3‑713. In most cases, the A003 column labels match the data column labels in the “Maintain Operator Data—Aircraft” area of the OPSS. In contrast to OpSpec A001, OpSpec A003 does not identify the air carrier’s overall authority to conduct a particular kind of operation. Instead, it represents the FAA’s approval of the air carrier’s use of a particular airplane in carrying out the kinds of operations that are authorized. The column labeled “Type Section 119” reflects the 14 CFR part 119 operating authorization granted by the certificate holder’s Air Carrier/Operating Certificate. Volume 2, Chapter 2, Section 2, paragraph 2‑129 explains the hierarchy of part 119 authorizations. The rest of the set of OpSpecs are then put into place to authorize the air carrier to conduct specific types of operations in accordance with the authorizations and airplane identified in A001 and A003. The following provides terminology clarification and guidance on both the “A003” and the OPSS “Maintain Operator Data—Aircraft” columns. A003 templates do not use every data column available in the OPSS “Maintain Operator Data—Aircraft” area. A003 column usage will vary across 14 CFR parts. Each A003 has its columns organized to meet the needs of the 14 CFR part. The column descriptions below are not all‑inclusive and, therefore, not every column in every A003 template is described. The columns that are not described are self‑explanatory.

A.     M/M/S: Parts 91K, 121, 125, and 135. Select the authorized M/M/S using the aircraft listing provided in the OPSS. If the appropriate M/M/S cannot be found in the OPSS, inspectors should immediately notify the OPSS help desk so that the airplane listing can be updated.

B.     Type of Part 119 Common Carriage Operations. For each aircraft, list the type of operation authorized. This is accomplished in the OPSS “Maintain Operator Data—Aircraft” area. The authorization is aircraft specific. In some cases, more than one part 119 type of operation may be required for an M/M/S. When A003 is generated, the data from the OPSS “Maintain Operator Data—Aircraft” are loaded into the appropriate A003 columns. Part 119 section selections in the OPSS “Maintain Operator Data—Aircraft” area are part 119‑specific for each 14 CFR part. Examples of part 119 section selections for parts 121, 125, and 135 include the following:

1)      Selections available for part 121:

·        Section 119.21(a)(1)—Domestic (D),

·        Section 119.21(a)(2)—Flag (F),

·        Section 119.21(a)(3)—Supplemental (S), and

·        Section 119.21 (a)(1), (2), (3)—(D) (F) & (S).

Note:       In the cases where more than one type of part 121 operation is authorized for a particular airplane, the certificate holder/principal operations inspector (POI) should select “119.21(a)(1), (2), (3)—(D) (F) & (S)” in the column labeled “Type Section 119.” For example, an air carrier who operates a DC‑9‑82, N12121, in both domestic and international operations (lower 48 states and Canada), the certificate holder/POI should select “119.21(a)(1),(2),(3)—(D) (F) & (S).”

2)      Selections available for part 125/125M (Letter of Deviation Authority (LODA)):

·        Section 119.23(a)—Private Carriage (Noncommon Carriage), and

·        Section 119.23(a)—125M LODA (When Common Carriage is Not Involved).

3)      Selections available for part 135:

·        Section 119.21(a)(4)—Commuter,

·        Section 119.21(a)(5)—On‑Demand,

·        Section 119.23(b)—Private Carriage (Noncommon Carriage),

·        Section 119.25(a)—Rotorcraft Commuter, and

·        Section 119.25(b)—Rotorcraft On‑Demand.

C.     Passenger Seating Terminology for Parts 121 and 125.

1)      Passenger seating terminology is derived from and associated with the emergency evacuation demonstrations requirements of 14 CFR part 25, § 25.803; part 121, § 121.291(a) and (b); and part 125, § 125.189. These terms are also consistent with the guidance in Volume 3, Chapter 30.
2)      For the purposes of parts 121 and 125 emergency evacuation demonstration requirements, the terms “capacity” and “configuration” have the same meaning with respect to passenger seating. An airplane with a seating capacity of more than 44 passengers requires a demonstration of emergency evacuation procedures in accordance with § 121.291 or § 125.189.
3)      “Certificated seats,” as referenced in A003, is a term derived from the emergency evacuation certification requirements of § 25.803. This requirement establishes, by actual demonstration, the maximum certificated seating capacity of the airplane. Volume 3, Chapter 30, Section 9 includes Table 3‑121, Maximum Approved Passenger Seating Capacity For Transport, which lists the maximum seating capacity for airplanes typically used in air carrier service. This list is to be considered the primary source document for Flight Standards Service (AFS) inspectors when determining maximum seating capacities. The listed maximum seating capacity values are derived from the airplane Type Certificate Data Sheets (TCDS).
4)      “Demonstrated seats” is the number of seats installed in the airplane at the time the certificate holder complied with § 121.291(a) or (b), or § 125.189(a) and (b). This seating configuration will determine the number of Flight Attendants (F/A) required by § 121.391 or § 125.269.
5)      “Installed seats” refers to the actual seating configuration of the individual airplane.

Note:       Indicates new/changed information.For part 135 OPSS data entry, “certificated seats” refers to the maximum seating capacity stated in the aircraft TCDS, which includes pilot seats. “Installed seats” are passenger seats actually installed in the individual aircraft. Office of the Secretary of Transportation (OST) Form 4507, Air Taxi Operator Registration and Amendments under Part 298 of the Regulations of the Department of Transportation, requires the applicant to list the passenger seats installed for the aircraft make and model. This does not include seats occupied by the pilot or co‑pilot, unless the latter is available for passenger use. OPSS data feeds the 14 CFR part 298 insurance registration and coverage module from “Maintain Operator Data—Aircraft” for certificated seats only.

6)      All‑cargo operations allow only passengers as defined in § 121.583(a) and part 135, § 135.85. For all‑cargo operations, the number “0” shall be entered into the columns labeled “Certificated Seats,” and “Demonstrated Seats.”
7)      In passenger/cargo operations, the passenger seating guidance in subparagraphs 3‑737C1) through 4) apply.

D.    Number of F/As: Parts 121 and 125. Enter the number of F/As used during the certificate holder’s emergency evacuation demonstration required by § 121.291 or § 125.189 for each airplane listed.

E.     F/A: § 135.107. In the OPSS “Maintain Operator Data—Aircraft, Flight Attendant” column enter the F/A requirement for each airplane. If the airplane is configured with more than 19 passenger seats, enter the number “1.” If the passenger seating configuration is 19 seats or fewer, enter the number “0.” There is not a “Number of Flight Attendants” column associated with OpSpec A003 for part 135.

F.      Class of Operation. Enter the appropriate class of operation for each airplane listed. Enter only one class of operation for each airplane. The classes of operations are: Single‑Engine Land (SEL), Single‑Engine Sea (SES), Multiengine Land (MEL), Multiengine Sea (MES), and helicopter (HEL).

G.    Type of Operation. Enter the appropriate en route flight rule for each airplane. If the airplane is approved for instrument flight rules (IFR) operations, enter “IFR/VFR” in the column labeled “En Route Flight Rule.” Part 121 operations are required to conduct operations in IFR. If the airplane is restricted to visual flight rules (VFR) operations only, select “VFR Only.” Select the day/night condition for each airplane. If the airplane is approved for both day and night conditions, select “Day/Night” in the column labeled “Condition.” If the airplane is approved for daylight conditions only, select “Day Only.”

OPSPEC/MSPEC A004, SUMMARY OF SPECIAL AUTHORIZATIONS AND LIMITATIONS.

A.     Purpose. This paragraph summarizes optional authorizations applicable to a particular operator.

B.     Part 145. For part 145 repair stations, this paragraph summarizes special (optional) authorizations and/or limitations applicable to the certificate holder. The OPSS application extracts the specific paragraphs that authorize a specific activity; it provides a summary of the authorized activity and reference number of the specific paragraph.

OPSPEC/MSPEC A005, EXEMPTIONS AND DEVIATIONS. In order for an operator to conduct operations under the provisions of any exemption or deviation, the exemption or deviation must be listed in A005.

A.     Exemptions. The current exemption number and expiration date must be selected for insertion into A005. List the exemption numbers in numerical order. Enter a brief description of the exemption or, if appropriate, the exempted regulations in the space labeled Remarks and/or References (adjacent to each exemption). If certain conditions or limitations related to the exemption are specified in another paragraph of the OpSpec, the reference number of the other paragraph must also be entered in this space. For example, if a single high frequency (HF) radio is permitted by exemption in certain areas of en route operation, insert a reference to OpSpec B050 ( see paragraph B050). In this example, the appropriate areas of en route operation in B050 should contain a note authorizing the provisions of that exemption for those areas.

B.     Deviations. Enter the applicable 14 CFR sections to which a deviation has been granted in A005b. Select the applicable deviations by 14 CFR section. In the space labeled Remarks and/or References (adjacent to each deviation), briefly describe the provisions of the deviation. For example, if an operator is granted a deviation to permit the same person to serve as director of operations and director of maintenance, list the applicable 14 CFR. In the Remarks and/or Reference space, enter information specific to that operator or NA for “not applicable”. Table 3‑5 explains the standard OpSpecs paragraphs that must be referenced and issued when granting deviations in each subject area (others may also be applicable).

Note:       There are no deviations for part 145 repair stations.

Table 3‑5.         Standard OpSpecs Paragraphs to Reference When Granting Deviations

SUBJECT

PARAGRAPH NUMBER

APPROPRIATE REGULATION

Management

A006

Various, depends on operating regulation, management position, and qualifications

Extended‑Overwater Operations without liferafts

A013

Sections 121.339(a)(2), (3), and (4)

Basic Part 135 Operator

On‑Demand Operations Only

A038

Sections 119.69(b), 135.21(a), and 135.341(a)

Basic Part 135 Operator

Commuter and On‑Demand

A037

Sections 119.69(b), 135.21(a), and 135.341(a)

Part 135 Single Pilot‑in‑Command Operator

A039

Sections 119.69(b), 135.21(a), and 135.341(a)

Extended‑Range Operations with Two‑Engine Airplanes

B042

Sections 121.161(a)

Special Fuel Reserves in International (Flag) Operations

B043

Sections 121.645(b)(2)

OPSPEC A006, MANAGEMENT PERSONNEL.

A.     Titles. An operator’s management personnel may have titles different from titles of management positions used in the 14 CFR. The intent of A006 is to clearly identify the operator’s management personnel who are fulfilling 14 CFR management positions. A006 is also used to approve deviations from required management positions. Direction and guidance for approving deviations from management requirements is in subparagraph C below. Indicate approval of these deviations in A006 as follows:

1)      For deviations that permit less than the required management positions, leave the positions that are not filled blank. Enter “NA” for “not applicable” for single‑pilot operators and single pilot in command (PIC) operators.
2)      For deviations that permit the same person to fill two or more positions, enter the name and title of that person in the appropriate positions.
3)      For deviations that permit a person to hold a management position when that person does not meet the regulatory qualification requirements, enter the name and title of that person in the appropriate position.
4)      In all cases list the appropriate regulatory section in OpSpec A005(b) of the OpSpecs.

B.     Required Information. The OPSS must be accurate and contain at least the information required for OpSpecs in order for them to be correct. Additional text may be added to A006 without making it nonstandard, provided the extra paragraph is used to identify additional management positions (such as more than one chief pilot), or to specify conditions of a deviation. If the extra paragraph provides for anything other than the preceding, it must be processed in accordance with Volume 3, Chapter 2, Section 1, paragraph 3‑37B.

C.     Required Management and Technical Personnel Positions.

1)      Title 14 CFR part 119, § 119.65 requires management and technical personnel positions for certificate holders operating under 14 CFR part 121 (i.e., Director of Safety (DOS), Director of Operations (DO), chief pilot, Director of Maintenance (DOM), chief inspector).
2)      Section 119.69 requires management and technical personnel positions for certificate holders operating under 14 CFR part 135 (i.e., DO, chief pilot, DOM).
3)      Sections 119.67 and 119.71 specify the airman and experience qualifications for personnel serving in these positions for parts 121 and 135, respectively.
4)      Sections 119.67(e) and 119.71(f) specify airman, managerial, and supervisory experience deviation authority.
5)      The regulations are intended to ensure that persons holding these required management and technical positions have the measure of experience as well as the demonstrated capability needed to effectively manage these types of programs. In addition, persons exercising control over the maintenance and operations programs must have that level of qualification and experience that will allow these persons to carry out their duties and responsibilities with the degree of expertise consistent with the certificate holder’s responsibility to operate with the highest possible degree of safety.
6)      The deviation request element of the regulations is intended to provide the certificate holder a measure of flexibility in order to allow employment of persons who may not possess the exact type or level of experience outlined in the regulations but who have other experience that is found to be comparable. Further, the deviation request procedure is not intended to accommodate individuals who do not possess the length of experience required by the regulations.

D.    Management Deviation Request. When a certificate holder requests a management experience deviation, or management positions or numbers of positions other than the requirements of §§ 119.65 through 119.71, it must make such requests through its certificate‑holding district office (CHDO). The request must adhere to the following processes and procedures and contain a minimum of the information shown in subparagraph D1) below for evaluation:

1)      Management Deviation Request Contents.
a)      Full certificate name including doing business as (DBA) of the requesting entity (e.g., ABC Airlines, Inc. DBA XYZ Air);
b)      Complete address and certificate number of certificate holder;
c)      Full name and airman certificate number of the management applicant;
d)      Number of aircraft by category, class, and type;
e)      Number of employees/pilots/other crewmembers;
f)        Areas and kinds of operations (e.g., Continental United States (CONUS), domestic) authorized;
g)      Statement of operations authorized (e.g., single PIC, basic part 135 on‑demand only, part 121);
h)      Any other management deviations held by the certificate holder;
i)        Statement of why the certificate holder requires a management deviation, management position(s) involved, and what comparable experience the individual has that would justify the management deviation; and
j)        A resume for the individual that specifically outlines their work experiences and duration of each work experience to include, if appropriate, PIC, certified mechanic, and/or management experience for the kind of operations conducted.

Note:       The information contained in the resume must be verified by the principal operations inspector (POI) or principal maintenance inspector (PMI), as appropriate.

2)      Evaluating Management Experience Deviation Requests (Part 119).
a)      Lack of Airmen Certificates. The regulations do not permit the issuance of an airman certificate requirement deviation for individuals who do not hold the required airmen certificates or ratings. However, they may apply for an exemption under 14 CFR part 11.
b)      DOS Position. Each certificate holder that conducts operations under part 121 must have a DOS. This person is responsible for keeping the certificate holder’s highest management officials fully informed about the safety status of the company. An independent, full‑time position is required. However, in a small part 121 operation, the DOS functions may be an additional function of a current manager. Any request for a management deviation involving a DOS position must be approved by the Air Transportation Division (AFS‑200).

Note:       Requests for one individual to fill this position for more than one certificate holder concurrently will not be considered.

c)      Comparable Experience. A management position experience deviation may be issued for individuals who lack the precise experience requirements (specified in §§ 119.67 and/or 119.71) if acceptable comparable experience is presented and accepted by the Administrator.

1.      DO/Chief Pilot Positions. Experience in any position where the normal duties and responsibilities included management/supervisory oversight and/or control of the development upkeep and the performance of one or more elements of an operator’s operational control system may be considered as comparable experience. Management positions, wherein the applicant exercised management decisionmaking processes, may be considered as comparable experience (e.g., assistant DO, assistant chief pilot, general manager). Experience involving operational control may also be acceptable (e.g., supervisory aircraft dispatcher, supervisory flight follower).

2.      Comparable Experience. For certificate holders with only a single PIC or a basic part 135 operation, the following examples may be considered as comparable experience:

·        Experience as a PIC conducting the same kinds of operations that the applicant would be responsible for managing;

·        Experience as a manager of a corporate flight department with operations similar to an air carrier;

·        Experience in a military PIC position with responsibilities and experience comparable to a civil aircraft operation PIC; or

·        Experience in a management position with responsibilities for safely transporting passengers and/or military executive charter.

3.      Unacceptable Experience. All acceptable, comparable experiences added together must equal the required 3 years. However, experience as a military fighter pilot flying in combat scenarios, a flight instructor, a crop duster, or a helicopter external load operator, would not be considered comparable experience. A college education or educational experience in aviation or writing manuals does not substitute for actual work experience.

Table 3‑6.         Example for a Chief Pilot Deviation

POSITION/TITLE

LENGTH OF EMPLOYMENT

COMPARABLE EXPERIENCE

Part 135 PIC

24 months

Acceptable (24 months)

Assistant Chief Pilot

13 months

Acceptable (13 months)

Flight/Ground Instructor

26 months

Unacceptable (0 months)

 

Total: 37 months

4.      Months of Experience. In the example, the applicant would be approved. The applicant had 24 months of actual experience required by the regulation combined with 13 months of comparable experience for a total of 37 months (36 months required). The 26 months as a flight instructor is not comparable experience.

5.      DOM Positions. Experience in any position where the normal duties and responsibilities included management oversight and/or control of the development, upkeep, as well as the performance of one or all of the following elements of an aircraft maintenance or inspection program, including:

·        The maintenance program manual;

·        Responsibility for airworthiness;

·        Maintenance and inspection organization;

·        Performance and approval of maintenance, preventive maintenance, and alterations;

·        Alterations performed by maintenance providers or contractors;

·        Continuing Analysis and Surveillance System (CASS);

·        Maintenance recordkeeping; and

·        Maintenance personnel training.

6.      Chief Inspector Positions. Experience in any position where the normal duties and responsibilities included management oversight and/or control of the development, upkeep, as well as the performance of one or all of the following elements of an aircraft maintenance inspection, quality control (QC), or quality assurance (QA) functions within a maintenance or inspection program, including

·        The inspection program policy and procedures;

·        Responsibility for airworthiness;

·        Inspection organization;

·        QA of the performance and approval of maintenance, preventive maintenance, and alterations;

·        Alterations performed by maintenance providers or contractors;

·        Maintenance recordkeeping; and

·        Inspection personnel training.

7.      Combined Positions. Any certificate holder who requests approval to combine two or more required management positions into one position must ensure that the person who will serve in that position meets the qualifications for, or receives a deviation for, each management position to be combined (e.g., chief pilot and DO), in addition to receiving an approval to combine the management positions. The size, scope, complexity, and work load of the operations that the applicant has been involved with, and will be involved with in the combined management position, must be considered when evaluating this request. Requests to combine the positions of DOM and chief inspector will not be approved.

Note:       Applicants who serve in a combined management position should not be assigned to any additional duties (e.g., check airman, aircraft instructor).

3)      Authority to Approve or Deny Management Requests. Deviation authority in § 119.71(f) extends the accountability for granting or denying deviations from this section to the AFS-200 division manager and the Aircraft Maintenance Division (AFS-300) division manager.
a)      A certificate holder may request a deviation through the assigned principal inspectors (PI). If the CHDO approves the deviation, the endorsement is then forwarded to the regional Flight Standards division (RFSD) for concurrence.
b)      The request to employ a person who does not meet the appropriate airmen experience requirements, managerial experience requirements, or supervisory experience requirements of this section will be reviewed by the AFS-200 or AFS-300 division manager, as appropriate.
c)      If the division manager finds, after consideration is given to the size and scope of the operation, that the person’s qualifications and experience are comparable with the sought after position, a deviation may be granted under § 119.71(f). The Administrator may, at any time, terminate any grant of deviation authority issued under this paragraph.
d)      AFS‑200 and/or AFS‑300, as appropriate, will return the package to the RFSD. AFS‑200 and/or AFS‑300 will reply in writing to the CHDO through the RFSD with a statement of approval or denial of the request. AFS‑200 and/or AFS‑300 will not take action on requests received directly from certificate holders or CHDOs without CHDO manager and RFSD manager recommendations.

E.     Program Tracking and Reporting Subsystem (PTRS) Input. Enter activity code 1381 or 3381, as appropriate, and enter “119DEV” in the “National Use” field. POIs/PMIs should record comments of interaction with the operators in the “Comments” section.

OPSPEC/MSPEC A007, OTHER DESIGNATED PERSONS.

A.     Template A007. In the automated Operations Safety System (OPSS), Template A007 is used for identifying each operator’s agent for service, persons designated to apply for and receive applicable authorizations, persons designated to receive Safety Alerts for Operators (SAFO) and/or Information for Operators (InFO), and other designated persons. Each Template A007 is labeled specific to the OPSS 14 CFR database:

1)      Title 14 CFR parts 121, 125, 133, 135, and 145 databases: Template A007 is labeled an operations specification (OpSpec).
2)      Title 14 CFR parts 141 and 142 databases: Template A007 is labeled a training specification (TSpec).
3)      Title 14 CFR part 91 subpart K (part 91K) database: Template A007 is labeled a management specification (MSpec).
4)      Part 91 subpart J and part 125 subpart M databases: Template A007 is labeled a letter of authorization (LOA).
5)      Title 14 CFR part 137 and other databases also have A007 templates to identify designated persons.

B.     Agent for Service. An agent for service is a person or company designated by the operator upon whom all legal notices, processes and orders, decisions, and requirements of the Department of Transportation (DOT), FAA, and National Transportation Safety Board (NTSB) shall be served. Once any of these documents has been served upon the operator’s agent for service, the certificate holder cannot claim (legally) that it did not receive the documents. Title 49 of the United States Code (49 U.S.C) § 46103 requires air carriers to designate an agent for service. The name, title, and address of the agent for service must be obtained from the operator and correctly entered into the OPSS Certificate Holder’s Personnel tab. This information will load into the A007 template.

C.     Persons Designated to Apply for and Receive OpSpecs/TSpecs/MSpecs/LOAs. Names and titles of persons designated by the operator as authorized to apply for and receive OpSpecs/TSpecs/MSpecs/LOAs must be entered in Template A007. The “Parts” of the operator’s authorizations for which the designated person is responsible must also be entered. Principal inspectors (PI) may determine that it is appropriate to have signatures of these designated persons recorded in this subparagraph.

D.    Persons Designated to Receive SAFOs and/or InFOs. All A007 templates (with the exception of part 141 and 142 databases in the OPSS) are used to collect the name, email address, telephone number, and type of SAFO/InFO information that person should be sent (i.e., Operations, Airworthiness, or both). Part 141 pilot schools and part 142 training centers will not have a person designated to receive SAFOs or InFOs in Template A007. Part 145 repair stations will have a person designated to receive InFOs in Template A007. A reply message signifying receipt of the SAFO/InFO information by a designated person is not required. (Refer to the current editions of FAA Orders 8000.87, Safety Alerts for Operators, and 8000.91, Information for Operators (INFO).)

Note:       If an operator does not have an email address, a facsimile number may be entered in the email address block.

1)      A SAFO contains important safety information, often of an urgent nature, and may include recommended action. SAFO content is valuable to air carriers and other air operators in meeting their statutory duty to provide service with the highest possible degree of safety in the public interest.
2)      Much like a SAFO, which contains critical safety information, an InFO contains valuable information for operators that should help them meet administrative requirements or certain regulatory requirements with relatively low urgency or impact on safety.
3)      Government and industry have agreed on the importance of having a prompt, reliable delivery system for SAFOs and InFOs and taking advantage of email and postings at FAA public Web sites. Accordingly, they have ratified that a recipient of SAFOs and InFOs must be identified in Template A007 so that the FAA may notify an operator of a new SAFO or InFO and recommended action to be taken by the respective operators identified in each SAFO/InFO.

E.     Part 91K. Part 91K fractional ownership operations must identify the specific persons in MSpec A007 as follows:

1)      Agent for service for the program manager.
2)      Personnel designated to apply for and receive management specifications for the program manager.
3)      Point(s) of contact (POC) and required positions for those authorized a Continuous Airworthiness Maintenance Program (CAMP).
4)      Voluntary Disclosure Program Personnel for part 91K only. Reference Advisory Circular (AC) 00‑58, Voluntary Disclosure Reporting Program, current edition, and Volume 11, Chapter 1, Section 1.
5)      Personnel designated to receive SAFOs/InFOs for the program manager.

F.      Part 145 Repair Stations. List the authorized person(s) by name, title, and the paragraph of the OpSpec he/she is authorized to sign.

Note:       Individuals’ titles listed in Template A007 should match the title in the Enhanced Vital Information Database (eVID).

OPSPEC A008, OPERATIONAL CONTROL; MSPEC A008, FLIGHT MANAGEMENT.

A.     General. Each 14 CFR part 121 and part 135 operator must have a system and/or procedures for the control of flight movements. The intent of A008 is to promote a mutual understanding between an operator and the FAA concerning the system and/or procedures used by that operator. Volume 3, Chapter 25, Operational Control for Air Carriers details the three basic systems and/or procedures required by parts 121 and 135. The three systems and/or procedures are as follows:

1)      Part 121 domestic and flag operations must have dispatch systems. See Volume 3, Chapter 25, Section 2, Flight Dispatch Systems and Domestic Operating Rules.
2)      Part 121 supplemental operations must have flight following systems when the operator does not have an established dispatch system. See Volume 3, Chapter 25, Section 3, Part 121 Flight Release Systems and Supplemental Operating Rules.
3)      Part 135 operators use flight locating procedures. See Volume 3, Chapter 25, Section 5, Title 14 CFR Part 135 Flight Locating Systems and Operating Rules.
4)      MSpec A008 must describe the flight management used by the program manager to provide program control for flight operations and other procedures and policy instructions regarding program operations. This information may also be notated by reference to the appropriate manual (part 91, § 91.1029). In addition, MSpec A008 requires the program manager to give the location of the current list of fractional aircraft owners (part 91, § 91.1027).

B.     Referencing With Paragraph A008. Describe or reference the system and/or procedures used by an operator in A008. It is preferable to complete A008 with references to an operator’s manual or sections of an operator’s manual which describe the system and/or procedures used by that operator. It is not necessary to control these references by date. Change the references only when a revision to the operator’s manual makes the reference in the OpSpecs incorrect. When an operator’s manual does not adequately describe the system and/or procedures used, a narrative description combined with references may be necessary. Often, it may not be appropriate to use references in this paragraph, (especially with smaller part 135 operators). In these cases narrative description may be necessary. When a narrative description is used, it should be brief but provide sufficient information so that the FAA and the operator have the same understanding about the system and/or procedures used by the operator.

C.     Necessary Information for Description of Systems/Procedures. The description of the systems and/or procedures for controlling flight movement as described in the operator’s manual and referenced in the OpSpecs, or as narratively described in the OpSpecs, should include the following information, as appropriate, to the kind of operation:

·        Methods and procedures for initiating, diverting, and terminating flights;

·        Persons or duty positions authorized to, and responsible for, exercise of operational control;

·        Facilities and location of facilities used by the operator in the exercise of operational control;

·        Communication systems and procedures used by the operator;

·        Special coordination methods and/or procedures used by the operator to assure the aircraft is airworthy; and

·        Emergency notification procedures.

OPSPEC A009, AIRPORT AERONAUTICAL DATA; MSPEC A009, AERONAUTICAL DATA.

A.     General. Part 121, §§ 121.97 and 121.117 require part 121 operators to have an approved system for obtaining, maintaining, and distributing airport aeronautical data. A009 provides the method for approving airport aeronautical data systems for part 121 operators. Title 14 CFR part 91, § 91.103 and 14 CFR part 135 subpart I, § 135.83 require part 135 operators to obtain, maintain, and distribute essentially the same types of airport aeronautical data. Although a part 135 operator is not required to obtain FAA approval of the system used, A009 provides a method of promoting the same understanding between the operator and FAA concerning the system used to comply with the regulations pertinent to airport aeronautical data. Volume 4, Chapter 3, Section 4, Airport Data Acquisition Systems provides direction and guidance concerning airport aeronautical data systems.

B.     Referencing Systems Used for A009. Describe or reference the system approved for part 121 operators or used by part 135 operators in A009. When possible, the paragraph should be completed by referencing pertinent sections of the operator’s manual or other documents which describe the system used by the operator. When the airport aeronautical data system is not described in a manual or another document, a narrative description of the system must be used to complete A009. When a narrative description (or outline) is used, it should be brief but provide sufficient information to describe the system used to obtain, maintain, and distribute required airport aeronautical data.

C.     Description of Aeronautical Data System. The program manager’s description of the aeronautical data system in MSpec A009 should be brief but provide sufficient information describing the system used to obtain, maintain, and distribute required aeronautical data.

OPSPEC/MSPEC A010, AERONAUTICAL WEATHER DATA.

A.     General. OpSpec A010 is intended to promote understanding between the operator and the FAA concerning the system used for obtaining and disseminating required weather data and other aeronautical data. Numerous regulatory requirements in 14 CFR parts 121 and 135 require operators to have or use a system for obtaining and disseminating aeronautical weather data.

·        Part 91 subpart K program managers are expected to maintain an equivalent level of safety as a part 135 certificate holder.

·        Part 121, § 121.97 requires operators who conduct domestic and flag operations to use an FAA‑approved system for obtaining, maintaining, and distributing current aeronautical data.

·        Part 121, § 121.101 requires operators who conduct domestic and flag operations to use an FAA‑approved system for obtaining forecasts and reports of adverse weather phenomena.

·        Part 121, § 121.117 requires operators who conduct supplemental operations to use an FAA‑approved system for obtaining, maintaining, and distributing current aeronautical data.

·        Part 121, § 121.119 requires operators who conduct supplemental operations to use an FAA‑approved system for obtaining forecasts and weather reports.

·        Part 125 has no requirement for using an FAA‑approved system for weather or aeronautical data.

·        Part 135, § 135.213 requires operators who conduct instrument flight rules (IFR) operations under that part to use the U.S. National Weather Service or a source approved by the Administrator.

B.     Approving Weather Collection and Dissemination System. OpSpec A010 provides the method for approving this adverse weather phenomena collection and dissemination system. Volume 3, Chapter 26, Aviation Weather Information Systems for Air Carriers, provides additional direction and guidance on aeronautical weather data systems.

C.     Approval to Use Enhanced Weather Information Systems. Enhanced Weather Information Systems (EWINS) are approved by OpSpec/MSpec A010. Approval for an operator to use EWINS must be accomplished by referencing the EWINS Policy and Procedures Manual in OpSpec/MSpec A010. The original date of the EWINS manual and the last revision must also be referenced in OpSpec/MSpec A010. See Volume 3, Chapter 26, Section 4, Sources of Weather Information.

D.    Approval for Adverse Weather Phenomena Reporting and Forecasting System. Part 121 operators (domestic and flag operations) who are not approved to use EWINS must obtain approval of an Adverse Weather Phenomena Reporting and Forecasting System. For these operators, OpSpec/MSpec A010 must be completed as follows:

1)      Reference sections of the operator’s manual or other documents that describe the operator’s Adverse Weather Phenomena Reporting and Forecasting System. If such manual sections or other documents do not clearly describe the Adverse Weather Phenomena Reporting and Forecasting System, a narrative description (combined with references where available) of the approved system must be added to OpSpec/MSpec A010. See Volume 3, Chapter 26, Section 3, Parts 121/135 Weather Information Systems, paragraphs 3‑2096 and 3‑2097.
2)      Reference or describe the methods used for obtaining and disseminating other types of weather data (not related to the approved Adverse Weather Phenomena Reporting and Forecasting System) in OpSpec/MSpec A010.

E.     Requirement to Use Qualified Internet Communications Provider. For Internet communications of aviation weather and Notices to Airmen (NOTAM) used in flight operations, all part 121 and 135 operators are required to use an approved Qualified Internet Communications Provider (QICP).

1)      List the QICPs used by the operator in OpSpec/MSpec A010 subparagraph a, Table 1.
2)      The QICP used must be obtained from the approved list provided by the FAA.
3)      For more detailed information in regard to QICPs, refer to AC 00‑62, Internet Communications of Aviation Weather and NOTAMs, and Volume 3, Chapter 26, Aviation Weather Information Systems for Air Carriers.

OPSPEC/MSPEC A011, APPROVED CARRY‑ON BAGGAGE PROGRAM.

A.     General. Part 121, § 121.589 requires part 121 operators to have an approved carry‑on baggage program. This regulation also requires FAA approval to be in the operator’s OpSpecs. When the FAA issues OpSpec/MSpec A011, the operator is authorized to either allow passengers to stow carry on bags in the aircraft cabin or restrict the items brought inside the aircraft cabin to passenger personal items. Operators that do not allow carry‑on bags in the cabin of the aircraft are considered to have a no‑carry‑on baggage program. Advisory Circular (AC) 120‑27, Aircraft Weight and Balance Control, current edition, provides further details regarding the definitions of carry‑on baggage and personal items. OpSpec/MSpec A011 must describe or reference the carry‑on baggage program or the no‑carry‑on baggage program. It is permissible for OpSpec/MSpec A011 to reference a separate carry‑on baggage document developed by the operator that describes the program. However, the operator may elect to implement the carry‑on baggage program by describing the requirements of the program in various sections of its manuals, such as the passenger services manual and the flight attendant manual. In this case, template A011 should reference specific sections of the pertinent manuals. Reference to the approved program in the template must be controlled by revision number and/or date, as appropriate. When an operator’s manual or separate carry‑on baggage document does not adequately describe the approved carry‑on baggage program, a combination of references and narrative description may be necessary. The description of the approved carry‑on baggage program must address the items discussed in the current editions of AC 121‑29, Carry‑On Baggage, and AC 120‑27. Additionally, one or more of templates A096, A097, A098, and/or A099 must be issued to track the approved carry on bag/personal item actual or average weights.

B.     Accounting for Carry‑On Baggage Weight. Parts 91, 91 subpart K, and 135 operators requesting authorization to use average or segmented passenger weights that meet the requirements specified in AC 120‑27, current edition, must either have a letter of authorization or been issued OpSpec/MSpec A011 to account for the actual or average weights used to account for carry‑on baggage. Additionally, one or more of OpSpecs/MSpecs A096, A097, A098, and/or A099 must be issued to track the approved carry‑on bag/personal item actual or average weights.

C.     No Carry‑On Baggage Program. Operators of small‑ and medium‑cabin aircraft, as referenced in AC 120‑27, current edition, may elect to only allow personal items onboard the aircraft. Operators with no‑carry‑on baggage programs must have procedures in place that ensure carry‑on bags are either checked at the ticket counter, the gate, or plane side. Training programs should include the recognition of carry‑on bags and procedures for removing such bags if they are inadvertently brought onboard the aircraft.

OPSPEC A012, PART 121 DOMESTIC OPERATIONS TO CERTAIN AIRPORTS OUTSIDE THE 48 CONTIGUOUS UNITED STATES AND ALASKA.

A.     General. Title 14 CFR part 119, § 119.3(2)(iv), definition of “domestic operation,” gives the Administrator the authority to allow a 14 CFR part 121 certificate holder with flag authority to conduct operations to and from specific airports outside the 48 contiguous United States and Alaska, in accordance with the rules applicable to domestic operations instead of the rules applicable to flag operations. Operations specification (OpSpec) paragraph A012 is the method that the Administrator uses to grant this authorization.

B.     Applicability. A012 is an optional OpSpec paragraph that is applicable to part 121 certificate holders who hold economic authority and are authorized in OpSpec paragraph A001 to conduct domestic and flag operations.

C.     Conditions and Limitations. The following are some of the key conditions and limitations that must be met in order for certificate holders to operate under the authority granted by OpSpec paragraph A012:

1)      The origin and destination airports must be listed in the certificate holder’s OpSpec paragraph C070 as a regular, provisional, or refueling airport. Although some certificate holders list alternate airports in their C070, part 121, § 121.631(a) specifically states, “A certificate holder may specify any regular, provisional, or refueling airport, authorized for the type of aircraft, as a destination for the purpose of original dispatch or release.”
2)      Destination airports outside of the contiguous United States that are not located in the state of Alaska must be within 950 nautical miles (NM) from the territorial limits of the 48 contiguous United States.
3)      An alternate airport for the destination must be listed in the dispatch release:
a)      If the flight is scheduled for more than 6 hours, regardless of the destination.
b)      For flights conducted to Alaska if the destination airport does not have more than one separate suitable runway authorized for the type of aircraft to be used.
4)      Certificate holders must comply with all regulations applicable to domestic operations when conducting operations in accordance with OpSpec paragraph A012.

Note:       Principal operations inspectors (POI) must ensure that certificate holders fully understand the provision in subparagraph C4), particularly when it comes to fuel planning. There are several OpSpecs paragraphs, such as B043, B044, and B343, which apply only to flag and supplemental fuel reserves. A certificate holder operating flights in accordance with the provisions of OpSpec A012 cannot apply any regulations or OpSpec paragraphs applicable to flag or supplemental operations. In other words, OpSpec A012 cannot be combined with OpSpecs such as B043, B044, and B343.

Note:       Please review the actual OpSpec paragraph A012 template in the Web‑based Operations Safety System (WebOPSS) to view the full authorization contained in the OpSpec, along with all of the conditions and limitations listed therein.

D.    Policies and Procedures. Certificate holders who are seeking approval for OpSpec A012 must have adequate policies, procedures, and training in place for dispatchers and flightcrew members to ensure that flights are scheduled, planned, and released in accordance with all of the limitations and provisions of OpSpec A012.

E.     If Conditions Cannot Be Met. If all of the limitations and provisions contained in OpSpec paragraph A012 cannot be met, the certificate holder is prohibited from conducting operations in accordance with its use and must conduct operations in accordance with flag rules.

OPSPEC/MSPEC A013, OPERATIONS WITHOUT CERTAIN EMERGENCY EQUIPMENT.

A.     General. Use OpSpec/MSpecs A013 and A005 to approve deviations from the requirements for certain emergency equipment for extended over water operations for turbojet‑powered airplanes.

1)      Authorization for issuance requires the concurrence of the principal operations inspector (POI), the appropriate region, and the Air Transportation Division, AFS‑200.
2)      Approval is indicated by listing in OpSpec/MSpec A013 the make and model of the aircraft and the routes and/or areas to which the deviation applies.

B.     Applicability of OpSpec/MSpec A013 and Associated Deviations.

1)      Part 91 subpart K fractional ownership program managers may apply for a deviation from part 91, § 91.509 to permit extended over water operations without carrying certain emergency ditching equipment.
2)      Part 121 certificate holders may apply for a deviation from part 121, § 121.339 to permit extended over water operations without carrying certain emergency ditching equipment.
3)      Part 135 certificate holders may apply for a deviation from part 135, § 135.167 to permit extended over water operations without carrying certain emergency ditching equipment.

C.     Granting Deviations. If the FAA grants a deviation and issues OpSpec/MSpec A013:

1)      Part 91K, fractional ownership program managers must list part 91, §§ 91.509(b)(2), (3), (4), and (5) in MSpec paragraph A005 with the reference to A013.
2)      Part 121 certificate holders must list part 121, § 121.339(a)(2), (3), and (4) in OpSpec A005 with the reference to OpSpec A013.
3)      Part 135 certificate holders must list part 135, § 135.167(a)(2) in OpSpec A005 with the reference to A013.

D.    Life Preserver Deviation. It is FAA policy that deviations from the requirement to carry life preservers (§§ 121.339(a)(1), 135.167 (a)(1), or 91.509(b)(1), as applicable) will not be approved.

E.     Deviations From Carrying Liferafts. Deviations from the requirements for carrying liferafts and the liferaft’s required attached equipment may be approved. There is no individual deviation provision or requirement for a deviation for the following required items:

·        Survival kits (§§ 91.509(e), 121.339(c), and, 135.167(c), as applicable);

·        Pyrotechnic signaling devices (§§ 91.509(b)(3), 121.339(a)(3), and 135.167(b), as applicable); and

·        Emergency locator transmitters (§§ 91.509(b)(3), 121.339(a)(4), and 135.167(b), as applicable).

F.      Permitted Areas of Operation. The area(s) of operation permitted is any offshore area adjoining the 48 contiguous states of the United States, the Gulf of Mexico, and the Caribbean Islands, as follows:

1)      The south and east coasts of the United States, below 35 degrees North latitude, the Gulf of Mexico, and the Caribbean Islands, not to exceed 30 minutes’ flying time in still air with one‑engine inoperative, or 162 nautical miles (NM) from the nearest shoreline, whichever is less.
2)      The east coast of the United States, 35 degrees North latitude and above, not to exceed 30 minutes’ flying time in still air with 1 engine inoperative or 100 NM from the nearest shoreline, whichever is less.
3)      The west coast of the United States, not to exceed 30 minutes’ flying time in still air with one‑engine inoperative or 100 NM from the nearest shoreline, whichever is less.

G.    Requirements for Supporting Documentation for Deviation Request. The operator must submit an application with supporting documentation for the deviation request with at least the following information about the conditions that must be met for the approval:

1)      Aircraft operational capabilities for diversion due to an engine failure. This information must include drift down profiles, engine out cruise performance for two‑ and three‑engine aircraft, and two‑engine cruise performance for four‑engine aircraft.
2)      A graphical presentation of the areas and routes of en route operation and/or routes over which provisions of the deviation will apply, including proposed minimum en route altitudes and airports which could be used if diversion is necessary. The A013 authorization contains a limitation that in flight operations must not exceed the distance allowed under subparagraph F, as applicable, from a shoreline at any time. An exception is allowed for temporary maneuvering for weather avoidance.
3)      Navigation and communication equipment requirements and capabilities for normal flight conditions and for engine inoperative flight conditions in the proposed areas of en route operation.
4)      Existing and/or proposed procedures for diversion contingency planning and training curricula for flight and cabin crewmembers concerning ditching without liferafts.
5)      A description of search and rescue facilities and capabilities for the proposed areas of en route operations.

H.    Reviewing the Application.

1)      The principal operations inspector (POI), in coordination with the principal maintenance inspector (PMI) and principal avionics inspector (PAI), must evaluate and substantiate submitted information. If a POI does not concur with the operator’s proposal, the POI will forward a letter to the operator denying the application for a deviation with an explanation of the reasons for denial. If a POI concurs that the deviations should be approved, the POI will prepare and forward a recommendation along with the operator’s application and supporting information to the Air Transportation Division, AFS‑200, through the regional Flight Standards division.
2)      AFS‑200 will review the application, the supporting information, and the POI’s recommendation. If AFS‑200 does not concur with the POI’s recommendation, AFS‑200 will forward a letter to the POI, with a copy to the region, indicating nonconcurrence with an explanation of the reasons. If AFS‑200 agrees with the POI’s recommendation, AFS‑200 will advise the POI by letter of the concurrence. With AFS‑200 concurrence, the POI may approve the deviation by issuing A013 and A005.

OPSPEC A014, IFR EN ROUTE OPERATIONS IN CLASS G AIRSPACE.

A.     General.

1)      A014 provides the initial authorization for instrument flight rules (IFR) en route operations in Class G airspace. Other IFR en route authorizations may be found in OpSpecs B031, B034, B035, and B036, as applicable and appropriate.
2)      OpSpec B032 prohibits special IFR en route operations in Class G airspace unless the POI approves such operations by issuing A014. IFR operations in Class G airspace are not provided any air traffic control (ATC) separation services. The certificate holder and the pilot in command (PIC) are responsible for avoiding obstacles and other air traffic.

B.     Prerequisites for Authorizing En Route IFR Operations. Before authorizing en route IFR operations in Class G airspace to part 121, 121/135, 125, or 135 certificate holders:

1)      The POI must confirm that the operator has a method or procedure for assuring that any facilities and services that this type of operation depends upon are operational during the periods in which flights are to occur.
2)      The POI must also confirm that the operator has developed procedures and guidance for crewmember use while operating in areas of en route operations in Class G airspace. Aeronautical Information Publications (AIP) or flight information region (FIR) publications have broadcast in the blind procedures and other guidance for crewmember use when large areas of Class G airspace are within the area covered by the AIP or FIR.

Note:       See Volume 4, Chapter 1, Section 1, General Navigation Concepts, Policies, and Guidance, and Section 4, Class II Navigation, for further discussion on en route operations in Class G airspace.

3)      The reference to OpSpec B051 is to provide for part 121 reciprocating and turbo propeller powered aircraft operations only.

C.     Special Terminal Area IFR Operations. OpSpecs C064, C080, and/or C081 now authorize special terminal area IFR operations in Class G airspace or at airports without an operating control tower. One or both types of these operations may be authorized.

D.    Program Manager Authorizations. MSpec A014 authorizes the program manager to conduct IFR operations in Class G airspace and at airports without an operating control tower. Part 91 subpart K program managers will not have a separate MSpec C064 or C080.

OPSPEC A015, AUTOPILOT IN LIEU OF REQUIRED SECOND IN COMMAND.

A.     General. In accordance with part 135, § 135.105(b), a part 135 operator may apply for authorization to use an autopilot in place of a second in command. The principal operations inspector (POI) must coordinate with an avionics inspector to ensure each particular aircraft/autopilot combination is installed in accordance with FAA‑approved data, is airworthy, and is operationally capable of maintaining control of the aircraft to the degree specified in § 135.105(c).

B.     Making Note of Conditions and Limitations. List the aircraft make and model and the autopilot manufacturer and model identification in A015. Any conditions or limitations which the POI determines necessary for a particular aircraft/autopilot combination must also be listed. It is not necessary to repeat conditions or limitations already specified in an Airplane Flight Manual (AFM) or AFM supplement. If no conditions or limitations apply, enter the word “none” in that part of the listing.

OPSPEC A016. Reserved. It was split into four separate authorizations: A037, A038, A039, and A040.

OPSPEC A017, APPROVED SECURITY PROGRAM FOR HELICOPTERS.

A.     General. Title 49 of the Code of Federal Regulations part 1,500 does not include provisions for helicopter security programs. Helicopter operators who wish to enplane or deplane passengers or checked luggage into “sterile areas” must apply for, and receive authorization to use, an approved security program. A017 conveys the authority for helicopter operators to use an approved security program. Principal operations inspectors will not issue A017 without concurrence of the Civil Aviation Security Field Office.

B.     Using References. Describe or reference the security program used by the operator in A017a. Reference sections of the operator’s manual that describe the program used by that operator. It is not necessary to control these references by date. Change the references only when a revision to the operator’s manual makes the reference in the OpSpecs incorrect. When the operator’s manual does not adequately describe the system and/or procedures used, a narrative description combined with references may be needed.

C.     Listing Airports and/or Heliports. List the airports and/or heliports where operators must comply with the approved security program in A017b.

OPSPEC A018, SCHEDULED HELICOPTER OPERATIONS. A018 is issued to helicopter operators who operate scheduled passenger or cargo carrying operations.

A.     Completing Approach and Landing With Powerplant Failure. Subparagraph A018a(2) authorizes scheduled helicopter operations along “Restricted Helicopter Routes” with helicopters which do not have Transport Category “A” one engine inoperative performance capabilities. The operator must show that helicopters using these routes can, at any point along the route and while at the minimum authorized altitude, complete a safe approach and landing if powerplant failure occurs. Determining compliance with these conditions will almost always be a controversial and difficult inspector task. For this reason, only currently qualified and highly experienced helicopter specialists should be used to evaluate these types of routes. In controversial cases, a team of helicopter specialists should be employed for this task.

B.     Defining Restricted Helicopter Routes. OpSpec B050 must precisely define “Restricted Helicopter Routes.” This may be accomplished in accordance with instructions in Volume 3, Chapter 18, Section 4, Part B Operations Specifications—En Route Authorizations and Limitations, paragraph B050, subparagraph B(2)(e). In certain situations, detailed descriptions (including maps, charts, ATC letters of agreement, special provisions, and limitations) of “Restricted Helicopter Routes” may be lengthy and complex. Therefore, it is permissible to incorporate these documents in B050 by reference.

OPSPEC A019, AUTOMOTIVE GASOLINE AS AIRCRAFT FUEL. A certificate holder may request authorization to use automotive gasoline as fuel in reciprocating engine aircraft used in 14 CFR part 135 cargo operations. When an inspector receives a request for this authorization, he must take all of the following actions before issuing A019:

A.     Approval to Use Automotive Gasoline. In coordination with an Airworthiness inspector, determine that the specific aircraft is approved to use automotive gasoline as fuel.

B.     Inspect the List of Aircraft. Inspect the proposed list of aircraft the certificate holder must maintain under 14 CFR part 119, § 119.59(b) for compliance with the provision of A019b(2).

C.     Inspect Certificate Holder Procedures. In coordination with an Airworthiness inspector, determine that the certificate holder has written procedures which provide compliance with the requirements of OpSpec paragraphs A019b(3) and (4).

D.    Necessary Entry in Aircraft and Powerplant Historical Record. The certificate holder must enter, in each appropriate aircraft and powerplant historical record, the following entry:

“This aircraft/powerplant has been operated using automotive gasoline as fuel and is prohibited for use in part 135 passenger carrying operations until the following events have been completed and documented by a person authorized to perform an annual inspection of this aircraft:

1)      Remove all automotive fuel and fuel residue from the aircraft and powerplant fuel systems.
2)      Inspect all components of the aircraft fuel system and appropriate components of the powerplants to determine that those components are airworthy and conform to the appropriate type design.
3)      Record events (1) and (2) in the aircraft and/or powerplant records.”

OPSPEC A020, AIRPLANE OPERATIONS WITHOUT INSTRUMENT RATED PILOTS. A certificate holder who applies for this authorization may be issued A020 after each of the following considerations are satisfied.

A.     Criteria for an Isolated Area. The area to be approved must be isolated. In determining whether an area is an “isolated area,” consider the following criteria:

1)      Isolated areas may include small settlements or villages. Commercial transportation, such as bus or train, is not available. Major highways do not transit or penetrate isolated areas although secondary and unimproved roads (suitable for cars and trucks) may be available. In many cases, the destinations are so isolated that air travel is the primary means of transportation.
2)      Landing areas may be unimproved strips or water sites depending on the kinds of airplanes used and the time of year. Ski equipped airplane operations would be appropriate to frozen lakes or rivers and to suitable, snow covered land areas.
3)      The size of isolated areas may vary considerably, depending on the needs of a particular certificate holder. However, part 135, § 135.243(d) states that flights may not exceed 250 nautical miles (NM) from the operator’s base of operations. The point of departure, en route portion of flight, and landing site all must be within the boundaries of the approved isolated area.
4)      Within isolated areas flight planning and navigational requirements are normally performed by pilotage only. Radio navigational signal coverage (very‑high frequency omnidirectional range or nondirectional radio beacon facilities) is usually limited, or largely ineffective, in these areas. However, a radio facility may be located at or near a landing site without changing the classification of the isolated area.
5)      Weather hazards that may be encountered in the proposed area and planning strategies that may reduce risk. (e.g., valleys may produce heavy fog in morning hours. Should a destination airport become fogged in while en route, consider using ABC airport as an alternate.)

B.     Application for Isolated‑Area Operations Using a PIC Without an Instrument Rating. Applicants requesting approval for these operations must hold an Air Carrier Certificate or an Operating Certificate and OpSpecs authorizing part 135 on‑demand visual flight rules (VFR) day‑only operations using single‑engine land or seaplanes. Isolated‑area operations using a pilot in command (PIC) without an instrument rating must not be authorized for commuter operations. Application for this authorization must be made by letter requesting amended OpSpecs. A map or current aeronautical chart identifying the area involved must be attached to the letter of application. This chart must clearly show the boundaries of the isolated area, the principal landing sites, and the distances from the operator’s operations base.

C.     Review of the Application for Compliance. Inspectors must review the application to confirm compliance with § 135.243(d)(3) (that the area is isolated) and § 135.243(d)(6) (flight distances do not exceed 250 NM). Inspectors must determine whether the certificate holder has a manual that incorporates instructions concerning operations in isolated areas. This manual must include a procedure that guarantees that noninstrument‑rated PICs will not be used outside of the approved isolated areas. The principal operations inspector must determine that the following requirements are met before issuing A020.

1)      All aircraft to be used are single, reciprocating engine powered, nine or fewer passenger airplanes equipped for at least day VFR operations.
2)      Operations are limited to on demand, day VFR flights within the boundaries of the approved isolated area and not more than 250 NM distance from the base of operation.
3)      Flight locating procedures are adequate.
4)      The regional Flight Standards division concurs with the approval of the isolated area operation.

OPSPEC A021, HELICOPTER EMERGENCY MEDICAL SERVICES (HEMS)/AIR AMBULANCE OPERATIONS—HELICOPTER.

A.     General. OpSpec A021 authorizes a certificate holder operating under part 135 to conduct air ambulance visual flight rules (VFR) emergency medical service operations in helicopters. The terms air ambulance, helicopter emergency medical services (HEMS), and helicopter emergency medical evacuation services (HEMES) are used interchangeably in regard to this authorization.

1)      This HEMS/air ambulance authorization requires that the intended takeoff and landing site be adequate for the proposed operation considering the size of the site, type of surface, surrounding obstructions, and lighting.
2)      If the HEMS operation is to be conducted at night, the takeoff and landing site must be clearly illuminated by a lighting source that will provide adequate lighting for the site itself and for any obstructions that could create potential hazards during approach, hovering, taxiing, and departure operations.

B.     Provisions and Limitations. OpSpec A021 specifies that the certificate holder may not use a pilot in command (PIC) in HEMS operations unless that PIC has satisfactorily completed the certificate holder’s FAA‑approved training program for such operations. Because HEMS operations often involve flights during periods of inclement weather, the training program for HEMS operations must include a segment that covers the recovery from inadvertent instrument meteorological conditions encountered because of unforecasted weather conditions.

1)      OpSpec A021 specifies the conditions (day/night), area (local/cross country), ceiling, and visibility the certificate holder is authorized to use for HEMS operations in Class G (uncontrolled) airspace. Night conditions are further defined by identifying different minimums for high and low lighting conditions. In addition, OpSpec A021 specifies different ceiling and visibility minimums for these considerations and areas when operating in mountainous and nonmountainous areas. Each specific combination of conditions and areas are listed in OpSpec A021.
a)      The possible combinations of conditions and area include time of day (night or day), level of light available at night (low and high lighting conditions), area of operation (local or cross country), and the kind of area (mountainous or non‑mountainous). Each of these combinations is specified along with ceiling and visibility authorizations.
b)      Instrument flight rules (IFR) operators authorized to fly point‑in‑space special instrument approach procedures (IAP) with a “Proceed VFR” transition to the heliport must apply their visual flight rules (VFR) weather minimums in determining their landing minimums.

1.      Since these operations require that the aircrew be specifically qualified for the use of these approaches, the visual segment area may be considered “local” in nature.

2.      Because the pilot and aircraft are trained, equipped, and authorized as fully IFR capable under Part H authorizations, the area may be considered the equivalent of a “high lighting conditions” area at night.

3.      The effect of precipitous terrain has been accounted for in the development of the minimum descent altitude (MDA) so, for purposes of applying VFR minimums in determining IFR landing visibility minimums, the area may be considered “nonmountainous.” For planning purposes, this consideration applies when the distance from the missed approach point to the landing area is less than 3 NM.

4.      Therefore, when applying the VFR weather minimums of OpSpec A021 in determining the minimums for all Special PinS approaches, with a “Proceed VFR” transition to the heliport, apply the local, nonmountainous, day, or night high lighting conditions (as appropriate) minimums in Table 1 of OpSpec A021 in determining the landing minimum if the distance from the missed approach point to the heliport is 3 NM or less. However, if the distance from the missed approach point to the heliport exceeds 3 NM, the certificate holder must apply the VFR minimums prescribed in Table 1 of OpSpec A021 appropriate to the actual existing conditions (local, mountainous, day or nonmountainous, cross country, night, etc.).

Note:       For instrument approaches with a “Proceed visually” visual segment, the minimums provided in OpSpec A021 do not apply; the minimums specified in the instrument approach procedure apply.

c)      Requests for lower weather minimums for operations in uncontrolled airspace must be coordinated with and approved by AFS‑200 through the regional Flight Standards division (RFSD). These requests must follow the nonstandard OpSpec approval process outlined in Volume 3, Chapter 18, Section 2, Automated Operations Safety System (OPSS), paragraph 3‑713, Procedures for Requesting Nonstandard Authorizations.

C.     Local Area. OpSpec A021 contains a description of the “local area.” The local area is an area designated by the certificate holder which generally may not exceed 50 NM from the dispatch location, taking into account man made and natural geographic terrain features that are easily identifiable by the PIC, and from which the PIC may visually determine a position at all times.

1)      The local area may be the same for night and day operations unless the terrain features used for the day local area would not be discernible at night. In such a case, both a day and night local area must be described.
2)      For example, in mountainous or desert locations, geographical features may facilitate day operations but because of the lack of such features and/or lighted landmarks, night operations would not be authorized.
3)      Additional information on local flying areas is provided in Volume 4, Chapter 5, Section 3, Air Ambulance Service Operational Procedures, paragraph 4‑947, Local Flying Area for HEMS Operations.

D.    Additional Information. For more information, see OpSpec A024, Air Ambulance Operations—Airplane, and OpSpec A050, Helicopter Night Vision Goggle Operations, in this section.

OPSPEC A022, APPROVED EXIT ROW SEAT PROGRAM. Reserved.

OPSPEC A023, USE A PROGRAM DURING GROUND ICING CONDITIONS.

A.     Part 121. Part 121, § 121.629(c) requires part 121 certificate holders to have an approved ground deicing/anti‑icing program, unless the certificate holder complies with § 121.629(d), which requires an outside the aircraft pretakeoff contamination check. Principal inspectors (PI) will issue OpSpec A023 to authorize the use of an approved ground deicing/anti‑icing program or the use of an outside the aircraft pretakeoff contamination check. See Volume 3, Chapter 27, Ground Deicing/Anti icing Programs, for guidance on approving a ground deicing/anti‑icing program.

B.     Parts 125 and 135. Part 125, § 125.221 and part 135, § 135.227 require parts 125 and 135 certificate holders who operate during ground icing conditions to have approved aircraft pretakeoff contamination check procedures. PIs will issue OpSpec A041 to authorize a pre takeoff contamination check (not necessarily outside the aircraft). A part 125 or 135 certificate holder may choose to comply with § 121.629(c) by having an approved ground deicing/anti icing program, in which case the PI will issue OpSpec A023. If a part 125 or 135 operator chooses to operate without a pre takeoff contamination check or without a § 121.629(c) program, then PIs may only authorize them to operate when ground icing conditions do not exist by issuing OpSpec A042. See Volume 3, Chapter 27 for guidance on approving a ground deicing/anti‑icing program.

OPSPEC A024, AIR AMBULANCE OPERATIONS—AIRPLANE.

A.     General. Airplane air ambulance operations do not differ significantly from other types of airplane air carrier operations. A024 authorizes a certificate holder operating in accordance with parts 121 or 135 to conduct EMS operations in airplanes.

B.     Requirement for Aircraft Used in Air Ambulance Operations. The aircraft used in air ambulance operations must be equipped with at least medical oxygen, suction, and a stretcher, isolette, or other approved patient restraint/containment device. The aircraft need not be used exclusively as an air ambulance aircraft, and the equipment need not be permanently installed.

C.     Air Ambulance Operations Definition.

1)      Air transportation of a person with a health condition that requires medical personnel as determined by a health care provider; or
2)      Holding out to the public as willing to provide air transportation to a person with a health condition that requires medical personnel including, but not limited to, advertising, solicitation, association with a hospital or medical care provider.

D.    Complete the Training Program Before Starting Air Ambulance Flights. A024 specifies that the flightcrew must satisfactorily complete the certificate holder’s approved training program prior to commencement of air ambulance flights.

E.     Additional Information. For further guidance see Volume 4, Chapter 5, Air Ambulance Operations, and OpSpec A021, Air Ambulance Operations—Helicopter.

OPSPEC/MSPEC A025, ELECTRONIC RECORDKEEPING SYSTEM.

A.     General. A025 is required for 14 CFR part 121 air carriers in accordance with part 121, § 121.683. It is an optional paragraph for 14 CFR part 91 subpart K (part 91K) program managers and 14 CFR part 135 air carriers. Recordkeeping for part 121 air carriers is covered in part 121 subpart V, and 14 CFR part 145 for repair stations.

1)      The full description of the electronic recordkeeping system may be kept in the operator’s General Operations Manual (GOM). Reference the GOM appropriately in A025.
2)      Volume 3, Chapter 31, Sections 1–4 give details of the requirements for approving an air carrier’s recordkeeping system.
3)      Volume 6, Chapter 2, Section 24 provides guidance for inspections that include the review of required records.

B.     Additional Information. See the A025 job aid in the automated Operations Safety System (OPSS) for other current information.

C.     Part 145. For part 145 repair stations, A025 identifies the electronic/digital recordkeeping system acceptable to the administrator. It also identifies the certificate holder and their electronic signature procedures.

OPSPEC A026, RESTRICTED OPERATION OF CERTAIN STAGE 2 AIRPLANES. Reserved.

OPSPEC/MSPEC A027, LAND AND HOLD SHORT OPERATIONS. (OPTIONAL)

A.     General. OpSpec A027 authorizes Land and Hold Short Operations (LAHSO) for part 121, 125, and 135 certificate holders, and part 91 subpart K program managers. Certificate holders must meet certain requirements for operational policies, procedures, and training for LAHSO before the principal operations inspector (POI) may issue this OpSpec. No operator may participate in LAHSO unless it has accomplished flightcrew training. FAA Air Traffic Order 7110.118, Land and Hold Short Operations (LAHSO), must be used in conjunction with the information provided in this paragraph.

Note:       Waivers will not be issued to any LAHSO procedures.

B.     Requirement for Participating in LAHSO. Operators may not participate in LAHSO and the FAA will not issue OpSpec A027 until the following are met:

1)      Local Flight Standards District Office (FSDO) managers and local and regional Air Traffic managers must coordinate, (in accordance with FAA Order 7210.3, Facility Operation and Administration and Order 7110.118) the following for airports in their district conducting LAHSO:

·        Participation of Flight Standards Service (AFS) representatives in local LAHSO development teams;

·        Review of air traffic control (ATC) procedures to ensure that procedures are consistent with aircraft/aircrew performance capabilities according to the type of aircraft operations involved;

·        Assisting in the identification of eligible aircraft that may operate on each runway, based on the available landing distance (ALD); and

·        Ensuring that no air carrier is approved to operate aircraft to a runway, for the purpose of conducting LAHSO, with less than that specified on Order 7110.118, appendix 1, Aircraft Group/Distance Minima.

Note:       Aircraft not identified in Order 7110.118, appendix 1 do not participate in LAHSO. Aircraft additions to Appendix 1 may be requested through the local ATC facility manager to Air Traffic Service (AAT) and AFS at FAA Headquarters.

2)      POI.
a)      Each POI must review the following:

·        FAA Order 7110.118, in order to identify AFS roles and responsibilities to support joint development of procedures for conducting LAHSO at specific airports. FAA Order 7110.118 may be found at http://ato.faa.gov.

Note:       If Internet access is unavailable, contact ATP 120 at (202) 267‑7265 for the most current guidance document.

·        Regulatory requirements, as applicable: parts 125 and 135 subpart I; and §§ 91.1037, 23.75; 25.125; and 121.195.

b)      Each POI must ensure the following actions have been accomplished before issuing or re‑issuing, as appropriate, OpSpec A027:

·        The air carrier has instituted flightcrew member training on LAHSO;

·        The air carrier has a system that accurately determines the landing distance or maximum landing weight required for LAHSO and that ensures no aircrew accepts a landing clearance to a runway with a landing distance less than the distance identified in FAA Order 7110.118, appendix 1;

·        The air carrier has provided flightcrew members with all necessary information needed to conduct LAHSO; and

·        Paragraph A027c describes the location of the air carrier’s LAHSO procedures. These procedures may be contained in any flightcrew member manual or document readily available to flightcrew members for reference.

Note:       The FAA strongly recommends that all carriers provide aircrews with in flight single source documentation on LAHSO procedures. See Volume 4, Chapter 3, Section 5, Selected Practices, paragraph 600, Land and Hold Short Operations (LAHSO), for additional information.

OPSPEC A028—AIRCRAFT WET LEASE ARRANGEMENTS. In FAA use, the term “wet lease” is any leasing arrangement whereby a person agrees to provide an entire aircraft and at least one crewmember (part 119, § 119.3). This OpSpec authorizes certificate holders who conduct common carriage operations under parts 121 and 135 to enter into wet lease arrangements with other part 119 certificate holders. See Volume 12, Chapter 2, Section 9, Lease, Interchange, and Charter Arrangements, for the wet lease of any aircraft by a U.S. air carrier to a foreign air carrier or foreign person engaged in common carriage wholly outside the United States. Volume 3, Chapter 13, Section 4, Wet Lease Agreements, provides direction and guidance for processing and authorizing wet lease arrangements.

A.     Reviewing Wet Lease Arrangements. When reviewing proposed § 119.53 wet lease arrangements between U.S. certificate holders authorized to conduct common carriage operations, there are two critical factors to consider: (1) whether or not the lessee has exclusive legal possession and use of the entire aircraft, and (2) whether or not the lessor retains actual possession and operational control of the aircraft by virtue of providing and controlling the crewmembers.

1)      Possession. In an FAA‑defined wet lease, the lessor surrenders legal possession of specific aircraft to the lessee, but in general retains actual possession of the aircraft by virtue of providing and controlling the crewmember(s). This form of lease implies that the lessee has possession or custody, not ownership, of the aircraft for a specified period of time or a defined number of flights.
a)      The lessor is the certificate holder who grants legal possession and use of specific aircraft to another certificate holder.
b)      The lessee is the certificate holder who obtains legal possession and use of specific aircraft from another certificate holder.
c)      If the lessor/grantor never transfers legal possession or custody of the entire aircraft, the arrangement is not a § 119.53 wet lease. Likewise, if the arrangement makes it clear that actual possession of the entire aircraft is never transferred; the arrangement is not a § 119.53 wet lease. In this case the arrangement might actually be a charter. An example of such an arrangement is a provision of “aircraft with crew” agreement where no legal or actual transfer of the possessory rights to the aircraft occurs. Such an arrangement is a services agreement for provision of a flight service to a customer even if characterized as a wet lease by the parties to the agreement.
2)      Operational Control. As defined in 14 CFR part 1, operational control is the exercise of authority over initiating, conducting, or terminating a flight. The certificate holder exercising operational control—generally the lessor—is responsible for the safety and regulatory compliance of the flights. The FAA rarely has allowed operational control to be exercised by the lessee certificate holder. An example of such a case entails a lessee certificate holder who obtains legal possession of the lessor certificate holder’s aircraft and, as part of the arrangement, the lessor agrees to furnish two flight attendants with the aircraft. In addition, the lessee furnishes the pilot crewmembers to operate the aircraft. In this case, the lessee certificate holder obtains both actual and legal possession of the aircraft and operational control by virtue of providing and controlling the pilot crewmembers. If there is a question that the lessee may have operational control, the lease must also be reviewed by AFS‑200 and AGC‑300. In this case, both must concur in the issuance of OpSpec A028.
3)      Wet Lease Types. Operational control under an FAA‑defined wet lease will be one of two types.
a)      The lessor certificate holder will have operational control of the listed aircraft. If the lessor certificate holder will have operational control, that certificate holder is authorized to conduct operations in accordance with each applicable wet lease arrangement identified in Table 1 of the OpSpec.

1.      The certificate holder issued this authorization must at all times be responsible for and maintain the operational control and airworthiness of each aircraft identified in each lease arrangement. The lease arrangement(s) must be listed in Table 1 of the OpSpec.

2.      The nationality, registration, and serial number of each aircraft to be used under the terms of the wet lease arrangement will be identified in paragraph D080 or D087, as applicable, and D085 of the certificate holder’s OpSpecs.

3.      While conducting operations under this authorization, the lessor may use the call sign and flight number(s) of the lessee, provided that, for all flights the lessor certificate holder explains in the remarks section of the applicable flight plan that the flight is actually being conducted under the call sign and flight number(s) of the lessee.

4.      Both lessor and lessee certificate holders will have their role and information of the wet lease arrangement documented in OpSpec A028 of their respective OpSpecs.

b)      The lessor certificate holder will not have operational control of the listed aircraft. This type of arrangement is rare. For the FAA to approve such an arrangement, the parties to it will have to establish to the FAA’s satisfaction how the lessee will exercise operational control of the aircraft. For the party to each applicable wet lease who will not have operational control, that determination must be stated in Table 2, of the respective certificate holders’ OpSpecs. Under this example, the lessor certificate holder not having operational control will exercise the wet lease arrangement(s) listed in Table 2 with the following limitations and provisions:

1.      The lessee, as the party exercising operational control, is singularly responsible for the safety and regulatory compliance of the flights.

2.      The lessee, as the party having operational control in the wet lease arrangement listed in Table 2, must at all times be responsible for, and maintain the operational control and airworthiness of the aircraft identified in each wet lease arrangement listed.

3.      The lessor certificate holder is not authorized to have, and may not have, operational control of any operation conducted by the lessee certificate holder under this subparagraph of the OpSpec.

4.      Both lessor and lessee certificate holders will have their role and information of the wet lease arrangement documented in OpSpec A028 of their respective OpSpecs.

B.     Wet Leasing Prohibitions. Section 119.53(b) prohibits part 119 certificate holders’ wet leasing from a foreign air carrier or any other foreign person or any person not authorized to engage in common carriage. This prohibition is to prevent confusion as to which carrier would be held accountable for the safety of the flight, which country’s air carrier safety rules would be followed, and which civil aviation authority would have primary oversight responsibilities.

1)      It is common practice among commercial operators to enter into agreements which the two parties characterize as wet leases but which actually are charters when compared to the FAA definition of wet lease. The term “charter” is not defined in FAA regulations. However, in operational terms, a charter is an agreement whereby a person provides lift capacity (cargo or passengers) to another person for a defined period of time or number of flights. In other words, a charter is a services agreement for the provision of a flight service—not transfer of possession or custody of an aircraft and the FAA expects the charter operator providing an aircraft with crew to have operational control over all flights conducted pursuant to the agreement.
2)      A U.S. air carrier that enters into an agreement with a foreign air carrier for both an aircraft and crew to perform part of the U.S. air carrier’s international operations may not be entering into a wet lease as defined by the FAA if certain conditions (described below) are met. Note that, for commercial reasons both U.S. and foreign air carriers may characterize such arrangements as wet leases even though they are more in the nature of a charter. These agreements, even if characterized by the parties as wet leases, are a type of charter and are subject to the requirements of 14 CFR part 212.
3)      In some commercial arrangements, the term provision of aircraft with crew (or similar phrasing) rather than charter may be used. The provision of aircraft with crew arrangement does not involve any legal or actual transfer of the possessory rights to the aircraft; it is a services agreement or arrangement for a lessor to provide a flight service and does not transfer possession of the aircraft to the lessee.
4)      Charter or provision of aircraft with crew arrangements are commercial arrangements between carriers that require a statement of authorization from the Office of the Secretary of Transportation (OST); they are not documented by OpSpec. The OST authorization process includes a determination that the requirements of part 212 are met and the proposed operation is in the public interest. Such determinations are made in coordination with the FAA, which will review the arrangements and make determinations relating to operational control, possession of the aircraft, the safety oversight of the operation, and the safety audit of the foreign air carrier. Where a foreign air carrier will be involved in such a lease or provision of aircraft with crew arrangement to a U.S. air carrier, approval will be subject to the following requirements:
a)      The foreign air carrier involved holds a foreign air carrier permit or exemption authority from OST to conduct charter operations;
b)      The country that issued the foreign air carrier’s air operator certificate has been rated as Category 1 under the FAA’s International Aviation Safety Assessment program.
c)      The operations to be conducted represent foreign air transportation and not prohibited cabotage, in accordance with Title 49 of the United States Code, § 41703;
d)      The foreign air carrier would be conducting a flight or series of flights. The U.S. air carrier has the economic authority for the flight or series of flights that will be conducted with the foreign air carrier’s aircraft and crew;
e)      The foreign air carrier files an application for a statement of authorization for any such operation proposed;
f)        The foreign air carrier demonstrates that it would be in operational control of the proposed operation, for example, by providing with its application, for review by the FAA, copies of the lease arrangement for the aircraft with crew, that it has entered into with the U.S. certificated air carrier;
g)      The foreign air carrier demonstrates that it will retain legal and actual possession of the aircraft;
h)      The foreign air carrier provides evidence, for example, that the U.S.‑certificated air carrier involved has conducted a safety audit of the foreign carrier, consistent with an FAA‑approved safety audit program, and has submitted a report of that audit to the FAA for review; and
i)        The FAA notifies the OST that it has determined that operational control of the proposed flights rest with the foreign air carrier applicant, that the oversight of the operation will remain with the country that issued the foreign air carrier’s air operator certificate, and that the safety audit meets the standards of the U.S.‑certificated air carrier’s safety audit program.

OPSPEC A029, AIRCRAFT INTERCHANGE ARRANGEMENTS. Volume 3, Chapter 13, Section 5, Interchange Agreements, provides direction and guidance for processing and authorizing interchange arrangements. When an interchange arrangement is authorized, A029 must be issued to both parties of the interchange agreement by each responsible principal operations inspector. All interchange arrangements authorized for an operator must be listed in A029. Enter the name of the operator who would normally operate the aircraft if an interchange agreement were not in effect in the column labeled Primary Operator. List the name of the other party to the interchange agreement in the column labeled Interchange Operator. List the aircraft make/model/series of the aircraft used and all specified interchange points for each agreement in the appropriate columns. If it is necessary to specify other conditions or limitations such as expiration dates, they should be specified by adding text to A029.

OPSPEC A030, SUPPLEMENTAL OPERATIONS BY A CERTIFICATE HOLDER AUTHORIZED TO CONDUCT DOMESTIC OR FLAG OPERATIONS.

A.     General.

1)      A030 is an optional OpSpec that authorizes a 14 CFR part 121 certificate holder to conduct supplemental operations between airports listed for scheduled operations in that certificate holder’s OpSpec C070. Principal operations inspectors (POI) may issue A030 to a certificate holder who is authorized in OpSpec A001 to conduct the following types of operations:

·        Domestic and supplemental.

·        Flag and supplemental.

·        Domestic, flag, and supplemental.

2)      POIs may not issue A030 to a certificate holder who is only authorized to conduct supplemental operations because such a certificate holder is not issued an OpSpec C070. Thus, the certificate holder would be required to operate under supplemental rules at all times.

B.     Authorizations.

1)      Conducting Supplemental Operations in Accordance with Domestic or Flag Rules to Airports Listed in C070. OpSpec A030 subparagraph b authorizes a certificate holder with domestic and/or flag authority to conduct supplemental operations using domestic or flag rules, as applicable, between the regular, provisional, and refueling airports listed in the certificate holder’s OpSpec C070. A030 may not be applied to airports listed solely as alternate airports.
2)      Conducting Supplemental Operations in Accordance with Supplemental Rules to Airports Listed in C070. OpSpec A030 subparagraph c authorizes a certificate holder with domestic and/or flag authority to conduct supplemental operations between the airports listed in the certificate holder’s C070 under supplemental rules.
3)      Optional Nonstandard Provisions. OpSpec A030 contains a field in which POIs can enter optional/nonstandard text. This field is commonly referred to as “TEXT99.” POIs may not issue nonstandard text to OpSpec A030 without obtaining prior approval from the Air Transportation Division (AFS-200).

OPSPEC A031, ARRANGEMENTS WITH TRAINING CENTER(S) OR OTHER ORGANIZATION(S) FOR CERTIFICATE HOLDER TRAINING; MSPEC A031, ARRANGEMENTS WITH TRAINING CENTERS, AIR AGENCIES, AND/OR OTHER ORGANIZATIONS FOR PERSONNEL TRAINING. This paragraph is used to document the approval of the operator’s/certificate holder’s training program.

OPSPEC A032, ADOPTION OF FLIGHT CREWMEMBER FLIGHT TIME LIMITATION RULES TO ESTABLISH FLIGHT ATTENDANT DUTY AND FLIGHT TIME LIMITATIONS AND REST RESTRICTIONS; MSPEC A032, FLIGHT ATTENDANT FLIGHT, DUTY, AND REST RULES. The program manager may be authorized to adopt the flightcrew member’s flight, duty, and rest requirements for its flight attendants in accordance with written approved procedures as provided in part 91, § 91.1062(b) and described or referenced in MSpec A032.

OPSPEC A033, TITLE 14 CFR PART 135 FLIGHT AND REST TIME LIMITATIONS FOR CERTAIN PART 121 AND CERTAIN 135 OPERATIONS.

A.     General. A033 is issued to authorize the certificate holder to conduct:

1)      Certain part 121 operations with airplanes having a passenger seat configuration of 30 seats or fewer and a payload capacity of 7,500 pounds or less in accordance with part 121, §§ 121.470(a), 121.480, and/or 121.500, using flight and rest time limitations under part 135, §§ 135.261 through 135.273, and/or
2)      Certain 14 CFR part 135 operations using flight and rest time limitations under § 135.265, in lieu of any other §§ 135.261 through 135.273.

B.     Compliance With Applicable 14 CFR Sections. Part 119 establishes that all certificate holders conducting scheduled passenger‑carrying operations with turbine‑powered airplanes and/or airplanes having 10 or more passenger seats must operate under part 121, § 121.470(a), Flight Time Limitations, Domestic Operations; § 121.480, Flight Time Limitations, Flag Operations; and § 121.500, Flight Time Limitations, Supplemental Operations. These sections contain, in pertinent part, the provisions that a certificate holder conducting operations with airplanes having a passenger seat configuration of 30 seats or fewer, excluding each crewmember seat, and a payload capacity of 7,500 pounds or less may comply with the applicable requirements of §§ 135.261 through 135.273. Section 135.261(a)(2) allows certain part 135 certificate holders to comply with the requirements of § 135.265, when OpSpec A033 is issued.

MSPEC A033, FLIGHT AND REST TIME REQUIREMENTS. As allowed by part 91, § 91.1057(j), the program manager may be authorized to conduct program operations using the applicable unscheduled flight time limitations, duty period limitations, and rest requirements of part 121 or 135, instead of the flight time limitations, duty period limitations, and rest requirements of part 91 subpart K, as described in MSpec A033.

OPSPEC/MSPEC A034, ADVANCED QUALIFICATION PROGRAM (AQP).

A.     When to Issue OpSpec A034. Following initial/Phase IV approval, all Advanced Qualification Program (AQP) air carriers must be issued OpSpec paragraph A034. For all AQP documents and phases for which the Extended Review Team (ERT) is designated as the approval authority, the FAA manager AQP and the principal operations inspector (POI) or training center program manager (TCPM) will cosign the approval letters. Following approval for continuing operation (Phase V), the POI will manage and sign approved curriculum outline changes.

B.     About AQP. AQP is a voluntary program; Flight Standards Service encourages air carriers to participate. AQP provides for enhanced curriculum development and a data driven approach to quality assurance along with the flexibility to target critical tasks during aircrew training. The AQP methodology directly supports the FAA’s safety enhancement goals. The Voluntary Safety Programs Branch, AFS‑230, will provide assistance to the Flight Standards District Office (FSDO), certificate management office (CMO), or Certificate Management Unit (CMU) from initial application through the final fleet approval as a collaborative effort. An accepted air carrier AQP application will initiate the AFS‑230/FSDO/CMO/CMU partnership. AFS‑230 will assist in the development, implementation, and review as well as follow on reviews for the air carrier’s AQP. AFS‑230 and the FSDO/CMO/CMU will manage program approvals and revisions through an ERT process.

C.     Additional Information. More detailed information on AQP can be found in Volume 3, Chapter 21, The Advanced Qualification Program, Sections 1 through 5.

OPSPEC A035, U.S. REGISTERED AIRCRAFT—FOR PART 129 ONLY.

OPSPEC A036. Reserved.

OPSPEC A037, BASIC 14 CFR PART 135 OPERATOR—COMMUTER AND ON DEMAND OPERATIONS. A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into OpSpecs A037, A038, A039, and A040. The four types of operations authorized are: Single‑Pilot Operators, Single Pilot‑in‑Command Operators, Basic Part 135 Operators (On‑Demand Operations Only), and Basic Part 135 Operators (Commuter and On‑Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, The Certification Process—Title 14 CFR Part 135, sections 1 through 6. Deviations are required to authorize a single pilot in command or a basic part 135 operator. The appropriate regulatory sections that an operator is authorized deviations from will also be listed in OpSpec A005.

OPSPEC A038, BASIC TITLE 14 CFR PART 135 OPERATOR—ON DEMAND OPERATIONS ONLY. A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into OpSpecs A037, A038, A039, and A040. The four types of operations authorized are: Single‑Pilot Operators, Single Pilot‑in‑Command Operators, Basic Part 135 Operators (On‑Demand Operations Only), and Basic Part 135 Operators (Commuter and On‑Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, The Certification Process—Title 14 CFR Part 135, sections 1 and 2. Deviations are required to authorize a Single Pilot in Command or a Basic Part 135 Operator. The appropriate regulatory sections that an operator is authorized deviations from will also be listed in OpSpec A005.

OPSPEC A039, SINGLE PILOT IN COMMAND OPERATOR (PART 135). A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into paragraphs A037, A038, A039, and A040. The four types of operations authorized are: Single‑Pilot Operators, Single Pilot‑in‑Command Operators, Basic Part 135 Operators (On‑Demand Operations Only), and Basic Part 135 Operators (Commuter and On‑Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, Section 2, Phase 2—Formal Application. Deviations are required to authorize a single pilot in command or a basic part 135 operator. Therefore, the appropriate regulatory sections that the operator is authorized deviations from must also be listed in OpSpec A005.

OPSPEC A040, (PART 135 AND 135/121 DATABASES ONLY) SINGLE PILOT OPERATOR (PART 135). A016 was comprised of four different paragraphs. Because of the new Operations Safety System, the four authorizations were split into paragraphs A037, A038, A039, and A040. The four types of operations authorized are: Single Pilot Operators, Single Pilot‑in‑Command Operators, Basic Part 135 Operators (On‑Demand Operations Only), and Basic Part 135 Operators (Commuter and On‑Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, Section 1. It is not required to issue an A005 for the single pilot operator for deviations from the requirements for an operations manual, management personnel and positions, and an approved pilot training program. However, OpSpec A005 must list other appropriate regulatory sections from which the operator is authorized deviations.

OPSPEC A041, PRETAKEOFF CONTAMINATION CHECK OR APPROVED ALTERNATE GROUND DEICING/ANTI‑ICING PROCEDURE FOR TITLE 14 CFR PART 125/135 AIRPLANE OPERATIONS.

A.     Part 125, § 125.221 and Part 135, § 135.227. These sections require part 125 and 135 certificate holders who operate in ground icing conditions to have approved aircraft pretakeoff contamination check procedures or an approved alternate ground deicing/anti‑icing procedure to determine the airplane is free of frost, ice, or snow. Principal inspectors (PI) will issue OpSpec A041 to authorize a pretakeoff contamination check (not necessarily outside the aircraft) or the approved alternate procedure. A part 125 or 135 certificate holder may choose to comply with part 121, § 121.629(c) by having an approved ground deicing/anti‑icing program, in which case the PI will issue OpSpec A023. See Volume 4, Chapter 8, Low Visibility Taxi Operations, for guidance on approving a ground deicing/anti icing program.

B.     OpSpec Paragraph A041. This paragraph will be used to authorize the use of the alternative procedure using the services of a provider with an approved § 121.629 program and thereby authorizing the use of the holdover times (HOT) as limiting values instead of as advisory information only. The conditions specified in this OpSpec must be complied with in order for the operator to use this alternate procedure. Before issuing the OpSpec the operator’s General Operations Manual (GOM) and training program must be updated to include the elements contained in this guidance. The flightcrew, and, if appropriate, other ground personnel (example: persons charged with prearranging ground deicing services) must be trained as per the approved training program as updated to address the elements contained in this guidance. For an operator choosing to implement this alternate procedure, OpSpec A041 allows the operator to chose for each takeoff between conducting a pretakeoff contamination check in accordance with the Aircraft Flight Manual (AFM) or certificate holder’s approved program within five minutes of takeoff, or, if authorized, and all the conditions of their approved alternate procedure and the OpSpec can be met, to use the holdover time/allowance times as limiting values. OpSpec A023 should not be issued for the purpose of authorizing this alternate procedure. This is an alternate procedure to conducting a pretakeoff contamination check and not in full compliance with the requirements of an approved § 121.629 program.

C.     Approved Alternate Ground Deicing/Anti‑icing Procedure. By providing this guidance for the development of an alternate ground deicing plan the FAA anticipates an improvement in the level of safety in winter operations by encouraging part 125 and 135 operators to develop aircraft ground de/anti‑icing plans similar to an approved § 121.629 program. By incorporating the procedures outlined in this guidance and by incorporating and conducting the training specified, the operator will have available for use quality assured de/anti‑icing fluids, applied with equipment meeting the proper specifications, and applied by qualified ground personnel under the quality assurances built into a § 121.629 approved ground deicing program. An operator under part 125 or 135 may choose to implement the alternate procedures for ground de/anti‑icing as outlined in this guidance or continue to operate in ground icing conditions by conducting a pretakeoff contamination check within five minutes of takeoff using procedures in their approved ground deicing plan, and AFM limitations. Under these alternate procedure guidelines the operator is restricted to using the ground deicing services of an air carrier or an air carrier contract service provider conducting ground deicing service under an approved § 121.629 ground deicing program. Since the quality control requirements for the fluids and application equipment along with the activation of the program/plan as it relates to the ground service readiness is under the control of the holder of the § 121.629 approved program, the operator under these alternate procedures need not have policies and procedures for these elements in their alternate plan. Likewise, all ground deicing personnel are required to have been trained and qualified by the holder of the § 121.629 approved program being used, therefore the holder of these alternate ground deicing procedures must conduct only aircraft‑specific training. In lieu of prior training of the ground deicing personnel on the specific aircraft, the flightcrew may, in person, supervise the de‑ /anti‑icing process. This supervision must be supplemented by pictorial description (provided to the application personnel) of the aircrafts critical and sensitive surfaces indicating those areas that must be checked as part of the post deicing and anti‑icing inspections. In order to use this flightcrew supervision provision the flightcrew must be trained on all fluid application procedure requirements except for actual hands on practice. In essence, the operator’s ground de/anti‑icing alternate procedures plan must contain all other elements of an approved § 121.629 program as detailed in the current edition of AC 120‑60, Ground Deicing and Anti‑icing Program, except as indicated above. The required elements of the operator’s alternate procedure plan and required training is provided below. This guidance is extracted from AC 120‑60 with limited additional guidance from other FAA ground deicing guidance material. In addition, inspectors and certificate holders should consult the AFS‑200 Web site for current guidance.

1)      Required Ground De/Anti‑Icing Elements. This paragraph describes ground de/anti‑icing elements required to be contained in a part 125 and 135 alternate procedures in‑lieu of a pretakeoff contamination check in order to be authorized the use of the current FAA‑published fluid HOT as limiting time values rather than advisory times when utilizing the ground de/anti‑icing service provider with an approved part 121, § 121.629 program.
a)      Management Plan. In order to properly exercise operational control (when conditions are such that frost, ice, snow, or slush may reasonably be expected to adhere to an aircraft), the certificate holder should develop, coordinate with other affected parties, implement, and use a management plan for proper execution of its alternative de/anti‑icing plan. A plan encompassing the following elements is acceptable:

1.      Responsibility. Where operations are expected to be conducted in conditions conducive to ground icing, determine who is responsible for deciding when ground deicing/anti‑icing procedures are in effect and the ambient conditions for implementing ground deicing procedures.

2.      Manuals Requirements. The certificate holder should incorporate a detailed description of the deicing/anti‑icing plan in its manuals for flightcrew members, flight followers, ground operations personnel, and management personnel to use when conducting operations under ground icing conditions. This description should include the functions, duties, responsibilities, instructions, and procedures to be used.

3.      Coordination. The certificate holder should develop a winter operations plan to include procedures for coordination with the deicing service provider, air traffic control (ATC), and airport authorities as appropriate.

b)      De/Anti‑icing Fluid Application Procedures. In an appropriate manual, certificate holders must specify the deicing and anti‑icing fluid procedures for each type of aircraft operated. Thickened anti‑icing fluids (Type II, III, and IV), may only be used on aircraft that the aircraft manufacturer has provided documentation that these fluids are safe to be used on that make and model aircraft. Type I deicing fluid may be used on any aircraft with a takeoff rotation speed of 65 knots or greater with an outside air temperature of ‑19 C or warmer. In order to use the HOT as limiting time values the de/anti‑icing service must be provided by an operator with an approved de/anti‑icing program approved under § 121.629 or a contract provider to that operator under the operators approved § 121.629 approved program. Ground personnel trained and qualified to apply deicing and anti‑icing fluid, in accordance with a certificate holder’s approved § 121.629 program, do not require additional training and qualification to deice and anti‑ice similar aircraft operated by another certificate holder. If the deicing service provider has been trained by another part 125 or 135 air carrier using an alternate deicing procedures in accordance with this guidance for the same type of aircraft additional training under the provisions of this guidance is not required. However, specific training and/or direct flightcrew supervision, supplemented with pictorial descriptions of the de/anti‑icing procedures to be used identifying the critical aircraft surfaces, sensitive areas, and areas to be checked in the post deicing and post anti‑icing inspections is needed for deicing personnel to deice different types of aircraft or aircraft with different configurations.
c)      HOT Tables and Procedures for Their Use. The operator’s alternate ground de/anti‑icing procedures must include HOT tables and the procedures for the use of these tables by the certificate holder’s personnel. The following elements must be included in the operator’s alternate plan:

1.      Responsibilities and Procedures. The certificate holder’s program must define operational responsibilities and contain procedures for the flightcrew, ground personnel, and maintenance personnel that apply to the use of HOTs and resultant actions if the determined HOT is exceeded.

i.         Procedures to address deicing operations at specific deicing locations (e.g., gate, remote, or centralized facilities, engines running/not running, auxiliary power unit (APU), etc.), including how to determine radio frequencies to be utilized for communications between the flightcrew and the ground personnel.

ii.       Procedures for ground crew and flightcrew to communicate:

·        During aircraft positioning, (if required),

·        Other pertinent information regarding the deicing/anti‑icing process,

·        Start of the HOT (start time of final fluid application),

·        The aircraft departure process from the deicing area, and

·        Equipment clear/job done (post de/anti‑icing inspections completed)—safe to start taxiing.

iii.      In addition, procedures must be developed for the flightcrew’s use of the pertinent HOT tables, coordination with flight followers and ATC as appropriate.

2.      FAA HOT Tables. An operator’s alternate procedure must implement HOT tables for use by its personnel. The FAA develops HOT tables for Type I deice/anti‑ice fluid and manufacturer specific and generic Type II, III, and IV anti‑ice fluid in accordance with SAE ARP 4737, Aircraft Deicing/Anti‑Icing Methods, and ISO 11076, Aerospace Aircraft Deicing/Anti‑Icing Methods with Fluids. HOTs that exceed those specified in the current edition of the FAA specific HOT of approved fluids are not acceptable. However, the certificate holder may require the use of more conservative times than those specified in the FAA tables.

3.      Use of HOT Tables. HOT ranges are an estimate of the time that deicing/anti‑icing fluid will prevent the formation of frost or ice and the accumulation of snow on the unprotected surfaces of an aircraft. HOT begins when the start of the final application of deicing/anti‑icing fluid commences and expires when the deicing/anti‑icing fluid applied to the aircraft loses its effectiveness (e.g., when ice begins to form on or in the fluid). HOTs vary with weather conditions. The effectiveness of deicing/anti‑icing fluids is based on a number of variables (e.g., temperature, moisture content of the precipitation, wind, and the aircraft skin temperature). The HOT tables are to be used for departure planning and in conjunction with pretakeoff check procedures.

d)      Frozen Contaminants on the Aircraft. The operators must have procedures that insure the aircraft is free of all frozen contaminants adhering to the wings, control surfaces, propellers, engine inlets, or other critical surfaces before takeoff.

1.      Identification of Critical Aircraft Surfaces. The critical aircraft surfaces, which must be clear of contaminants before takeoff should be described in the aircraft manufacturer's maintenance manual or other manufacturer‑developed documents, such as service or operations bulletins.

i.         Generally, the following should be considered to be critical aircraft surfaces, if the aircraft manufacturer’s information is not available:

·        Pitot heads, static ports, ram‑air intakes for engine control and flight instruments, other kinds of instrument sensor pickup points, fuel vents, propellers, and engine inlets. These are both critical areas for flight safety and classified as sensitive surfaces because they may be adversely affected by direct de/anti‑icing fluid application and therefore require special attention during cold weather preflight and fluid application.

·        Wings, empennage, and control surfaces.

·        Fuselage upper surfaces on aircraft with center mounted engine(s).

ii.       Certificate holders must list in the general operations manual, for each type of aircraft used in their operations, the critical and sensitive surfaces that should be checked on flight‑crewmember preflight inspections, pretakeoff checks, and pretakeoff contamination checks.

iii.      Critical surfaces must be defined for the use of ground personnel for conducting the check following the deicing/anti‑icing process and for any pretakeoff contamination checks that may be accomplished by ground personnel.

2.      Identification of Representative Aircraft Surfaces (if used in place of critical surfaces). Representative aircraft surfaces are for use in conducting pretakeoff checks only; this is not to be confused with pretakeoff contamination check requirements. For each type of aircraft operated, certificate holders should list, in the general operations manual, the representative surfaces that may be checked while conducting pretakeoff checks. Some aircraft manufacturers have identified certain aircraft surfaces that the flightcrew can readily observe to determine whether or not frozen contaminants are accumulating or forming on that surface and, by using it as a representative surface, can make a reasoned judgment regarding whether or not frozen contaminants are adhering to other aircraft surfaces. When identifying a representative aircraft surface, the following guidelines should be considered:

i.         The surface can be seen clearly to determine whether or not frozen contaminants are forming or accumulating on the surface and if the estimated HOT is valid considering the precipitation conditions actually present.

ii.       The surface must be unheated.

iii.      If using a treated surface during the deicing/anti‑icing procedure, the representative surface should be one of the first surfaces treated with deicing/anti‑icing fluid. However, the designation of representative surfaces is not limited to treated surfaces.

3.      Recognition Techniques. Certificate holders must have aircraft specific guidance for the recognition of contamination on aircraft surfaces. The flightcrew and other personnel should use these type‑specific techniques while conducting preflight aircraft icing checks, pretakeoff checks, and pretakeoff contamination checks. Frozen contaminants can take the form of ice, frost, snow, or slush. Initial, Transition, Recurrent, Upgrade, or Advanced Qualification Program and Continuing Qualification training curricula should include aircraft type‑specific techniques for use by the flightcrew and other personnel for recognizing contamination on aircraft surfaces. The flightcrew and other personnel should use these type‑specific techniques while conducting preflight aircraft icing checks, pretakeoff checks, and pretakeoff contamination checks. Frozen contaminants can take the form of ice, frost, snow, or slush. The formation of clear ice may be difficult to detect visually. Therefore, specific techniques for identification of clear ice should be included.

e)      Types of Icing Checks. The operator’s alternate ground deicing/anti‑icing plan must include procedures for pretakeoff and pretakeoff contamination checks that, when applicable, are required to be accomplished. The aircraft deicing/anti‑icing procedure must also include a post deicing/anti icing check of all aircraft critical surfaces.

1.      Pretakeoff Check (within the HOT, not to be confused with a pretakeoff contamination check that is applied after the expiration of the HOT). This check is required anytime HOT are used. The flightcrew must accomplish the check within the HOT. The flightcrew should check the aircraft’s wings or representative aircraft surfaces for frozen contamination. The surfaces to be checked are determined by manufacturer’s data or guidance contained in AC 120‑60, current edition. The pretakeoff check is integral to the use of HOTs. Because of the limitations and cautions associated with the use of HOTs, the flightcrew must assess the current weather and other situational conditions that affect the aircraft’s condition and not rely on the use of HOTs as the sole determinant that the aircraft is free of contaminants. Several pretakeoff checks may be required during the HOT period based on factors that include the length of the HOT range, weather, or other conditions. The flightcrew must maintain a continued awareness of the condition of the aircraft and accomplish, as a minimum, a pretakeoff check just before taking the active runway for departure. When conducting the pretakeoff check, the flightcrew must factor in the application sequence (i.e., where on the aircraft the de/anti‑icing process began).

2.      Pretakeoff Contamination Check (when HOT has been exceeded). Completing a pretakeoff contamination check is one of the conditions that allows a takeoff after a HOT has been exceeded. When a HOT has been exceeded, certificate holders must have appropriate pretakeoff contamination check procedures for the flightcrew’s and/or other qualified ground personnel’s use to ensure that the aircraft’s critical surfaces remain free of frozen contaminants. Flightcrews and/or other qualified ground personnel must complete the pretakeoff contamination check within 5 minutes before beginning takeoff. This check must be accomplished from outside the aircraft unless the certificate holder’s program specifies otherwise. If any doubt exists concerning the aircraft’s condition after completing this check, the aircraft cannot takeoff unless it is deiced again and a new HOT is determined. The following should be considered while developing procedures for this check:

i.         For all hard wing aircraft (those without leading edge devices) this check must be an outside the aircraft tactile check (feel). For all high wing aircraft this check must also be an outside the aircraft check and maybe visual or tactile based on the aircraft manufacturers procedures or as approved by the FAA. Also aircraft with aft, fuselage‑mounted, turbine‑powered engines must conduct pretakeoff contamination checks from outside the airplane.

ii.       Operators of aircraft other than those addressed in paragraph a) above, should conduct this check from outside the aircraft unless they can show that the check can be adequately accomplished from inside the aircraft. The operators plan must detail procedures and requirements for this check. When developing a procedure—not described in the AFM—for conducting the pretakeoff contamination check from inside the aircraft, certificate holders should consider if crewmembers are able to see enough of the wings, control surfaces, and other surfaces to determine whether or not they are free of contaminants. When making this determination, consider the aircraft type, the method of conducting the check (from the cockpit or cabin), and other factors, such as aircraft lighting and ambient conditions.

3.      Post‑Deicing/Anti‑Icing Check. The operator must have procedures outlining these check procedure for each aircraft. This multi‑part check is an integral part of the deicing/anti‑icing process. The check ensures that:

i.         All critical surfaces are free of adhering frozen contaminants after deicing.

ii.       If anti‑icing fluid is to be applied it assures that all critical surfaces are free of frozen contaminants before the application of any anti‑icing fluid.

iii.      All critical surfaces are free of frozen contaminants before pushback or taxi. And if anti‑icing fluid has been applied that all critical surface have been treated with an even coating of the applicable fluid.

Note:       Certificate holders must have procedures that require that qualified ground personnel or flightcrew personnel conduct this check. If conducted by qualified ground personnel, certificate holders should establish communication procedures to relay pertinent deicing/anti‑icing information and the results of this check to the pilot in command (PIC).

f)        Communications. The operator must have standardized communication procedures for communications between the flightcrew and ground deicing personnel. Communication between ground personnel and the flightcrew before commencing deicing/anti icing operations is critical. Upon completion of deicing/anti‑icing operations, ground personnel should communicate with the flightcrew to determine the start time of the final fluid application procedure and therefore the start of the HOT. The particular HOT the flightcrew uses is extremely critical. Because many deicers service multiple carriers, the FAA recommends that all operators include the following flow sequence and information to provide standardization:

1.      Before commencing deicing/anti‑icing operations, ground personnel and the flightcrew should review the following (as applicable):

i.         Deicing/anti‑icing prior to crew arrival.

ii.       Gate or remote deicing/anti‑icing procedures.

iii.      Aircraft‑specific procedures.

iv.     Communications between ground personnel and the flightcrew.

2.      Just before commencing the application of deicing/anti‑icing fluid, ground personnel should confirm with the flightcrew that the aircraft is properly configured for deicing, as the following example states: “N90FAA, is your aircraft ready for deicing/anti‑icing?” Response from N90FAA, “Learjet N90FAA, parking brake is set, engines are running, APU is off, aircraft is configured for deicing, and anti‑icing with Type IV fluid.” Response from deicing crew, “Roger N90FAA commencing deicing.”

3.      Upon completion of deicing/anti‑icing, the flightcrew must be provided the following elements:

i.         Fluid type (e.g., Type I, Type II, Type III or Type IV), the fluid product name is optional for each type of fluid if the fluid meets product on‑wing viscosity requirements.

ii.       Fluid/water mix ratio by volume of Types II, III, and IV. (Reporting the concentration of Type I fluid is not required.)

iii.      Specify, in local time (hours and minutes) the beginning of the final fluid application (e.g., 1330).

iv.     Post application check accomplished. Specify date (day, written month, year).

Note:       The element listed in subparagraph 3d is required for recordkeeping; it is optional for crew notification.

Note:       Transmission of elements listed in subparagraphs a through c, to the flightcrew, confirms that a post deicing/anti‑icing check was completed and the aircraft is clean.

4.      Below are two examples of the ground/flightcrew communication sequence.

i.         One Step Process with Type I or other approved deicing fluid: “N90FAA are you ready for your deicing report?” “N90FAA is ready to copy deicing report.” “N90FAA your aircraft has been deiced with Type I fluid. Your fluid application began at 1430.”

ii.       Two Step Process with Types II, III, or IV: “N90FAA are you ready for your deicing report?” “N90FAA is ready to copy deicing report.” “N90FAA your aircraft has been deiced with Type I fluid and anti‑iced with Type IV. An anti‑ice fluid mixture of 75/25 was used. Your anti‑ice fluid application began at 1645.”

2)      Training Requirements Required for the Authorization of the Alternate Procedures Allowing the Use of HOT as Limiting Values. Training for flight followers is only required if that person plays a role in the planning, execution, or recording of aircraft ground de/anti‑icing. Training for ground deicing personnel is only required if each de/anti‑icing fluid application is not to be supervised by flightcrew personnel.
a)      Initial/Recurrent Ground Training and Qualification. Only trained and qualified personnel may carry out deicing/anti‑icing procedures. A flightcrew member trained on fluid application procedures for the applicable aircraft and operator may, in person, supervise the de/anti‑icing of the aircraft in lieu of the fluid application personnel being trained on the specific aircraft, provided the application personnel have been appropriately trained and currently qualified under a § 121.629 approved program and the application personnel are provided pictorial diagrams indicating the critical and sensitive areas of the aircraft, and areas to be inspected as part of the post deicing and post anti‑icing inspection, and instructed on the proper methods for treatment of the critical and sensitive areas.

1.      Each certificate holder’s approved program must consist of the following:

i.         Certificate holders must conduct initial and annual recurrent training for flightcrews, and, as applicable, flight followers, and ground personnel and must ensure that all such crews obtain and retain a thorough knowledge of aircraft ground deicing/anti‑icing policies and procedures, including required procedures and lessons learned.

ii.       Flightcrew, and, as applicable, flight follower, and ground personnel training programs must include a detailed description of initial and annual recurrent ground training and qualification concerning the specific requirements of the alternate plan and the duties, responsibilities, and functions detailed in the plan.

iii.      Flightcrew, and, as applicable, flight follower, and ground personnel training programs must have a Quality Assurance Program to monitor and maintain a high level of competence. An ongoing review plan is advisable to evaluate the effectiveness of the deicing/anti‑icing training received.

iv.     The program must have a tracking system that records all required personnel have been satisfactorily trained. Certificate holders must maintain records of personnel training and qualification for proof of qualification.

v.       Personnel must be able to adequately read, speak, and understand English in order to follow written and oral procedures applicable to the deicing/anti‑icing program.

2.      Certificate holders must train and qualify flightcrew, and as applicable flight followers, and ground personnel on at least the following subjects, identified as All personnel (no identification) Flightcrew (F), Flight Followers (FF) (persons charged with pre‑arranging of ground deicing services), if applicable to the operators operation, or Ground Personnel (G) if applicable, all pilots that supervise the application of de/anti‑icing fluids need to be trained on the subjects for Ground personnel (G) except for hands on training of fluid application techniques:

i.         Effects of Frozen Contaminants on Aircraft Surfaces. Provide an understanding of the critical effect the presence of minute amounts of frost, ice, or snow has on flight surfaces. This discussion should include, but is not limited to:

·        Loss of lift (F),

·        Increased drag and weight (F),

·        Decreased control (F),

·        Tendency for rapid pitch‑up and roll‑off during rotation (F),

·        Stall occurs at lower‑than‑normal angle of attack (F),

·        Buffet or stall occurs before activation of stall warning (F),

·        Aircraft specific areas: (F/G),

·        Engine foreign object damage potential,

·        Ram air intakes,

·        Instrument pickup points,

·        Leading edge device (LED) aircraft (aircraft that have slats or leading edge flaps) and non‑LED aircraft,

·        Airworthiness Directives (AD)/specific inspections, and

·        Winglets.

ii.       Aircraft Ground Icing Conditions. Describe conditions that cause implementation of deicing/anti‑icing procedures (F).

·        In‑Flight Ice Accumulation. Certificate holders should have procedures for flightcrews on arriving flights to report occurrences of in‑flight icing to the personnel responsible for executing the certificate holder’s deicing/anti‑icing program. In‑flight ice accumulation could result in a ground‑deicing situation when flights are scheduled for short turnaround times (e.g., for 30 minutes or less and when ambient temperatures on the ground are at or below freezing).

·        Frost, including hoarfrost (F).

·        Freezing precipitation (snow, freezing rain, freezing drizzle, or hail, which could adhere to aircraft surfaces) (F).

·        Freezing fog (F).

·        Rain or high humidity on cold soaked wing (F).

·        Rain or high humidity on cold soaked wing fuel tanks (F).

·        Under‑wing frost (may not require deicing/anti‑icing within certain limits) (F/G).

·        Fluid failure identification (F/G).

iii.      Location specific deicing/anti‑icing procedures (F/G, as appropriate).

iv.     Communications procedures between the flightcrew, ground personnel, ATC, and company station personnel (F/FF/G).

Note:       Communication procedures must include ground crew confirmation to the flightcrew after the deicing and anti‑icing process is completed that all personnel and equipment are clear before reconfiguring or moving the aircraft.

v.       Means for obtaining most current weather information (F/FF).

vi.     Characteristics and capabilities of fluids used (F/D/G).

·        General fluid descriptions (F/G),

·        Composition and appearance (F/G),

·        Differences between Type I and Type II/IV deicing/anti‑icing fluids(F/G),

·        Purpose for each type (F/G),

·        Deicing fluids (F/G),

·        Anti‑icing fluids (F/G),

·        De/anti‑icing fluids capabilities (F/G),

·        Approved deicing/anti‑icing fluids for use (SAE, ISO, etc.) (F/G),

·        Fluid‑specific information provided by fluid or aircraft manufacturer (F/G),

·        Fluid temperature requirements (hot vs. cold) (F/G),

·        Properties associated with infrared deicing/anti‑icing (F/G),

·        Health, safety, and first aid (F/G),

·        Environmental considerations (G),

·        Fluid selection (F/G), and

·        Unusual flying qualities, such as the need for additional takeoff rotation stick‑force (F).

vii.    Methods/Procedures (F/G).

·        Inspection of critical surfaces,

·        Clear ice precautions,

·        Flightcrew/groundcrew preflight check requirement,

·        Deicing/anti‑ice determination,

·        Deicing/anti‑ice location,

·        Communication before deicing/anti‑icing,

·        General deicing/anti‑ice precautions,

·        Aircraft specific requirements,

·        Deicing:

·        Requirements,

·        Effective removal of frost, snow, and ice.

·        Anti‑icing:

·        Requirements

·        Preventative anti‑icing,

·        Application,

·        Deicing/anti‑icing:

·        One step,

·        Two step,

·        Guidelines for the application of deicing/anti‑icing fluids,

·        Post deicing/anti‑icing checks requirement,

·        Flight control check, and

·        Communications after deicing/anti‑icing.

viii.  Use of HOTs (F/G).

·        Definition of HOT;

·        When HOT begins and ends;

·        Limitations and cautions associated with the use of HOTs;

·        Source of HOT data;

·        Relationship of HOT to particular fluid concentrations and for different types of fluids;

·        Precipitation category (e.g., fog, drizzle, rain, or snow);

·        Precipitation intensity;

·        How to determine a specific HOT from the HOT range that accounts for moderate or light weather conditions; and

·        Adjusting HOT for changing weather conditions.

ix.     Pretakeoff Check Requirement (F/G). Identification of representative surfaces.

x.       Pretakeoff Contamination Check Requirement (F/G). Communications.

xi.     Aircraft Surface Contamination Recognition (F/G).

3)      Confirmation of Service Provider Qualification. The operator must have procedures for the flightcrew to determine that ground de/anti‑icing service providers are providing their service under a current approved § 121.629 aircraft ground deicing program. These procedures must include a regular check, by the operator, to ensure the currency of the service providers continued approval status under § 121.629. The flightcrew instructions must be clear that if the service provider’s approval under § 121.629 cannot be assured that the HOT tables revert to being advisory information only and a pretakeoff contamination check per the applicable procedures must be performed.
4)      Recording Requirements. The operator’s plan must include procedures for the recording of the location that de/anti‑icing was performed, the name of the provider, the type of fluid and mixture used, the final fluid application start time, and the takeoff time. This record may be included as part of an existing record requirement (example: aircraft discrepancy log). This record must be retained and made available to the FAA upon request for a period of at least 12 calendar‑months.

OPSPEC A042, TITLE 14 CFR PART 125/135 AIRPLANE OPERATIONS WITHOUT A DEICING/ANTI ICING PROCEDURE WHEN GROUND ICING CONDITIONS DO NOT EXIST. If a part 125 or 135 operator chooses to operate without a pre takeoff contamination check as required by part 125, § 125.221 and part 135, § 135.227, or without a part 121, § 121.629(c) program, then principal inspectors may only authorize them to operate when ground icing conditions do not exist by issuing OpSpec A042. See Volume 3, Chapter 27, Ground Deicing/Anti‑Icing Programs, for guidance on approving a ground deicing/anti icing program.

MSPEC A043, AFFILIATE PROGRAM MANAGERS. MSpec A043 allows fractional owners to use program aircraft operated by the program manager’s affiliate’s program. The program manager certifies to the Administrator that the affiliate program manager listed in MSpec A043 meets the requirements of part 91 subpart K.

OPSPEC A044, (PART 133 DATABASE ONLY) CLASS D OPERATIONS INVOLVING CARRIAGE OF PERSONS. (TBD)

OPSPEC A045, SUBSTITUTE SCHEDULED SERVICE AS A SUPPLEMENTAL OPERATOR. (TBD)

OPSPEC A046, SINGLE‑ENGINE IFR PASSENGER CARRYING OPERATIONS UNDER 14 CFR PART 135. A046 is issued to authorize single‑engine instrument flight rules (SEIFR) passenger‑carrying operations under part 135. Additional Maintenance Requirements OpSpec paragraphs D100–104, must be issued as applicable. The operator must meet the conditions part 135, § 135.163 and other appropriate sections, to be issued the authority to operate under IFR with passengers or a combination of passengers and cargo. A046 provides the operational limitations and provisions necessary to operate under IFR while carrying passengers in a single‑engine aircraft. The principal operations inspector, principal maintenance inspector, and principal avionics inspector must coordinate the issuance of A046 and the applicable Part D paragraphs (by the authority of 119, § 119.51(b)). Once the operator has met the requirements to conduct SEIFR operations, all the applicable OpSpec paragraphs must be issued for SEIFR authorization.

OPSPEC/MSPEC A047, REPLACED BY OPSPEC A447.

OPSPEC A048, FLIGHT DECK ACCESS AUTHORIZATION PROCEDURES.

A.     General. Operations specification (OpSpec) A048 is provided for a 14 CFR part 119 certificate holder that elects to have an approved program to allow persons eligible under part 121, § 121.547(a)(3) access to the flight deck using the Cockpit Access Security System (CASS) program and/or the Flight Standards Service (AFS) Flight Deck Access Restriction (FDAR) program in accordance with the limitations and provisions of the OpSpec. It is important to note that the Transportation Security Administration (TSA) may restrict flight deck access through the issuance of Security Directives (SD). The TSA also evaluates and approves (or denies) use of any system that is used to vet persons requesting flight deck access, such as CASS.

B.     CASS Participation. CASS is a voluntary program. It is acceptable if an individual operator does not elect to participate. If they do decide to use the CASS, they must meet all of its criteria.

1)      An airman certificate is not specifically required for CASS, as not all persons eligible for flight deck access need one (e.g., flight followers).
2)      CASS is not an FAA program. However, it is available to air carriers for use in determining identification and eligibility of individuals seeking access to flight deck jump seats. CASS accommodates most positions that are eligible for flight deck access, such as flightcrew members and flight followers. An air carrier should contact ARINC’s CASS representative directly with questions about program accommodation for specific position(s) that are eligible for flight deck access.
3)      If the Director of Operations (DO) elects to delegate the task of auditing the database, the DO retains full responsibility for its accuracy, completeness, currency, etc.

C.     Background. In the past, the TSA, industry, and FAA agreed upon the use of a valid passport when using this system.

1)      Since that agreement, technology has advanced to the point that an individual’s photograph is now a required element of that person’s electronic record in the CASS system.
2)      A passport is no longer specifically required for CASS participation.
3)      TSA has issued a SD that requires an air carrier to include digitized pictures of persons participating in CASS before that air carrier is approved for participation by the TSA.
4)      Also, as the guidance states, TSA may impose further restrictions on flight deck access through issuance of SDs.

D.    Table 3‑6D, Operations Specification A048 Manual Procedures Checklist. The checklist in Table 3‑6D should be used to ensure the part 119 certificate holder’s manual procedures for the required verification and access procedures for accessing the flight deck jump seat meets requirements. The appropriate sections of this checklist should be completed by the operator and provided to that operator’s FAA principal operations inspector (POI) along with their request for amendment of their OpSpecs to include OpSpec A048.

1)      The certificate holder may elect to include procedures for one or both of the following verification programs in its manual procedures:
a)      CASS.
b)      FDAR.
2)      The checklist should be completed using the following methodology:
a)      Number (item and sub item number).
b)      Item description (provide a description of the item).
c)      Response (circle “Yes” or “No” to indicate whether or not the item is adequately addressed in the program).
d)      Manual page reference (enter the manual page number where the item is addressed).

Table 3‑6D.      Operations Specification A048 Manual Procedures Checklist

NO.

ITEM DESCRIPTION

RESPONSE

MANUAL PAGE REFERENCE

1.

Do the certificate holder’s procedures include a requirement to obtain the requester’s employer‑issued photo identification card?

Yes/No

 

2.

Does the certificate holder’s procedures include a requirement to verify at the time of check‑in the information obtained from the person requesting flight deck jump seat access using one of the following methods (the certificate holder may select one or more of the following methods):

 

 

2.a.

CASS?

Yes/No

 

2.b.

FDAR ‑ Electronic Database?

Yes/No

 

2.c.

FDAR ‑ Telephone?

Yes/No

 

2.c‑i.

If yes, do the certificate holder’s procedures contain a list of part 119 certificate holders with which flight deck jump seat agreements are in place and the respective contact numbers and/or email addresses for use in employee flight deck jump seat eligibility and employment status verification?

Yes/No

 

2.d.

FDAR ‑ Email?

Yes/No

 

2.d‑i.

If yes, do the certificate holder’s procedures contain a list of part 119 certificate holders with which flight deck jump seat agreements are in place and the respective contact numbers and/or email addresses for use in employee flight deck jump seat eligibility and employment status verification?

Yes/No

 

2.e.

FDAR ‑ Facsimile?

Yes/No

 

2.e‑i.

If yes, do the certificate holder’s procedures contain a list of part 119 certificate holders with which flight deck jump seat agreements are in place and the respective contact numbers and/or email addresses for use in employee flight deck jump seat eligibility and employment status verification?

Yes/No

 

3.

Does the certificate holder’s procedures assign responsibility to the Director of Operations for:

 

 

3.a.

Completion of an initial audit to confirm accuracy of employee records used under this operations specification authorization?

Yes/No

 

3.b.

Completion of recurring audits to confirm accuracy of employee records used under this operations specification authorization at least once every 12 months?

Yes/No

 

3.c.

Updating any and all employee status changes of the employee records used in accordance with this authorization within 24 hours of the time that the change(s) occurred?

Yes/No

 

4.a.

Has the certificate holder satisfactorily demonstrated their software and procedures to the principal operations inspector?

Yes/No

N/A

4.b.

Did the demonstration reveal any instances where flight deck jump seat access was granted when it should have been denied?

Yes/No

N/A

5.

Did the initial audit (see item 3.a. above) reveal any records representing former employees as current employees?

Yes/No

N/A

6.

Is the certificate holder in receipt of an applicable TSA authorization to use a vetting system for persons requesting flight deck access (e.g., CASS)?

Yes/No

 

OPSPEC/MSPEC A049, REPLACED BY OPSPEC/MSPEC A449.

LOA A049, LETTER OF AUTHORIZATION FOR COMMERCIAL AIR TOUR OPERATIONS AND ANTIDRUG AND ALCOHOL MISUSE PREVENTION PROGRAM REGISTRATION.

A.     Applicability. LOA A049 applies to part 91 operators and part 119 certificate holders operating under part 121 or part 135 who conduct commercial air tour operations for compensation or hire under § 91.147.

1)      If a part 91 operator is not already identified in OPSS, general instructions for putting an operator into the OPSS, in order to issue the automated part 91 LOA A049 is associated with all OpSpec/MSpec A001 templates in the part 91 database of the OPSS. If you need further assistance, please contact Aviation Safety (AVS) Support Central at 405‑954‑7272.
a)      Because of programmatic limitations, we are unable to provide any other title than POI, PMI, or PAI for the signature block in the OPSS for part 91 LOAs. Thus, the office manager or applicable supervisor who chooses to sign the part 91 authorizations will be identified as a POI, PMI, or PAI instead of manager or supervisor.
b)      When issuing a part 91 authorization from the OPSS, at a minimum the A001, Issuance and Applicability; and A004, Summary of Special Authorizations and Limitations templates must be included in the operator’s package.
2)      Operators who are uncomfortable with the limitations in § 91.146 and wish to continue flights supporting charities, nonprofit organizations, and community events may also use § 91.147 and must be issued A049. Part 91 operators using § 91.147 also have the option of becoming certificated operators in order to conduct commercial air tour operations under part 135 or part 121.

B.     Air Carriers Operating Under Section 91.147. Part 121 or 135 certificate holders that conduct commercial air tour operations under § 91.147 must be issued a separate LOA from the part 91 database and issued a separate four character identifier. Certificate holders must implement a second drug and alcohol testing program to conduct operations under § 91.147. Even though the same company may be conducting operations under part 135 or 121 and air tour operations under § 91.147, the FAA’s regulations consider the two operations to be separate entities for drug and alcohol purposes.

C.     Commercial Air Tours (defined in 14 CFR part 136, § 136.1). These operations are passenger‑carrying flights conducted in accordance with § 91.147. As of September 11, 2007, all operators or certificate holders must have applied for and have been operating in accordance with LOA A049, issued by the FSDO nearest to its principal place of business. The seven items listed in § 91.147(c) represent the minimum amount of information required for the national database and the issuance of LOA A049 to the part 91 operators. Certificate holders comply with most of these requirements through the issuance of other applicable OpSpecs:

1)      Name of operator, agent, and any DBA under which that operator does business (template/OpSpec A001);
2)      Principal business address and mailing address (template/OpSpec A001);
3)      Principal place of business (if different from business address) (template/OpSpec A001);
4)      Name of person responsible for management of the business (LOA A049);
5)      Name of person responsible for aircraft maintenance (LOA A049);
6)      Type of aircraft, registration numbers(s), and make/model/series (LOA A049); and
7)      A copy of the Antidrug and Alcohol Misuse Prevention Program registration (LOA A049). This information will be used to populate Table 3 (Location of Records for Inspection) in LOA A049. The population of this table “activates/registers” the drug abatement program for future inspection by AAM‑800.

Note:       The operator must implement its drug and alcohol testing programs in accordance with part 121 appendices I and J.

D.    Special Agreements. Some operators may have agreements with other parts of the FAA, such as air traffic, directly or through outside industry associations to conduct flights in a certain way or airspace. These special agreements need to be documented in the LOA A049. The documentation of these agreements in LOA A049 does not imply nor require that the agreements are approved by the Flight Standards PI.

Note:       Section 136.3 now allows amendment and reconsideration of LOAs through § 119.51.

E.     Hawaiian Air Tour Operators. The Hawaii air tour operators conducting these commercial air tour operations under § 91.147 must be issued LOA A049. The Hawaiian air tour operators may be issued a deviation (previously under SFAR 71) using LOA/OpSpec B048. The deviation authorizes the operator/certificate holder to conduct § 91.147 commercial air tour operations below an altitude of 1,500 feet above the surface in accordance with the appropriate requirements of part 136 and part 136 appendix A, and the limitations and provisions of B048.

F.      Air Tour Operations Under § 91.147 and § 136.37. The requirements of § 91.147 and those of § 136.37 are two separate requirements. Some commercial air tour operators conduct overflights of national parks and fall under the exception in § 136.37. OpSpec/LOA B057 is required for national parks and is issued in addition to LOA A049. OpSpec/LOA B057 authorizes a certificate holder or operator to conduct commercial air tour operations over national park(s) and tribal lands within or abutting the national park in accordance with part 136. See OpSpec/LOA B057 for guidance regarding air tour operations under § 136.37.

G.    The National Air Tour Safety Standards Final Rule (72 FR 6911). Final Rule 72 FR 6911 published on February 13, 2007, and effective March 15, 2007, set safety and oversight rules for a broad variety of sightseeing and commercial air tour flights with changes in parts 61, 91, 119, 121, 135, and 136. Intended effects of this rule are to identify the air tour operators in a national database, standardize requirements for commercial air tour operators, and consolidate air tour safety standards within part 136. The rule change responded to NTSB recommendations, Government Accountability Office (GAO) reports, and DOT General Reports that recommend better oversight of the sightseeing (commercial air tour) industry. The preamble and final rule are posted on the DOT Web site at URL: http://dms.dot.gov/search/document.cfm?documentid=452251&docketid=4521.

Note:       Exemptions to this rule are outlined in § 91.146.

OPSPEC A050, HELICOPTER NIGHT VISION GOGGLE OPERATIONS (HNVGO). (TBD).

OPSPEC A051. Reserved.

OPSPEC/MSPEC/LOA A052. Reserved.

OPSPEC A053. Reserved for Emergency Charter Operations. (TBD.)

OPSPEC A054, (PART 133 DATABASE ONLY) INSTRUMENT FLIGHT RULES OPERATIONS (FOR PART 133, EXTERNAL LOAD OPERATIONS ONLY). (Guidance is found in Volume 2, Chapter 7, Initial Certification/Renewal of a Part 133 Operator.)

OPSPEC A055, CARRIAGE OF HAZARDOUS MATERIALS.

A.     Authorization. Operations specification (OpSpec) A055 is an optional authorization applicable to certificate holders conducting operations under 14 CFR parts 121 or 135 that choose to comply with the applicable regulations to carry hazardous materials (hazmat).

B.     Regulatory Changes. With the publication of Federal Register (FR) 58796, Vol. 70, No. 194, Friday, October 7, 2005, a change to part 119, § 119.49(a)(13) was effective November 7, 2005, as follows:

1)      Section 119.49(a)(13) requires all certificate holders conducting operations under parts 121 or 135 to indicate in their operations specification that they “will‑carry” or “will‑not‑carry” hazmat. OpSpec A055 is issued for those that “will‑carry” hazmat. OpSpec A004 must contain the statement in subparagraph b that the certificate holder “will‑not‑carry” hazmat.
2)      This FR also required that after February 7, 2007, these certificate holders must comply with the manual requirements of parts 121 and 135, §§ 121.135(b)(23) or 135.23(p) and with the hazmat training program requirements of §§ 121.1003 through 121.1007 or §§ 135.503 through 135.507, as applicable.
3)      These changes align U.S. implementation with International Civil Aviation Organization (ICAO) standards for the carriage of hazmat, which recommend initial and biennial recurrent training programs. Additionally, ICAO recommends the certificate holder be specifically authorized by its state of authority to carry hazmat.

C.     Part 91 Subpart K (Part 91K) Program Managers and Part 125 Operators. There is no OpSpec A055 for part 125 operators or management specification (MSpec) A055 for part 91K. Section 91.1085 requires hazardous material (hazmat) recognition training. No program manager may use any person to perform any assigned duty/responsibility for handling or carriage of hazmat unless that person has received training in the recognitions of hazmat.

1)      Therefore, any program manager who delegates such an assignment would be a “hazmat employer” in accordance with Title 49 of the Code of Federal Regulations (49 CFR) part 172, § 172.702(d).
2)      Any person so assigned, must be trained in accordance with § 172.704(a).
3)      If the part 91K program manager makes a business decision not to accept hazmat and does not assign any person to perform a duty or responsibility to handle or carry hazmat, then recognition training is not required.

D.    Certificate Holders That Choose to Carry Hazmat (Will‑Carry).

1)      A certificate holder conducting operations under part 121 or 135 that chooses to carry hazmat (and Company Materials (COMAT) identified as hazardous) must provide to its principal operations inspector (POI) a general outline of the aspects of the proposed training program as presented in Table 1, Operators That Transport Hazardous Material – Will‑Carry Certificate Holders, of part 121, appendix O and the manual with the procedures and information to be used to assist the flightcrew members. The POI will forward this material to the appropriate regional hazmat branch manager’s office (see Volume 2, Chapter 2, Section 6 for references). Generally, air carriers must only submit an outline sufficient to provide an overview of the training program in regard to the aspects and functions covered in Tables 1 and 2, Operators That Do Not Transport Hazardous Materials – Will‑Not‑Carry Certificate Holders, of part 121 appendix O. The hazmat branch manager will review the submission to determine that it includes the relevant training aspects for the cited job functions.
2)      Provided the following conditions are met, the certificate holder may be authorized to accept, handle, and transport materials, including COMAT (regulated as hazmat in transport under 49 CFR parts 171 through 180 (part 175 in particular)).
a)      Packages containing hazmat are properly offered and accepted in compliance with parts 171 through 180;
b)      Packages containing hazmat are properly handled, stored, packaged, loaded, and carried onboard the certificate holder’s aircraft in compliance with parts 171 through 180;
c)      The requirements for the notification to the PIC (part 175, § 175.33) are complied with; and
d)      Aircraft replacement parts, consumable materials or other items regulated by parts 171 through 180 are properly handled, packaged, and transported.
3)      Additionally, for each crewmember and person performing or directly supervising the following job functions involving items for transport on an aircraft, the certificate holder’s manual required by §§ 121.133 or 135.21 shall contain those procedures and information necessary to assist the crewmember or other person in identifying packages marked or labeled as containing hazmat or show signs of containing undeclared hazmat, including procedures and information on the following:

·        Acceptance.

·        Rejection.

·        Handling.

·        Storage incidental to transport.

·        Packaging of company material.

·        Loading.

4)      The manual required by §§ 121.133 or 135.21, as appropriate, shall contain the certificate holder’s procedures for rejecting packages that do not conform to the Hazardous Materials Regulations (HMR) in parts 171 through 180, or that appear to contain undeclared hazmat.
5)      The manual required by §§ 121.133 or 135.21, as appropriate, shall contain the certificate holder’s procedures for complying with the hazmat incident reporting requirements of part 171, §§ 171.15 and 171.16 and discrepancy reporting requirements of § 175.31.
6)      The certificate holder is responsible for maintaining the records in initial and recurrent hazmat training within the three preceding years of all direct employees, contractors, and subcontractors directly supervising or performing an applicable job function as described in part 121 subpart Z for or on behalf of the certificate holder. The training records may be electronic or paper and must be made available to the FAA upon request at the location the trained person performs or directly supervises the covered job function.
7)      The following recordkeeping requirements are identical to those required by § 172.700, the International Air Transport Association (IATA), and the International Civil Aviation Organization (ICAO):

·        Individual’s name.

·        Most recent training completion date.

·        A description, copy, or reference to training material.

·        Name and address of organization providing training.

·        Copy of certification used to show test was satisfactorily completed.

E.     Certificate Holders that Choose Not to Carry Hazmat (Will‑Not‑Carry).

1)      OpSpec A004 will state that the certificate holder conducting operations under part 121 or 135 is not authorized and shall not carry hazmat, satisfying the OpSpec regulatory requirement for a “will‑not‑carry” certificate holder. The certificate holder is prohibited from accepting, handling, or transporting those materials, including hazardous COMAT, regulated as hazmat in transport under parts 171 through 180.
2)      Consistent with this prohibition, for each crewmember and person performing or directly supervising the acceptance, handling, storage incidental to transport, or loading of items for transport on an aircraft, the certificate holder’s manual required by §§ 121.133 or 135.21 (as appropriate) shall contain those procedures and information necessary to assist the crewmember or other person in identifying packages that are marked or labeled as containing hazmat or that show signs of containing undeclared hazmat.
3)      The manual required by §§ 121.133 or 135.21, as appropriate, shall contain the certificate holder’s procedures for rejecting packages offered for transport that contain hazmat or that appear to contain undeclared hazmat.

F.      Basic, Single PIC, and Single‑Pilot Operators.

1)      Operators issued OpSpecs A037 through A039 must have an approved hazmat program and should use the hazmat program currently accepted/approved by their respective regional hazardous material branch. These certificate holders conducting operations under part 135 will need to have OpSpec A055 issued if they are a “will‑carry” certificate holder. These certificate holders may have to comply with the manual requirements for the carriage of hazmat if the hazardous material branch manager requires it.
2)      Single‑pilot operators issued OpSpec A040 may comply with the hazmat program by submitting a program for acceptance by the FAA if they are a “will‑carry” certificate holder. They will be issued OpSpec A055 if they are a “will‑carry” certificate holder. There is no manual requirement for a single‑pilot operator issued OpSpec A040.

G.    Reference.

·        70 FR 58796 (No. 194); October 7, 2005.

OPSPEC/MSPEC/LOA A056, DATA LINK COMMUNICATIONS.

A.     General. Template A056 contains specific operational limitations and provisions for granting authorization to operators of aircraft under part 91, 121, 125, 135, or 91 subpart K to conduct data link communications using aircraft systems that are certificated for air–ground air traffic services (ATS).

1)      Parts 91, 121, 125, and 135 operators, and part 91K program managers conducting flight operations in oceanic and remote airspace may use data link communications systems (i.e., Future Air Navigation System (FANS) (FANS‑1/A or equivalent)). Operations using data link communications within domestic airspace require very‑high frequency (VHF) radios called very‑high frequency digital link Mode 2 (VDL‑2), compatible with ATS.
2)      Data link may be used as a supplement to voice communications with ATS. Voice communications must be continually monitored because aircraft still must be equipped with operating VHF voice and, when required, high frequency (HF) voice radios along the entire flight route.
3)      All data link operations in domestic airspace are limited to the en route phase of flight where radar or an equivalent surveillance system such as Automatic Dependence Surveillance‑Broadcast (ADS‑B) is available for surveillance services.
4)      All aircraft used to conduct data link operations in domestic airspace must be equipped with an FAA‑certified collision avoidance system that is on and operating. (Reference part 91, § 91.221; part 121, § 121.356; part 125, § 125.224; part 129, § 129.18; and part 135, § 135.180.)
5)      An exception to the requirement for data link communication systems is the FANS‑1/A system in oceanic or remote airspace. The FANS‑1/A communications system can only be approved for data link operations in oceanic and remote area airspace. FANS‑1/A systems are not interoperable with the VDL‑2 infrastructure for domestic data link communications.

B.     Data Link Training. Part 121 and 135 air carriers, and part 91K program managers must have an approved data link training program for their maintenance and flightcrew personnel, as outlined in FAA AC 120‑70, Operational Authorization Process for use of Data Link Communication System, current edition.

C.     Authorization for Data Link Use. For part 91, 121, 125, and 135 operators and part 91K program managers, the POI will coordinate with the principal avionics and PMIs on the following matters:

1)      Equipment and systems certification, and airworthiness approval review;
2)      The content of the OpSpec authorization;
3)      The required communication performance;
4)      The AFM;
5)      Additional MEL requirements and relief; and
6)      Other elements necessary for the safe and effective use of data link communications.

Note:       POIs should be aware that there may be additional limitations and guidance for specific airplanes in Flight Standardization Board (FSB) reports.

D.    Contents of Operator Application for Operational Authorization to Use Data Link. The operator’s application to obtain authorization to use data link must address and contain the following subjects:

1)      List of source documents used:
a)      For generic data link operations (e.g., aircraft/avionics manufacturer documents).
b)      For area of operations specific policy/procedures. (See item 3 below.)
2)      Description of aircraft data link systems including certification documents and current configuration (e.g., current avionics load).
3)      Data link system make/model/series. All STC and AFM limitations and procedures.
4)      General information.
5)      Areas of operation/routes where operator intends to use data link.
a)      List of areas and/or routes where operator intends to conduct data link operations.
b)      List of air traffic centers/service providers with which the operator intends to communicate via data link.
c)      List of policy and procedures source documents applicable to each area(s) of operations, such as:

1.      Operations manuals for specific areas of operations (e.g., FANS‑1/A Operations Manual (FOM) for operation in Asia–Pacific flight information regions (FIR)).

2.      State Aeronautical Information Publications (AIP).

3.      State Notices to Airmen.

4.      FAA chart supplements (e.g., Pacific and Alaska chart supplement).

6)      Flightcrew qualification programs.
7)      Manuals and other publications.
8)      MMEL/MEL.
9)      Issues unique to a particular operator.
10)  Maintenance programs.

E.     Contents of Flightcrew Qualification Programs.

1)      Academic Training Subjects. A basic source document for data link procedures in oceanic areas is the FOM, part 5. Policy and procedures applicable to specific FIRs are in state AIPs and NOTAMs. Address the following areas:

·        Acronym Source: FOM part 2,

·        General concepts of digital and analog communications,

·        Expected flightcrew response,

·        ATS coordination,

·        Aircraft digital or analog communication equipment components, displays, alerts. (Sources: aircraft manufacturer documents.),

·        Interface with other aircraft systems,

·        AFM information MEL provisions,

·        Data link events reports,

·        Data link malfunction or irregularity reports, and

·        Human factors—lessons learned.

2)      Operational Use Training.

·        General requirement,

·        Simulators,

·        Computer‑based instruction,

·        Policy on initial pilot evaluation, and

·        Recurrent training and evaluation.

3)      Currency (recent experience).
4)      Line Checks and Route Checks (if applicable).
5)      Line‑Oriented Flight Training (if applicable).

F.      Operational Authorization Documents. This issuance of paragraph A056 grants approval to use data link communications in operations. Either the certificate management office or Flight Standards District Office should coordinate the approval with AFS‑400.


Table 3‑23.       Communications Systems and Operating Environments

This table lists the systems and their operating environment including the applicable criteria with references.

Row

Aircraft Data Link System

Operating Environment

Applicable Standards

Type of Airspace

ATS Unit System

Capabilities and Uses

1

ATN B1

Domestic (Continental)

ATN B1

Supplemental ATC communications:

Communication application supports data link initiation capability (DLIC) data link service.

Controller Pilot Data Link Communications (CPDLC) application supports ACM, ACL, and AMC data link services.

Note 1: departure clearance (DCL), downstream clearance (DSC), (Digital‑ Automatic Terminal Information Service (D‑ATIS), and Flight Plan Consistency (FLIPCY) data link services are not supported.

a. DO‑290/ED‑120, Chg 1 and Chg 2, Continental Safety and Performance (SPR) Standard.

b. DO‑280B/ED‑110B air traffic management (ATM) B1 INTEROP Standard.

2

FANS 1/A+

Domestic (Continental)

ATN B1 FANS‑1/A

Same as row 1 except:

Uses Aeronautical Telecommunications Network (ATN) ATC Facilities Notification (AFN) application for DLIC data link service.

For CPDLC application, UM 215, TURN (direction) (degrees) is not supported.

Note 2: FANS 1/A aircraft will require use of DM67 (free text) to mimic certain message elements per DO‑290/ED‑120 Chg 1 and Chg 2. See DO‑305/ED‑154 paragraph 4.2.13.2.

Note 3: In accordance with DO‑290/ED‑120, Chg 1 and Chg 2, FANS 1/A aircraft will require use of a message latency timer per DO‑258A/ED‑100A, paragraph 4.6.6.9 and is denoted by a “+” appended to the “FANS 1/A” label.

Note 4: Only via VHF data link subnetwork.

Same as row 1 plus:

a. DO‑305/ED‑154, FANS 1/A‑ATN INTEROP Standard (Applies only to ATS Unit except see note 2).

b. DO‑258A/ED‑100A, FANS 1/A INTEROP Standard (Applies only to aircraft).

3

FANS 1/A+ or FANS 1/A

Oceanic and remote

FANS‑1/A

Normal means of ATC communication uses AFN and CPDLC applications for direct controller‑pilot communications (DCPC).

Eligible for:

Required Communication Performance (RCP) 240 operations via VHF, SATCOM Iridium and SATCOM Inmarsat subnetworks.

RCP 400 operations via HF data link subnetwork.

No RCP operations.

Note 4: Aircraft capability that supports multiple RCP type operations needs to include appropriate indications and/or alerts to enable the flightcrew to notify ATC when aircraft equipment failures result in the aircraft’s ability to no longer meet its criteria for any of the RCP types, per DO‑306/ED‑122, paragraph 5.2.6.a) and 5.2.6.b).

Uses ADS‑C application for automatic position reporting.

a. DO‑306/ED‑122, Oceanic SPR Standard.

b. DO‑258A/ED‑100A (or earlier versions) FANS 1/A INTEROP Standard.

4

FANS 1/A+ or

FANS 1/A

Oceanic and Remote

CADS

No CPDLC application.

Uses ADS‑C application for automatic position reporting.

a. DO‑306/ED‑122 Oceanic SPR Standard.

b. DO‑258A/ED‑100A (or earlier version), FANS 1/A INTEROP Standard (Applies only to aircraft)

c. Centralized ADS (CADS) Common Specification, Version 2.0, approved ICAO NAT FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit)

5

Flight management system waypoint position reporting (FMS WPR)

Oceanic and Remote

CFRS

Same as row 4

a. DO‑306/ED‑122, Oceanic SPR Standard

b. ARINC 702A, Advanced Flight Management Computer System (Applies only to aircraft)

c. Central Flight Management Computer Waypoint Reporting System (CFRS) Common Specification, Version 2.0, approved International Civil Aviation Organization (ICAO) North Atlantic (NAT) FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit when ATS unit is CADS)

6

FANS 1/A

ADS‑C

Oceanic and Remote

FANS‑1/A or CADS

Same as row 4

a. DO‑306/ED‑122 Oceanic SPR Standard

b. DO‑258A‑ED‑100A (or earlier version) FANS 1/A INTEROP Standard (If ATS unit is CADS, applies only to aircraft)

c. CADS Common Specification, Version 2.0, approved ICAO NAT FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit when ATS unit is CADS


MSPEC A058, SINGLE PILOT PROGRAM FLIGHTS. The program manager may be authorized to use certain program aircraft with approved autopilot systems in single pilot program flights provided the limitations and provisions of MSpec A058 are met.

MSPEC A059, USE OF ALTERNATE MANUALS, PROGRAMS, OR SYSTEMS. The program manager may be authorized to use specific alternate manuals, programs, or systems (except for flight, duty, and rest provisions) in accordance with the limitations and provisions of MSpec A059.

OPSPEC A060, EUROPEAN AVIATION SAFETY AGENCY RATINGS FOR REPAIR STATIONS LOCATED OUTSIDE THE UNITED STATES. This paragraph authorizes work performed under European Aviation Safety Agency (EASA)‑rated repair stations if the appropriate form (EASA Form 3) authorizes the scope of the work.

OPSPEC/MSPEC/LOA A061, USE OF ELECTRONIC FLIGHT BAG.

A.     Applicability. Paragraph A061 is an optional authorization available to all operators conducting airplane operations under 14 CFR parts 91 subpart K (part 91K), 121, 125 (the Letter of Deviation Authority (LODA) 125 operators), and 135. Paragraph A061 authorizes the use of Class 1, Class 2, and/or Class 3 Electronic Flight Bags (EFB), and describes the conditions and limitations for EFB use.

Note:       Questions regarding the issuance of OpSpec/MSpec/LOA A061 should be directed to the Flight Technologies and Procedures Division (AFS‑400) at 202‑385‑4743, the Air Transportation Division (AFS‑200) at 202‑267‑8166, or the General Aviation and Commercial Division (AFS‑800) at 202‑267‑8212.

B.     General. Aviation safety inspectors (ASI) and Aircraft Evaluation Groups (AEG) will no longer approve Class 1 and 2 EFB hardware and associated Type A and B application software. Instead, ASIs may authorize the use of Class 1 or 2 EFB devices, including those Class 2 EFBs containing Type C application software meeting requirements of the current edition of Technical Standard Order (TSO) C165, Electronic Map Display Equipment for Graphical Depiction of Aircraft Position, for display of “own‑ship” position on airport moving map displays. Installation requirements and airworthiness approval remain unchanged.

1)      Class 3 hardware and Type C software will be FAA‑approved by the normal type certification processes (type certificate (TC)/Supplemental Type Certificate (STC)). For operations conducted under parts 91K, 121, 125 (including deviation holders), and 135, all EFBs will be authorized for use by OpSpec/MSpec/LOA. AEG evaluation of Class 3 and/or Type C will be published in the applicable Flight Standardization Board (FSB) report.
2)      Class 1 or 2 hardware (with Type A and/or B software applications) must be demonstrated to reliably meet intended EFB functions. It is the responsibility of the applicant and/or the EFB hardware/software vendor to ensure that its EFB system and Type A and B software applications can accurately perform intended functions. AEG evaluation of a Class 1 or 2 EFB (with Type B applications) will be at the AEG’s discretion and published in an Operational Suitability Report (OSR) for the particular EFB.

C.     Background. Advisory Circular (AC) 120‑76, Guidelines for the Certification, Airworthiness, and Operational Approval of Electronic Flight Bag Computing Devices, current edition, and expired Notice N 8200.98, Electronic Flight Bag Job Aid, reference several instances of FAA inspector and AEG approval requirements for Class 1 and 2 EFB hardware and associated Type A and B application software (whether that software is sold separately or embedded in an EFB device). The guidance in this section replaces procedures and advisory material in FAA orders and ACs requiring an FAA inspector or the AEG to approve Class 1 and 2 EFB hardware and associated Type A and B software applications. The guidance in this section is not intended to stop or restrict the operational use of these devices and software. This section also replaces the cancelled Notice N 8000.353, Revised Guidance for Authorizing the Use of Electronic Flight Bags, Issuance of A061, Electronic Flight Bag, and Revision to A025.

1)      In AC 120‑76, the words “approved” and “approval” are used in many instances when referring to actions that may be accomplished by Flight Standards Service (AFS) ASIs. The uses of these words are intended to reflect the general process for approval or acceptance. The general process of approval or acceptance of certain operations, programs, documents, procedures, methods, or systems is an orderly method used by AFS inspectors to ensure that such items meet regulatory standards and provide for safe operating practices. It is a modular, generic process that can be applied to many types of approval or acceptance tasks. It is important for inspectors to understand that this process is a tool to be used with good judgment.
2)      The application of the approval process described in ASI handbooks, coupled with the plain English definitions of approved and approval, has led to some confusion in the aviation community. AFS ASIs have no authority to approve EFB hardware or EFB application software. The guidance in this section is not intended to stop or restrict the operational use of these devices and software, but to clarify the role of AFS ASIs with regard to EFBs.

D.    Guidance.

1)      The authorization to use an EFB is optional and applicable to operators conducting operations under parts 91K, 121, 125 (including LODA holders), and 135. ASIs may authorize the use of Class 1, 2, and 3 EFB devices. (OpSpec/MSpec/LOA A025 is no longer used for the EFB authorization.)
2)      Use A061 Table 1 for authorizing the use of a Class 1 EFB with Type “B” software installed or any Class 2 or 3 EFB. OpSpec/MSpec/LOA A061 will be used to document the aircraft make, model, and series (M/M/S), the EFB hardware class, manufacturer, model, software type, source, and revision number. Compliance with the requirements of OpSpec/MSpec/LOA A061 should be validated during routine inspections of the operator before it is issued.
3)      ASIs and AEGs are not responsible for approving Class 1 and 2 EFB hardware and associated Type A and B application software.
a)      Installation requirements and airworthiness approvals remain unchanged as specified in AC 120‑76.
b)      The appropriate AEG, at their discretion, may evaluate the EFB device installations that present new or novel functions and provide a report of operational suitability and/or adverse findings to the responsible aircraft certification or airworthiness entity having approval authority for the initial installation. OSRs are available at http://fsims.avs.faa.gov under “Publications,” “MMEL & AEG Guidance Documents,” “Flight Standardization Board (FSB) Reports.” ASIs should ensure that an operator complies with these reports when they are available for a particular EFB.
4)      Class 1 and 2 EFB devices. A061 provides standardized text for the use of Class 1 and 2 EFB devices. The following is applicable for authorizing the use of Class 1 and 2 EFB devices:
a)      Class 1 and/or 2 devices with Type A and/or B application software may be authorized for use in accordance with the technical guidance specified in AC 120‑76. Class 1 devices with Type A or B application software and/or Class 2 devices with Type A or B application software and/or software approved under TSO‑C165 (Type C) may be used.

Note:       Technical guidance on Class 2 EFBs with Type C application software providing “own‑ship” position is found in the current edition of AC 20‑159, Obtaining Design and Production Approval of Airport Moving Map Display Applications Intended for Electronic Flight Bag Systems.

b)      The maintenance and avionics inspectors must ensure that the aircraft and equipment have the proper airworthiness approvals for any power, databus connections, or mounting.
c)      Training for the use and/or maintenance of the EFB by the certificate holder/program manager must be documented and included in the operator’s approved training program and applicable maintenance program.
d)      The certificate holder/program manager will specify the procedures for updating and maintaining any databases necessary to perform the intended functions of the EFB in its manual.
e)      The principal inspector (PI) is responsible for conducting a review of the system performance to ensure its acceptability prior to granting authorization to use. The PI should review the system performance using the EFB system user’s manual/pilot’s guide. The PI is responsible for evaluating the operators use of the EFB in normal and emergency operations, but not a review of the actual hardware or software.
f)        The AEG is available to assist with questions and guidance regarding EFB operational evaluations. The PI should contact the AEG when an operator submits a request for authorization to use an EFB that includes a new or novel function. The AEG may evaluate Class 1 or 2 hardware or Type B software applications as necessary to address progression in available EFB equipment and functions in the aviation industry.
g)      If a Class 1 or 2 EFB device is authorized for use, the ASI must enter the appropriate EFB information into the cells of the table. All other information in regard to the authorization for the use of an EFB should be documented in the operator’s manual and not written into A061.
5)      Aircraft Certification Service (AIR) must provide design, installation, and airworthiness approval for Class 3 EFB hardware that is permanently installed on an aircraft. This will be accomplished by incorporating the EFB into the aircraft type design or STC, not by field approvals. If a Class 3 EFB device is authorized to be used, the table in A061 should be appropriately filled out.
a)      The Type C application software associated with Class 3 EFB device is also certified by AIR in reference to the current edition of RTCA/DO‑178B, Software Considerations in Airborne Systems and Equipment Certification. Type A and B application software may be installed on these devices, but require no approval by the ASI as this software is protected from the Type C application software in the RTCA/DO‑178 standard.
b)      Operators should have procedures to control revisions to the EFB software in their manuals. Software version control is accomplished by using Table 1 in OpSpec/MSpec/LOA A061.
c)      If Type A or B software is used in conjunction with Type C software in the Class 3 EFB, the name of the software must be documented in Table 1 of OpSpec/MSpec/LOA A061.
6)      Simulator and/or in‑flight validation tests may be needed to fully determine the suitability of the use of an EFB (see AC 120‑76, paragraph 12(j), pages 21 and 22). Each operator’s proposed EFB functionality and software will vary, and scenarios should be customized for the particular situation by the inspector and applicant. It is the operator’s responsibility to demonstrate the function and reliability of the EFB.
a)      Validation flight scenarios should be used to ensure that the EFB device’s use has adequately transitioned into the operator’s overall training and operations programs. In some cases, the task will be completed entirely with an EFB, while in other cases the EFB device may be used together with other sources of information, such as paper charts or documents, depending on the capabilities of the EFB device and its operational implementation.
b)      The required EFB validation flight scenario differences could be affected by other factors, such as:

·        Software: Type A, B, or C application;

·        Hardware: Classes 1, 2, or 3, which include factors such as location in the flight deck and connectivity to other aircraft systems;

·        Aircraft/Operations: Single pilot versus dual pilot, single EFB versus dual EFB; and

·        Weather conditions: Visual versus instrument; very‑low visibility.

E.     Inspector Action. ASIs will review this section and provide pertinent information to the affected operators. OpSpec/MSpec/LOA A025 would be a nonmandatory revision to remove any EFB authorization.

1)      ASIs will provide technical advice and guidance to operators, when requested, to assist them in evaluating their selected EFB devices using the technical guidance found in AC 120‑76 but will no longer issue FAA approvals for the hardware and software. Authorization for use will be issued in reference to subparagraph E3) below.
2)      If the operator has OpSpec A025 issued for electronic recordkeeping systems without the use of an EFB, it is not necessary to reissue that operator’s OpSpec A025. Electronic recordkeeping system functions may co‑reside on an EFB device and, if so, OpSpec A025 as well as OpSpec A061 should be issued as instructed below.
3)      ASIs will use the new OpSpec/MSpec/LOA A061 EFB to authorize the use of a Class 1, 2, or 3 EFB device. Compliance with the requirements of OpSpec/MSpec/LOA A061 should be validated prior to the initial authorization to use an EFB and during routine inspections of the operator. If an EFB is authorized to be used, the table in A061 should be appropriately filled out. All other information in regard to the authorization should be documented in the operator’s manual and not written into A061.

OPSPEC/MSPEC A096, ACTUAL PASSENGER AND BAGGAGE WEIGHT PROGRAM FOR ALL AIRCRAFT. Passenger and cargo only operations conducted under 14 CFR parts 91K, 121, 125, and 135 that use actual weights, or asked/volunteered weights plus 10 pounds to account for the weight and balance of all company owned and operated aircraft, must be issued OpSpec A096. If OpSpec A096 is issued, OpSpecs A097, A098, and/or A099 may not be issued.

Note:       Operators authorized to use average weight always retain the option to use actual weights.

OPSPEC/MSPEC A097, SMALL CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of small‑cabin aircraft (aircraft type certificated for 5 to 29 passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A097. (The classification of small‑, medium‑, and large‑cabin aircraft is based on the maximum type certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated) If an operator elects to use only actual passenger and baggage weights, only OpSpec A096 must be issued. Table 1 of OpSpec A097 approves and tracks the general weight and balance control program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar‑months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A097 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights. Review AC 120‑27, Aircraft Weight and Balance Control, current edition, before issuing OpSpec A097 to verify operator weight and balance control program compliance.

OPSPEC/MSPEC A098, MEDIUM CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of medium‑cabin aircraft (aircraft type certificated for 30 to 70 passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A098. (The classification of small‑ , medium‑ , and large‑cabin aircraft is based on the maximum type certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated.) If an operator elects to use only actual passenger and baggage weights, OpSpec A096 must be issued. Table 1 of OpSpec A098 approves and tracks the general weight and balance program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar‑months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A098 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights. Review AC 120‑27, Aircraft Weight and Balance Control, current edition, before issuing OpSpec A098 to verify operator weight and balance control program compliance.

OPSPEC/MSPEC A099, LARGE CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of large‑cabin aircraft (aircraft type‑certificated for 71 or more passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A099. (The classification of small‑, medium‑, and large‑cabin aircraft is based on the maximum type‑certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated.) If an operator elects to use only actual passenger and baggage weights, OpSpec A096 needs to be issued. Table 1 of OpSpec A099 approves and tracks the general weight and balance program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar‑months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A099 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights. Review AC 120‑27, Aircraft Weight and Balance Control, current edition, before issuing template A099 to verify operator weight and balance control program compliance.

OPSPEC A101, ADDITIONAL FIXED LOCATIONS. This paragraph identifies additional locations (facilities) within the FSDO that collectively form a certificated part 145 repair station’s operational base without having to certificate each facility as a stand‑alone or satellite repair station.

A.     Additional Locations. All additional locations of the certificated repair station must be under the full control of the primary facility listed in OpSpec A001. Individual facilities are not required to be completely equipped with tools, equipment, and parts, but must have them available when they perform the work.

B.     Repair Station Manual (RSM). The RSM must contain detailed procedures for the transport of equipment and parts between facilities. The RSM should also outline procedures to ensure adequate personnel are available to support the additional fixed locations/facilities while articles are undergoing maintenance. Further, using additional fixed locations does not constitute work away from the repair station.

C.     Bilateral Agreement (BA) Including Provisions for Maintenance. When a repair station is located in a country with which the United States has signed a BA that includes provisions for maintenance of aircraft, engines, and appliances for installation on U.S.‑registered aircraft, the repair station may operate in multiple facilities under one FAA air agency certificate within that country. The authorization requires the cooperation of the local national aviation authority.

Note:       The repair station’s additional locations may only be within the geographic boundaries of the BA country.

OPSPEC A317, ACCEPTANCE OF A FATIGUE RISK MANAGEMENT PLAN (FRMP).

A.     General. On August 1, 2010, the President signed Public Law (PL) 111‑216, referred to as the Airline Safety and Federal Aviation Administration (FAA) Extension Act of 2010, which focuses on improving aviation safety. Section 212(b) of the Act requires each air carrier conducting operations under Title 14 of the Code of Federal Regulations (14 CFR) part 121 to develop, implement, and maintain a Fatigue Risk Management Plan (FRMP). The FRMP is an active plan specific to the air carrier’s type of operations that describes, through its policies and procedures, methods for managing and mitigating fatigue to improve flightcrew alertness and reduce performance errors. An FRMP is a management plan for addressing the potential effects of day‑to‑day flightcrew member fatigue associated with the air carrier’s specific type of operations. The air carrier’s FRMP should reflect its appropriate fatigue mitigation strategies applicable to its operations. For specific information on a FRMP, see Volume 3, Chapter 58, Section 1.

B.     Review and Acceptance Process. The Air Transportation Division, AFS‑200, is responsible for reviewing and either accepting or rejecting the air carrier’s FRMP. For specific procedures on the FRMP review and acceptance process, refer to Volume 3, Chapter 58, Section 1.

C.     OpSpec Issuance. The issuance of OpSpec A317 requires headquarters (HQ) approval.

1)      The FAA will issue OpSpec A317 to each part 121 air carrier signifying its FRMP has been reviewed and has been determined to be acceptable. The maximum duration of the OpSpec is 24 calendar‑months from the date of issuance and will be reflected on the air carrier’s OpSpec A317. Therefore, at a minimum, each part 121 air carrier must submit an amended draft FRMP for review every 24 calendar‑months.
2)      The POI will be responsible for issuing OpSpec A317 upon receiving approval from AFS‑200, and will incorporate the applicable text into the OpSpec as specified in the approval memo issued by AFS‑200. For specific guidance on issuing OpSpec A317, refer to Volume 3, Chapter 58, Section 1.

OPSPEC/MSPEC/LOA A353, AUTOMATIC DEPENDENT SURVEILLANCE‑BROADCAST (ADS‑B) OPERATIONS OUTSIDE OF U.S.‑DESIGNATED AIRSPACE: 14 CFR PARTS 91, 91K, 121, 125, 125M, AND 135 CERTIFICATE HOLDERS/OPERATORS. Automatic Dependent Surveillance-Broadcast (ADS‑B) is a new system for air traffic surveillance within those areas where the ground infrastructure (ADS‑B ground station and air traffic communications network) is in place and available. ADS‑B is expected to play an increasing role in the National Airspace System (NAS) as its capabilities evolve, and is expected to be a key element in improving the use of airspace, improving airport surface surveillance, and enhancing safety. ADS‑B Out is the capability to send a formatted message that includes elements such as position, altitude, velocity, direction, etc., for use by air traffic in providing air traffic separation services.

A.     General Guidance.

1)      ADS‑B System Description.
a)      ADS‑B is:

1.      Automatic and periodically transmits position, velocity, and other information with no pilot or controller action required for the information to be transmitted;

2.      Dependent on the aircraft position source (e.g., Global Navigation Satellite System (GNSS)/Global Positioning System (GPS);

3.      Used for surveillance services, much like traditional radar; and

4.      Used to broadcast aircraft position and other data to any aircraft or ground station equipped to receive ADS‑B.

b)      The ADS‑B system consists of three elements:

1.      Avionics. Installed aircraft avionics gather, format, and transmit the message elements from the aircraft via a discrete frequency. ADS‑B messages include at least the following elements:

·        Aircraft horizontal position (latitude/longitude).

·        Aircraft barometric altitude.

·        Aircraft identification: the assigned, unique International Civil Aviation Organization (ICAO) 24‑bit address.

·        Flight ID.

·        Special Position Indicator (SPI).

·        Emergency status.

Note:       Flight ID, SPI, and the emergency status are the only message elements that can be modified by the flightcrew.

2.      Navigation Source. Position data is typically derived from GNSS/GPS to determine an aircraft’s position.

3.      Ground Stations. The ground infrastructure must be in place to receive and process the message elements from aircraft and to provide the air traffic automation system with the necessary information for air traffic control (ATC) surveillance and separation services.

2)      Application Process.
a)      The FAA Flight Standards Service (AFS) local field office receiving a certificate holder/operator request to conduct ADS‑B operations should inform the applicant of the application process as shown in Figure 3‑67E, Automatic Dependent Surveillance‑Broadcast Application Submittal Process Flowchart.
b)      For operations outside of U.S.‑designated airspace (ADS‑B Out), the nonstandard request process should be used (see subparagraph C):

Note:       To obtain the nonstandard authorization A353, the certificate holder/operator and the responsible principal inspector (PI) are required to use the nonstandard request process. See Volume 3, Chapter 18, Section 2, paragraphs 3‑712 and 3‑713 for the nonstandard request process.

c)      The local AFS field office will conduct a review of the applicant’s submitted proposal using applicable guidance contained in subparagraph C and the checklist(s) referenced in subparagraph D. When compliance with all applicable requirements has been demonstrated, the PI will forward the proposal to their regional AFS Next Generation (NextGen) branch for review, as outlined in Figure 3‑67E, along with a memorandum requesting AFS headquarters (HQ) concurrence to issue A353.
d)      The regional AFS NextGen branch reviews the proposal and coordinates resolution of any discrepancies with the submitting PI. Once this coordination is complete, the regional AFS NextGen branch will forward the proposal to the Flight Technologies and Procedures Division (AFS‑400) for coordination with the appropriate AFS HQ policy division(s).
e)      Once AFS HQ determines that the proposal demonstrates compliance to all applicable requirements, the appropriate AFS HQ division will forward a letter of concurrence with the PI’s request for issuance of the authorization to the submitting regional AFS NextGen branch. The regional AFS NextGen branch will send the AFS HQ concurrence to the requesting PI.
f)        Prior to issuance of the A353 authorization by the PI, the certificate holder/operator must comply with any provisions and limitations provided with the AFS HQ concurrence.

Note:       To expedite issuance of the authorization, an advanced copy of the letter of concurrence may be sent by the appropriate AFS HQ division via e‑mail to the regional AFS NextGen branch in advance of the official hardcopy.

3)      Applicability. OpSpec/MSpec/LOA A353 is an optional authorization applicable to all certificate holders/operators conducting ADS‑B operations under 14 CFR parts 91, 91 subpart K (part 91K), 121, 125 (including the Letters of Deviation Authority (LODA)), 125 subpart M (part 125M), and 135.

Note:       Authorization to conduct ADS‑B Out operations in the airspace defined in § 91.225(c) is not required. Additionally, authorization is not required to use Flight Information Service‑Broadcast (FIS‑B) or Traffic Information Service‑Broadcast (TIS‑B) services for situational awareness (SA) onboard the aircraft.

Note:       The compliance date for the Automatic Dependent Surveillance‑Broadcast (ADS‑B) Out Performance Requirements to Support Air Traffic Control (ATC) Service final rule is January 1, 2020 (Registry Identification Number (RIN) 2120‑AI92).

4)      ADS‑B Out (Transmit) Functions. Different avionics packages and suites are available to support ADS‑B Out. The transmission of message elements by ADS‑B‑equipped aircraft is known as ADS‑B Out.
5)      Position Source Dependency.
a)      ADS‑B derives horizontal and vertical position information from the positioning source on the aircraft, which is typically the GNSS/GPS navigation system. This can mean that the accuracy of the ADS‑B system is directly related to the availability of the GPS constellation of satellites. In some installations the altimeter is also used as an added vertical cross‑check referred to as baro‑aiding. The navigation service and the altimeter must be available and of sufficient quality in order to provide the required level of safety to meet air traffic separation services standards. This dependency can become complicated since the operator is not aware, at any moment, what accuracy is being provided to the avionics.
b)      The ADS‑B system is heavily dependent on the continued high performance of the avionics and position source. This dependency requires an operator to ensure that the planned operation can meet the performance requirements for the entire route and time of the flight. For this reason, certificate holders/operators should check the availability of the ADS‑B service and GNSS/GPS (e.g., Notice to Airmen (NOTAM)) to ensure that ADS‑B performance is available.
6)      Air Traffic Separation Services.
a)      Air traffic separation services using ADS‑B enhances operations in several ways. ADS‑B data is provided to ATC at a higher rate than existing radar surveillance, resulting in more accurate position information to the controller. This increased position accuracy enables more efficient and effective use of airspace.
b)      Air traffic separation services using ADS‑B are dependent on the quality and performance of the individual aircraft and the ground system. It is critically important that each piece of the system is operated and maintained in a manner that ensures design performance, supporting the approved safety levels associated with the operation.
7)      Contingency Operations. A failure of any one component of the ADS‑B system requires ATC to “fallback” to procedural separation standards. Therefore, service provider or certificate holder/operator reliance on ADS‑B must be carefully weighed for the contingency operations, which may be required should the ground service, avionics, or positioning source fail.

C.     Automatic Dependent Surveillance-Broadcast (ADS‑B)‑Related Definitions.

1)      ADS‑B. A surveillance system in which an aircraft or vehicle to be detected is fitted with cooperative equipment in the form of a data link transmitter.
a)      The aircraft or vehicle periodically broadcasts its GPS‑derived position and other information such as velocity over the data link, which is received by a ground‑based transmitter/receiver (transceiver) for processing and display at an ATC facility.
b)      ADS-B is a system for airborne or surface aircraft, or other surface vehicles operating within the airport surface movement area, that periodically transmits a state vector and other information.
c)      ADS‑B is a function on an aircraft or surface vehicle operating within the surface movement area that periodically broadcasts its state vector (horizontal and vertical position, horizontal and vertical velocity) and other information. ADS‑B is automatic because no external stimulus is required to elicit a transmission; it is dependent because it relies on onboard navigation sources and onboard broadcast transmission systems to provide surveillance information to other users.
d)      ADS‑B is an advanced surveillance technology where ADS‑B‑Out‑equipped aircraft share position, altitude, velocity, and other information with ATC and other appropriately equipped aircraft.
2)      ADS‑B Out.
a)      The capability of an aircraft or surface vehicle to periodically broadcast its position, velocity, and other information. ADS‑B Out is automatic in the sense that no flightcrew or controller action is required for the information to be transmitted. It is dependent surveillance in the sense that the surveillance information depends on the navigation and broadcast capability of the source.
b)      Transmission of an aircraft’s position, altitude, velocity, and other information to other aircraft and ATC ground‑based surveillance systems.
3)      Extended Squitter (ES). A long message (e.g., format DF=17) that Mode S transponders transmit automatically, without needing to be interrogated by a radar, to announce the own‑ship aircraft’s presence to nearby ADS‑B‑equipped aircraft.
4)      Global Navigation Satellite System (GNSS).
a)      A worldwide position, velocity, and time determination system that includes one or more satellite constellations, receivers, and system integrity monitoring, augmented as necessary to support the RNP for the actual phase of operation.
b)      The generic term for a satellite navigation system, such as GPS, that provides autonomous worldwide geospatial positioning and may include local or regional augmentations.
5)      Global Positioning System (GPS).
a)      A space‑based radio positioning, navigation, and time‑transfer system. The system provides highly accurate position and velocity information, and precise time (on a continuous global basis) to an unlimited number of properly equipped users. The system is unaffected by weather and provides a worldwide common grid reference system. The GPS concept is predicated upon accurate and continuous knowledge of the spatial position of each satellite in the system with respect to time and distance from a transmitting satellite to the user. The GPS receiver automatically selects appropriate signals from the satellites in view and translates these into three‑dimensional position, velocity, and time. System accuracy for civil users is normally 100 meters horizontally.
b)      A space‑based position, velocity, and time system composed of space, control, and user segments. The space segment, when fully operational, will be composed of 24 satellites in 6 orbital planes. The control segment consists of five monitor stations, three ground antennas, and a master control station. The user segment consists of antennas and receiver‑processors that provide positioning, velocity, and precise timing to the user.
c)      A U.S. satellite‑based radio navigation system that provides a global positioning service. The service provided by GPS for civil use is defined in the GPS Standard Positioning System Performance Standard, 4th edition.
6)      International Civil Aviation Organization (ICAO) 24‑bit Address. Address assigned to each aircraft transponder of an ADS‑B transmitter. For aircraft equipped with Mode S transponders, their replies to Traffic Alert and Collision Avoidance System (TCAS) interrogations and their ADS‑B transmissions should use the same 24‑bit address, allowing correlations by Airborne Surveillance and Separation Assurance Processing (ASSAP).
7)      Mode S. A Secondary Surveillance Radar (SSR) system that operates using addressed interrogation on 1030 megahertz (MHz), and the transponder replies on 1090 MHz. Mode S systems interrogate for aircraft identity (Mode A), altitude (Mode C), and other aircraft‑specific information. The aircraft transponder replies with the requested information. Mode S supports a two‑way data link and an ADS‑B service known as ES.
8)      Position Source.
a)      The onboard avionics equipment that provides the latitude, longitude, geometric altitude, velocity, position and velocity accuracy metrics, and position integrity metrics. Additionally, the position source may provide the vertical rate parameters.
b)      Within this OpSpec, the term Receiver Autonomous Integrity Monitoring (RAIM) is a synonym for Aircraft-Based Augmentation System (ABAS) and is used to refer to both RAIM and RAIM-equivalent algorithms.
9)      Secondary Surveillance Radar (SSR). A radar sensor that listens to replies sent by transponders carried onboard airborne targets. SSR sensors, in contrast to primary surveillance radar (PSR) sensors, require the aircraft under surveillance to carry a transponder.
10)  Surveillance. Detection, tracking, characterization, and observation of aircraft, other vehicles, weather, and airspace status information and phenomena for the purposes of conducting flight operations in a safe and efficient manner. The primary purposes of traffic surveillance (as distinct from all surveillance functionality) are to control the flow of aircraft, to provide SA for pilots and controllers, and to separate aircraft.

D.    ADS‑B Out Operations Outside of U.S.‑Designated Airspace.

1)      Applicability. See subparagraph A.
2)      Background. ADS‑B provides ATC with an alternate means of surveillance in regions where a radar-based system would be impractical (e.g., Gulf of Mexico (GOMEX), mountainous terrain, etc.) or economically viable. ADS‑B allows application of reduced separation standards in these areas and improves the efficiency and safety of operations within the airspace. Currently, ADS‑B provides surveillance coverage in several regions outside of U.S.‑designated airspace, including portions of Australia, Canada, and in the Asia‑Pacific region. Additional ICAO regions and Member States are expected to implement ADS‑B in the future.

Note:       As applicable, authorization under OpSpec A353 and a regional authorization (e.g., OpSpec B050) may be necessary to conduct ADS‑B operations in areas outside of U.S.‑designated airspace.

3)      Airworthiness Considerations. The 1090ES message elements represent new or additional requirements for most certificate holders/operators, including identifying and performing regular specific maintenance actions to ensure the continued airworthiness of the ADS‑B equipment with all other interrelated avionics dependencies addressed. Specific checks of all required message elements should be completed on a periodic basis, including the correct functioning of system fault detectors and transmission of the ICAO 24‑bit address assigned to each specific aircraft. It is important for the principal maintenance inspector (PMI) and principal avionics inspector (PAI) to ensure that adequate and specific procedures are in place for these checks.

Note:       ADS‑B equipment installed in accordance with AC 20‑165 will be considered to meet the equipment requirements of European Aviation Safety Agency (EASA) Acceptable Means of Compliance (AMC) 20‑24, Certification Considerations for the Enhanced ATS in Non‑Radar Areas using ADS‑B Surveillance (ADS‑B‑NRA) Application via 1090 MHz Extended Squitter, dated February 5, 2008. See AMC 20‑24 for any additional maintenance, operational, and training considerations.

a)      Return to service (RTS) requirements will be incorporated into the instructions for continued airworthiness (ICA) for both the ADS‑B system and all source systems.
b)      Full system‑level testing is required any time the following conditions are met:

1.      The main ADS‑B transponder is replaced.

2.      A source system is disturbed and there is a dedicated input to ADS‑B that cannot be verified by other means (source system test, flight deck display, etc.).

4)      Canada‑Specific Requirements. All U.S. operators wishing to operate in ADS‑B‑designated airspace within Canada must be in compliance with the following requirements (current editions):
a)      EASA AMC 20‑24, Certification Considerations for the Enhanced ATS in Non‑Radar Areas using ADS‑B Surveillance (ADS‑B‑NRA) Application via 1090 MHZ Extended Squitter;
b)      Transport Canada AC 700‑009, Automatic Dependent Surveillance‑Broadcast (ADS‑B), paragraph 6.2, Foreign Air Operators; and
c)      NAV CANADA Aeronautical Information Circular (AIC) 21/09, Air Traffic Flow Management in the Vicinity of Hudson Bay as a Result of Automatic Dependent Surveillance Broadcast Out Implementation, for information related to ATC services supported by ADS‑B.

Note:       The certificate holder/operator must provide the appropriate Transport Canada Civil Aviation (TCCA) office or representative with a copy of the FAA‑issued authorization (OpSpec/MSpec/LOA A353), as appropriate. The certificate holder/operator must also submit the unique ICAO 24‑bit aircraft address to NAV CANADA for each aircraft approved for use in ADS‑B‑designated airspace within Canada.

Note:       NAV CANADA may accept formats other than octal (i.e., hexadecimal or binary) for the aircraft ICAO 24‑bit address. The certificate holder/operator should coordinate with NAV CANADA for acceptable ICAO 24‑bit address formats.

Note:       NAV CANADA maintains an aircraft eligibility list of all aircraft approved for ADS‑B services in Canada. Only aircraft with an authorized registration and/or ICAO 24‑bit address will be provided ADS‑B services.

5)      Australia‑Specific Requirements. All U.S. operators wishing to operate in designated ADS‑B airspace within Australia must be in compliance with the following requirements (current editions):
a)      EASA AMC 20‑24, Certification Considerations for the Enhanced ATS in Non‑Radar Areas using ADS‑B Surveillance (ADS‑B‑NRA) Application via 1090 MHZ Extended Squitter; and
b)      For General Aviation (GA) operators, Civil Aviation Safety Authority (CASA) Civil Aviation Order (CAO) 20.18, Aircraft Equipment—Basic Operational Requirements; or for certificated operators, CASA CAO 82.5, Condition on Air Operators’ Certificates Authorising Regular Public Transport Operations in High Capacity Aircraft.
6)      Asia‑Pacific‑Specific Requirements. All U.S. operators wishing to operate in ADS‑B‑designated airspace within the Asia‑Pacific (outside areas specifically identified previously) must be in compliance with the following requirements (current editions):
a)      Singapore: EASA AMC 20‑24, Certification Considerations for the Enhanced ATS in ADS‑B‑NRA Application via 1090ES; and
b)      Singapore: AIC 14/10, Introduction to Automatic Dependent Surveillance Broadcast (ADS‑B) Out Service within Parts of the Singapore FIR.

Note:       The Civil Aviation Authority of Singapore (CAAS) plans to implement ADS‑B operations after 2013 within the Singapore flight information region (FIR). See AIC 14/10 for specific airways that will require ADS‑B.

7)      General ADS‑B Requirements.
a)      Aircraft Flight Manual (AFM) Requirements. The AFM, Aircraft Flight Manual Supplement (AFMS), Airplane Operations Manual (AOM), and/or pilot’s operating handbook (POH), as applicable to the specific operator, must be carried in the airplane at all times when ADS‑B Out equipment is installed in accordance with a type certificate (TC) or Supplemental Type Certificate (STC). The AFM/AFMS/AOM//POH, as applicable, of each aircraft type must contain a statement that the ADS‑B system complies with EASA AMC 20‑24 and if deviations are applicable. Deviations, as stated in AMC 20‑24, may be included or referenced. If the installed ADS‑B system is compliant with AC 20‑165, the appropriate manuals should indicate that the installation meets the equipment requirements of § 91.227. This can be accomplished by adding the following statement to the “General” or “Normal Procedures” section of the flight manual: “The installed ADS‑B Out system has been shown to meet the equipment requirements of 14 CFR § 91.227.”

Note:       Aircraft without an FAA‑approved AFM/AFMS may use the certificate holder’s POH to meet the requirements in subparagraph C7)a) following review and concurrence by the local AFS field office PI.

b)      Flight Operations Manual (FOM) or Equivalent Requirements. The certificate holder/operator (as applicable) must submit an FOM bulletin or equivalent to the flightcrews describing ADS‑B to include:

·        ADS‑B system description,

·        Cockpit setup,

·        En route irregular/emergency procedures,

·        Communications,

·        Aircraft statement of compliance to EASA AMC 20‑24, and

·        Authorization (see subparagraph D1)).

c)      Required Flightcrew/Dispatch/Flight Follower Training (as applicable). Before being authorized to use the ADS‑B Out equipment, each member of the flightcrew (including part 91 operators) and the dispatcher/flight follower must have completed an approved training program that includes:

1.      Use of ADS‑B Out equipment,

2.      Specific regional operating practices,

3.      Normal procedures,

4.      Flight planning,

5.      Surveillance phraseology,

6.      Emergency procedures,

7.      Dispatch considerations (as applicable),

8.      Minimum equipment list (MEL) considerations,

9.      Human factors,

10.  Safety considerations,

11.  Equipment limitations, and

12.  Contingency planning.

Note:       If the certificate holder/operator outsources or contracts the ADS‑B training to another entity, OpSpec A031 (if applicable) must be issued.

d)      Training Verification. The PI must verify that the certificate holder’s/operator’s training is accomplished and that the AFM or supplements indicate compliance with EASA AMC 20‑24 or AC 20‑165.
e)      Designation of Aircraft. OpSpec/MSpec/LOA A353, as applicable, requires specific designation of the aircraft approved for operations outside of U.S.‑designated airspace. Aircraft make, model, and series (M/M/S), aircraft registration number, and aircraft serial number will be automatically populated to reflect the ADS‑B authorization once the PI has updated the respective operator data/aircraft in the Web‑based Operations Safety System (WebOPSS) to reflect the ADS‑B authorization (see subparagraph D). It is important to ensure that the aircraft M/M/S, registration number, and aircraft serial number for each aircraft is properly recorded.
f)        ICAO Regions of Operation. ADS‑B Out operations conducted by certificate holders are not authorized beyond the areas specified in OpSpec/MSpec B050 (an example of B050 with applicable notes is located in the WebOPSS under the A353 guidance button).
8)      Certification Basis of the Aircraft Avionics. The PI must determine that the certificate holder/operator understands and complies with all limitations and conditions associated with applicable STC requirements, Parts Manufacturer Approvals (PMA), and appropriate AFMSs.
a)      The PMI and PAI will ensure that the ADS‑B system is installed in compliance with the applicable STC or other appropriate aircraft certification requirements and that the certificate holder’s/operator’s maintenance program includes continuing airworthiness and maintenance personnel training requirements.
b)      The POI will review the certificate holder/operator procedures for deferral of inoperative equipment and will coordinate with the PMI and PAI during the evaluation and approval of the certificate holder/operator MEL. The POI will also provide the operator with guidance for revising the existing airplane MEL. The PMI may need to issue or amend OpSpec D095, as appropriate. ADS-B equipment may not be listed as “Administrative Control Items” in the MEL.
c)      The PI must verify that the certificate holder/operator is able to conduct the proposed operations, and validate that the appropriate training manuals, operations manuals, checklists, and operating procedures address ADS‑B operations.
d)      The certificate holder/operator must provide a listing of the aircraft make and model, registration number, serial number, and the make and model of the approved ADS‑B equipment. Once the PI receives concurrence from the appropriate HQ policy division to issue OpSpec/MSpec/LOA A353 (as applicable), the PI shall update the respective operator data/aircraft in WebOPSS to reflect the A353 ADS‑B authorization (see subparagraph D1)).
9)      Application Package. See subparagraph D1).

E.     ADS‑B Information, Checklists, and Contact Information.

1)      For ADS‑B application package checklist(s), training checklist(s), the A353 Authorization WebOPSS job aid, and other reference documents located in the WebOPSS A353 guidance section, see Figure 3‑67D, Sample Application Package Checklist.
2)      To access the reference documents in Figure 3‑67D, move paragraph A353 to the workspace in WebOPSS. Once paragraph A353 is in the workspace, highlight A353 and click on the “Guidance” button at the bottom of the screen.

Note:       AFS field office ASIs should make the appropriate application checklists and reference documents available to certificate holders/operators who do not have access to WebOPSS. Inspectors should encourage industry to complete the appropriate application checklist(s) prior to submission. Completion of the application checklist by certificate holders/operators is optional but highly recommended to expedite the application review process.

3)      For additional ADS‑B information, please contact the following:
a)      For general information on operation requirements and procedures, contact AFS‑400 at 202‑385‑4597, or in Lotus Notes at 9‑AWA‑AVS‑AFS‑400‑Flight‑Technologies‑Procedures‑Division/AWA/FAA.
b)      For parts 121 and 135 special authorizations (300‑series OpSpecs/LOAs), contact the Air Transportation Division (AFS‑200) at 202‑267‑8166.
c)      For parts 91, 91K, 125, and 125M special authorizations (300‑series OpSpecs/MSpecs/LOAs), contact the General Aviation and Commercial Division (AFS‑800) at 202‑267‑8212.
d)      For continued airworthiness of ADS‑B systems, contact the Aircraft Maintenance Division (AFS‑300) at 202‑385‑6402.
e)      For certification of ADS‑B systems, contact AIR‑130 at 202‑385‑4630.
f)        For technical questions concerning the Automatic Dependent Surveillance‑Broadcast (ADS‑B) Out Performance Requirements to Support Air Traffic Control (ATC) Service final rule, contact (by mail) the Surveillance and Broadcast Services Program Office, AJE‑6, Air Traffic Organization, FAA, 800 Independence Avenue SW, Washington, DC 20591; or by telephone at 202‑385‑8637.

Figure 3‑67D.   Sample Application Package Checklist

Category

Title

Description

Revision History

Revision History A353, 14 CFR Part 121

This provides a chronological history of changes to the operations specification (OpSpec) paragraph.

FAA Order

Order 8900.1, Volume 3, Chapter 18, Section 3, OpSpec/Management Specification (MSpec)/Letter of Authorization (LOA) A353

Guidance for OpSpec/MSpec/LOA A353, Automatic Dependent Surveillance‑Broadcast (ADS‑B) operations.

Civil Aviation Order

Australian Civil Aviation Safety Authority (CASA) CAO 20.18, Aircraft Equipment—Basic Operational Requirements

Australian CASA’s ADS‑B requirements.

Civil Aviation Order

Australian CASA CAO 82.5, Conditions on Air Operators’ Certificates Authorising Regular Public Transport Operations in High Capacity Aircraft

Australian CASA’s ADS‑B requirements.

Advisory Circular

Transport Canada Advisory Circular (AC) 700‑009, Automatic Dependent Surveillance‑Broadcast (ADS‑B)

Transport Canada AC on ADS‑B.

Advisory Circular

AC 20‑165, Airworthiness Approval of Automatic Dependent Surveillance (ADS‑B) Out Equipment for Operation in the National Airspace System (NAS)

ADS‑B equipment approval for the NAS.

Aeronautical Information Circular

Civil Aviation Authority of Singapore (CAAS) Aeronautical Information Circular (AIC) 14/10, Introduction of Automatic Dependent Surveillance Broadcast (ADS‑B) Out Service within Parts of the Singapore FIR

CAAS’s ADS‑B requirements when operating within the Singapore Flight Information Region (FIR).

Aeronautical Information Circular

NAV CANADA AIC 21/09, Air Traffic Flow Management in the Vicinity of Hudson Bay as a Result of Automatic Dependent Surveillance Broadcast Out Implementation

 

OpSpec/Mspec/LOA

A353 Authorization WebOPSS Job Aid

Job aid on how to create an A353 ADS‑B authorization in WebOPSS.

Other

EASA Acceptable Means of Compliance (AMC) 20‑24, Certification Considerations for the Enhanced ATS in ADS‑B‑NRA Application via 1090ES

 

Other

Sample Application Package Checklist

Sample application package checklist to help FAA field inspectors review submitted ADS‑B Out application packages.

 

 

 

Other

Sample Training Topics Checklist

Sample training topics checklist to help industry and FAA field inspectors develop respective ADS‑B training program.

 

 

 

Other

NAV CANADA ADS‑B Functional Compliance Survey Form

NAV CANADA ADS‑B Functional Compliance Survey form to be completed by certificate holders/operators and remitted to NAV CANADA.

 

 

 

Other

Sample ADS‑B Phraseology

Surveillance phraseology.

Other

ICAO Flight ID—FMC Quick Reference

When conducting ADS‑B operations, ensure the ICAO Flight ID is correctly entered into the flight management computer (FMC).

Figure 3‑67E.    Automatic Dependent Surveillance‑Broadcast Application Submittal Process Flowchart

Figure 3-67G, Automatic Dependent Surveillance-Broadcast Application Submittal Process Flowchart

Table 3‑23B.     Automatic Dependent Surveillance‑Broadcast‑Related Acronyms

1090ES

1090 MHz Extended Squitter

ADS‑B

Automatic Dependent Surveillance‑Broadcast

ADS‑B‑NRA

Automatic Dependent Surveillance‑Broadcast‑Non‑Radar Area

AFM

Airplane Flight Manual

AFMS

Airplane Flight Manual Supplement

AIM

Aeronautical Information Manual

AMC

Acceptable Means of Compliance

ASSAP

Airborne Surveillance and Separation Assurance Processing

ATC

Air Traffic Control

ATS

Air Traffic Service

EASA

European Aviation Safety Agency

FIR

Flight Information Region

FOM

Flight Operations Manual

GNSS

Global Navigation Satellite System

GPS

Global Positioning System

ICAO

International Civil Aviation Organization

LOA

Letter of Authorization

LODA

Letter of Deviation Authority

MEL

Minimum Equipment List

MHz

Megahertz

M/M/S

Make, Model, and Series

NAS

National Airspace System

NextGen

Next Generation Air Transportation System

NM

Nautical Mile

NOTAM

Notice to Airmen

POH

Pilot’s Operating Handbook

RAIM

Receiver Autonomous Integrity Monitoring

RIN

Regulation Identifier Number

RNP

Required Navigation Performance

SSR

Secondary Surveillance Radar

STC

Supplemental Type Certificate

TCAS

Terrain Collision and Avoidance System

TCCA

Transport Canada Civil Aviation

TSO

Technical Standards Order

OPSPEC A354. Reserved for United Airline use only.

OPSPEC/MSPEC A447, EMERGENCY AIRWORTHINESS DIRECTIVES (AD) NOTIFICATION INFORMATION.

A.     General. OpSpec A447 is a permanent data collection OpSpec paragraph for certificate holders that conduct operations under 14 CFR parts 121, 125, and 135. The Emergency Airworthiness Directive (AD) Notification was originally put into OpSpec A047 and now is contained in A447 (see below for completion and issuance instructions for A447).

1)      Essentially, the notification of emergency AD “receipt” is the responsibility of an operator’s management personnel. Part A of the templates is for general operations and management responsibilities.
2)      The principal operations inspector (POI), along with the principal maintenance inspector (PMI) and the principal avionics inspector (PAI), is responsible to see that a certificate holder complies with an AD, as applicable for the operations of any particular aircraft. All three PIs are responsible for all the templates in Part A.
3)      If needed, the principal inspector (PI) should fill out the appropriate information for the certificate holder and “activate” the OpSpec paragraph. The certificate holder is not required to sign the paragraph in the same way as an OpSpec authorization. If the FAA signs and activates the paragraph, it is considered to be effective.
4)      The FAA uses the 400‑series of templates in the OPSS for data collection.

B.     When to Issue an AD. ADs are substantive regulations issued by the FAA in accordance with 14 CFR part 39. ADs are issued when an unsafe condition has been found to exist in particular aircraft, engines, propellers, or appliances installed on aircraft. ADs are also issued when that unsafe condition is likely to exist or develop in other aircraft, engines, propellers, or appliances of the same type design. Once an AD is issued, no person may operate a product to which the AD applies except in accordance with the requirements of that AD.

C.     Emergency ADs Require Immediate Action. The FAA only distributes emergency ADs that affect transport category aircraft by facsimile. As such, all certificated operators are being required by an approved document to provide an AD point of contact (name, address, city, state, zip, telephone, and email) and a facsimile transmission telephone number for emergency AD notification. The owner or operator of an aircraft is responsible for maintaining that aircraft in an airworthy condition, as required by part 39 and part 91, § 91.403(a).

D.    Notification of AD Issuance. Delegation and Airworthiness Programs Branch (AIR‑140), will notify all affected operators of the issuance of the emergency ADs via the facsimile number(s) identified by the operator’s method of notification in the template.

1)      Parts 121 and 125 operators. AIR uses facsimiles for the official notification of the transport category emergency ADs to part 121 and 125 operators. AIR mails paper copies of ADs to all applicable registered owners (part 135 and others).
2)      All other operators. Due to a large number of owners/operators (parts 91, 129, 135, etc.), AIR uses the FAA Aircraft Registry address database and the United States Postal Service for official notification of emergency ADs. AIR uses the information in template A447 to verify those addresses.
3)      AIR no longer uses Société International de Télécommunications Aéronautiques (SITA), ARINC, or TELEX codes for electronic notification. AIR does not use email for official emergency AD notification or receipt acknowledgement.

E.     Confirmation of AD Receipt. Upon receipt of an emergency AD, the certificate holder will immediately confirm receipt of the AD by signing the fax cover page and faxing it to AIR‑140 at (405) 954‑4104. This ensures the FAA that all operators affected by an emergency AD have been notified in time to comply with its requirements and avoid any undue safety risks.

F.      Listing of Historical ADs. ADs from the 1940s to the present are now available in electronic format for full text searching on the FAA Web site at www.airweb.faa.gov/rgl. You can also find ADs from the FAA home page (www.faa.gov) by clicking on Airworthiness Directives. Direct questions to any of the following:

Automated Systems Branch (AFS‑520) (202) 267‑3522

Airworthiness Programs Branch (AFS‑610) (405) 954‑6896

AIR‑520 (202) 267‑3682

OPSPEC/MSPEC/LOA A449, ANTIDRUG AND ALCOHOL MISUSE PREVENTION PROGRAM. OpSpec/MSpec A449 is applicable for parts 121, 121/135, and 135 certificate holders, part 91K (fractional owners) program managers, and part 145 repair stations. Inspectors must use LOA A049 for part 91K operators conducting sightseeing operations under § 91.147.

·        The certificate holders, program managers, or operators are responsible for providing the information required by part 121 appendices I and J to the POIs for the issuance of OpSpec/MSpec A449 or MSpec A449, as applicable;

·        OpSpec/MSpec A449 is a “data collection” template and should not be construed as a Flight Standards authorization;

·        Oversight of the actual implementation of the Antidrug and Alcohol Misuse Prevention Program is the function of the Office of Aerospace Medicine, Drug Abatement Division (AAM‑800);

·        When any changes occur, certificate holders and operators are responsible for providing Flight Standards with current information to update and amend A449;

·        Even though the A449 OpSpec or template is for data collection purposes, it should be signed by the certificate holder or operator because they are “certifying” that the information is accurate and that they will comply with the applicable requirements of part 121, appendices I and J; and

·        In the part 91K database, the program manager is certifying that the information is accurate for its Antidrug and Alcohol Misuse Prevention Program.

A.     Applicability. The following must comply with the Antidrug and Alcohol Misuse Prevention Program regulations in accordance with part 121 appendices I and J, and must have OpSpec A449 issued by Flight Standards:

·        All parts 121 and 135 certificate holders; and

·        All part 91K, program managers must have an antidrug and alcohol misuse prevention program. MSpec A449 must be issued indicating where those records are kept.

B.     Issuance. All parts 121 and 135 certificate holders must be issued OpSpec A449.

·        Existing parts 121 and 135 certificate holders must provide the information to their POIs that is required by part 121 appendices I and J for the issuance of OpSpec A449;

·        New parts 121 and 135 certificate holders must have an Antidrug and Alcohol Misuse Prevention Program and OpSpec A449 issued by their POI before beginning operations pursuant to the certificate;

·        The Antidrug and Alcohol Misuse Prevention Program shall be implemented concurrently with beginning such operations;

·        When a part 121 or 135 certificate holder surrenders its certificate or its certificate is terminated, revoked, or suspended, it must discontinue testing under its Antidrug and Alcohol Misuse Prevention Program. OpSpec A449 should be archived when the certificate is no longer in an active status;

·        Part 135 certificate holders must declare whether they have 50 or more safety‑sensitive employees or fewer than 50 safety‑sensitive employees. Whenever the number changes from 50 or more to fewer than 50, or vice versa, the certificate holder must inform the POI and OpSpec A449 would need to be amended; and

·        Certificate holders that operate under parts 121 and 121/135 are required to report testing data annually to the FAA, Office of Aerospace Medicine, regardless of the number of safety‑sensitive employees in their company. Therefore, there is no requirement to declare when the number of their safety‑sensitive employees crosses over or below 50.

C.     Air Tour Operators Under 91K. Part 121 or 135 certificate holders that conduct commercial air tour operations under § 91.147 must be issued a separate LOA from the part 91 database and issued a separate four character identifier. Certificate holders must implement a second drug and alcohol testing program to conduct operations under § 91.147. Even though the same company may be conducting operations under part 135 or 121 and air tour operations under § 91.147, the FAA’s regulations consider the two operations to be separate entities for drug and alcohol purposes. Exemptions to this rule are outlined in § 91.146.

D.    Restriction. No applicable certificate holder or operator shall use a contractor’s employee to perform safety‑sensitive functions who is not subject to its own or a certificate holder’s or operator’s Antidrug and Alcohol Misuse Prevention Program. All new applicable certificate holders and operators must ensure that their contract employees who perform safety‑sensitive functions are subject to an Antidrug and Alcohol Misuse Prevention Program.

E.     Responsibilities. All oversight of the Antidrug and Alcohol Misuse Prevention guidance, inspections, and enforcement activity will be conducted exclusively by the Drug Abatement Division (AAM‑800), Office of Aerospace Medicine. Any and all enforcement actions to be taken for violations of part 121, appendices I and J, and other sections of 14 CFR related to drug and alcohol testing by the aviation industry is the sole responsibility of the Drug Abatement Division. Any indication of possible regulatory violations of these provisions must be referred to the Drug Abatement Division. All questions regarding the Antidrug and Alcohol Misuse Prevention Program must be directed to the Drug Abatement Division.

F.      Part 145 Repair Stations. New and existing part 145 certificate holders may obtain an OpSpec A449 if they opt to have drug and alcohol programs because they perform safety‑intensive functions for an air carrier. Only one OpSpec is required for both the drug and alcohol programs.

1)      OpSpec A449 serves as a verification to the operators (parts 121, 135, 91, and 136) that the repair station performing the maintenance is under an antidrug and alcohol misuse prevention program.
2)      Those certificate holders who operate under § 135.1(a)(5) or 135.1(c)(1) or (2) who do not hold a part 119 certificate and who operate under the provisions of § 91.147 are permitted to use a person who is otherwise authorized to perform aircraft maintenance or preventative maintenance duties and who is not subject to antidrug and alcohol misuse prevention program to perform the following:

·        Aircraft maintenance or preventative maintenance on the operator’s aircraft if the operator would otherwise be required to transport the aircraft more than 50 NM further than the repair point closest to the operator’s principal place of operation to obtain these services, or

·        Emergency repairs on the operator’s aircraft if the aircraft cannot be safely operated to a location where an employee subject to FAA‑approved programs can perform the repairs.

Note:       If the above circumstances do not exist, the repair station must adhere to the regulations found in § 91.147 and part 136.

3)      Since 1988, part 121 appendices I and J have required specified aviation employers to implement drug and alcohol testing programs. Originally, a part 145 repair station submitted an antidrug and alcohol misuse prevention program to the Drug Abatement Division for approval. In 2004, the regulations were changed to allow part 145 repair stations to obtain OpSpec A449 to certify compliance with the regulations. Upon obtaining OpSpec A449, each part 145 repair station is required to implement its testing program under these regulations. The regulations require that each part 119 certificate holder, with the authority to operate under part 121 and/or 135, or sightseeing operation defined under § 91.147, ensure that any individual who performs safety‑sensitive functions (directly or by contract) is subject to testing under the FAA’s drug and alcohol testing regulations.
a)      The operator may choose one of two ways to comply with the regulations:

·        Include individuals performing safety‑sensitive functions from a part 145 repair station under the operator’s own drug and alcohol testing program, or

·        Ensure the part 145 repair stations including the individual performing safety‑sensitive functions are under an FAA‑mandated drug and alcohol testing program.

b)      When a part 145 repair station chooses to implement its own proprietary drug and alcohol testing program, it may choose one of two ways:

·        Obtain OpSpec paragraph A449 in its OpSpecs, or

·        Register a combined drug and alcohol testing program directly with the Drug Abatement Division. “Combined” means a repair station with multiple locations or certificates.

4)      As identified earlier, OpSpec A449 is applicable for part 121, 121/135, or 135 certificate holders, or LOA A049 for part 91 operators conducting sightseeing operations under § 91.147. OpSpec A449 is also applicable to certified part 145 repair station maintenance facilities that perform safety‑sensitive functions for the above‑identified operations and choose to implement their own FAA‑mandated drug and alcohol testing program.
a)      Certificate holders, program managers, or operators are responsible for providing the information required by part 121, appendices I and J, to the PI for the issuance of OpSpec A449 as applicable. When any changes occur, certificate holders and operators are responsible for providing AFS with current information to update and amend OpSpec A449.
b)      The following questions and answers should help:

Table 3‑6B.       Operations Specification A449 Questions and Answers

Question

Answer

Explanation

Is a part 145 certificated repair station required to comply with FAA drug and alcohol regulations?

No

But a part 119 certificate holder, with the authority to operate under parts 121 and/or 135, or sightseeing operation defined under § 91.147, are prohibited from using any contractor or contract employee to perform safety‑sensitive work, unless that individual is subject to testing under a domestic and or FAA drug and alcohol program.

 

 

 

Should I, as a principal maintenance inspector (PMI), ensure a part 145 certificate holder is in compliance with the drug and alcohol testing program regulations?

No

Refer any questions that you or a company might have about program compliance or implementation by a part 145 certificate holder to the Drug Abatement Division, (202) 267‑8442 or at drugabatement@faa.gov.

 

 

 

What oversight responsibility does the POI or PMI have regarding a certificate holder’s requirement to ensure that contractors who perform safety‑sensitive work are subject to the drug and alcohol testing program?

None

All Flight Standards inspectors’ primary responsibilities relating to the drug and alcohol testing regulations are to issue and make changes to an air carrier’s OpSpec A449 or to issue LOA A049 for § 91.147. For any questions, please contact a Drug Abatement manager at (202) 267‑8442 or drugabatement@faa.gov.

5)      When certificating a new part 145 repair station or when providing oversight of an existing part 145 repair station that provides safety‑sensitive functions for parts 121, 121/135, and 135 certificate holders, or part 91 operators conducting sightseeing operations under § 91.147, the PI records or validates the location of the repair station’s antidrug and alcohol misuse prevention program records in OpSpec A449 as described below.
a)      Implementation of proprietary program. If the part 145 repair station certificate holder has elected to implement its own antidrug and alcohol misuse prevention program, record or validate where their antidrug and alcohol misuse prevention program records are maintained and available for inspection by FAA drug abatement compliance and enforcement inspectors by filling out OpSpec paragraph A449, as shown in Figure 3‑67A:

Figure 3‑67A.   Example A449 Table 1 for a Propriety Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records:

 

 

Telephone Number:

A1 (202) 575‑8732

Address:

699 Strander Dr.

Address:

N/A

City:

Tukwila

State:

WA

Zip code:

98899

EXAMPLE: RS101 is a repair station that provides safety‑sensitive functions to a major airline operating in their area. RS101 chooses to implement their own drug and alcohol testing program to cover their safety‑sensitive employees. RS101 contacts their PI and requests an OpSpec paragraph A449 be included in their OpSpecs.

b)      Registered proprietary program. If a part 145 repair station certificate holder has registered its antidrug and alcohol misuse prevention program directly with the Drug Abatement Division of the FAA, record or validate their antidrug and alcohol misuse prevention program records by filling out OpSpec paragraph A449 as shown in Figure 3‑67B:

Figure 3‑67B.   Example A449 Table 1 for a Registered Propriety Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records:

 

 

Telephone Number:

A2

Address:

 

Address:

 

City:

 

State:

 

Zip code:

 

EXAMPLE: RS102 is a corporation or repair station. They have a central location in Kansas City, as well as several outlying repair stations in Denver, Atlanta, and Miami. RS102 chooses to implement their own drug and alcohol testing program, which will include all of their locations. RS102 contacts AAM‑800 to submit a contractor registration, which includes a listing of all the repair stations and locations their program will cover.

c)      Included in air carrier’s program. If the part 145 repair station certificate holder is included as part of the air carrier’s (parts 121, 135, or part 91, § 91.147) drug and alcohol testing program, record or validate their antidrug and alcohol misuse prevention program records by filling out OpSpec paragraph A449 as shown in Figure 3‑67C:

Figure 3‑67C.   Example A449 Table 1 for a Program Included in Air Carrier’s Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records:

 

 

Telephone Number:

A3

Address:

 

Address:

 

City:

 

State:

 

Zip code:

 

EXAMPLE: An air carrier operating under part 121 also maintains a part 145 repair station (RS103). RS103 works solely for that air carrier. The air carrier chooses to implement its drug and alcohol testing program for the part 121 and includes its RS103 employees. RS103 does not implement its own testing program. If RS103 chooses to contract out to a third‑party air carrier, the third‑party air carrier is required to ensure that the employees working for RS103 are subject to an FAA‑mandated drug and alcohol testing program. To do this, the third‑party air carrier must obtain this verification with the part 121 air carrier that includes the RS103 employees under its testing program.

Note:       It is the Drug Abatement Division’s responsibility to ensure that the third‑party air carrier has obtained assurance from the part 121 air carrier that the RS103 employees performing safety‑sensitive functions are subject to testing.

OPSPEC A501, LIABILITY INSURANCE SUSPENSION FOR SEASONAL OPERATIONS.

A.     Liability Insurance Does Not Apply to Certificate Holders With Operating Certificates. Liability insurance coverage and the associated Department of Transportation (DOT) forms (Office of the Secretary of Transportation (OST) Form 6410, U.S. Air Carrier Certificate of Insurance) are an inclusive part of the economic authority required for parts 121 and 135 air carrier certificate holders. This is not applicable to those with operating certificates. 14 CFR part 205, § 205.4(b) states, in part, that “Aircraft shall not be listed in the carrier’s operations specifications with the FAA and shall not be operated unless liability insurance coverage is in force.”

B.     Suspending Liability Insurance for Seasonal Operations. Title 14 CFR part 119, § 119.61(b)(4) provides for the issuance of OpSpec A501, Liability Insurance Suspension for Seasonal Operations, which effectively suspends the air carrier certificate holder’s OpSpecs and requirement for liability insurance for the period of time established in Table 1 of OpSpec A051. The operator cannot use the aircraft during that period of time to conduct operations in air transportation. The POI and the PMI must coordinate this effort.

C.     Circumstances Under Which to Issue OpSpec A501. OpSpec A501 may be issued in order to comply with the requirements of § 119.61, § 205.4(b) and, if the air carrier certificate holder:

·        Does not want to surrender its certificate during nonoperational periods,

·        Requests the issuance of OpSpec A501 in writing, specifying the date it chooses to cease operations and the date it will resume operations,

·        Wants to cancel the liability insurance on all of its aircraft for a period of 60 days or more during the specific period of non‑use, and

·        Completely ceases operations for a period of 60 days or more during the specific period of non‑use.

D.    No Status Change to VIS or OPSS. The status of the air carrier certificate holder’s certificate remains active even though the OpSpecs are in the “suspension” status. Make no status changes to the Enhanced Vital Information Database (eVID) or the OPSS.

E.     Opting to Not Carry Liability Insurance. If the air carrier certificate holder does not want to cease all operations but wants only to reduce the number of aircraft operated for a period of time and not carry the liability insurance for those aircraft, it has two options:

1)      Remove those aircraft completely from its OpSpecs, or
2)      Place those aircraft into long term maintenance or long term storage and issue OpSpec D106, Aircraft in Long Term Maintenance or Storage (reference Volume 3, Chapter 18, Section 6, Parts D and E—Maintenance MSpecs/OpSpecs.

F.      Notification of Suspension of Insurance. The air carrier certificate holder or its insurance company will send notification of the suspension of liability insurance to the appropriate FAA or DOT office as required by part 205, § 205.7(a). (The FAA will record the notification and the red alert clause, “Insurance in a Non‑Compliant State,” will appear at the top of the “Maintain Operations Specifications” window in the OPSS for that certificate holder.) (Use the “Review Insurance Info” selection in the OPSS to view the details of the noncompliance.)

G.    Separate Uses for OpSpecs A501 and D106. At no time will OpSpecs A501 and D106 be active at the same time. These paragraphs are developed as separate provisions for specific needs. (See Volume 3, Chapter 18, Section 6 for guidance on OpSpec D106.)

H.    Start Up Procedures and Rescinding OpSpec A501.

1)      Before the “Re‑Start of Operation” date listed in Table 1 of OpSpec A501, the air carrier must reinstate the required liability insurance. OST Form 6410 must be filed with the appropriate FAA or OST office at least 5 days prior to the “Re‑Start of Operation” date listed in Table 1 of the OpSpec.
2)      PIs should verify with AFS‑260 (for air taxi operators), AAL‑230 (for Alaskan air carriers), and OST‑X‑56 (for DOT certificated and commuter carriers) that the air carrier has filed evidence of liability insurance coverage as required by 14 CFR part 205 and that it otherwise continues to hold the necessary economic authority to resume operations.
3)      See Volume 6, Chapter 2, Section 38, Evaluate a Part 121/135.411(a)(2) Operator Aircraft Storage Program, paragraph 6‑1048, OpSpec D106, Aircraft in Long Term Maintenance or Storage for additional guidance in regard to liability insurance.
4)      OpSpec A501 must be rescinded and archived in the OPSS. Again, make no changes to the VIS or the OPSS for the certificate status. When the required liability insurance documentation is received by AFS‑260, the red alert clause will be removed for that certificate holder. See Volume 3, Chapter 18, Section 2, Automated Operations Safety System (OPSS), paragraph 3‑718, OPSS Liability Insurance Subsystem, for information regarding the alert clause.
5)      The principal inspector must review the recency requirements of § 119.63 for the air carrier certificate holder and reexamine as necessary prior to the start of the seasonal operations.

OPSPEC A502, AIR CARRIER MERGER AND/OR ACQUISITION.

A.     General. OpSpec A502 is provided to specifically address conditions that must be met by the operator during the transition process. Fields are provided to outline specific conditions that must be met by the operator in order to continue operations during the transition period. These fields are (1) General, (2) Operations, and (3) Airworthiness.

B.     Description of Fields. After the transition team reaches consensus on the transition plan, primary conditions provided in the plan should be entered in the appropriate field by the PI responsible for that area.

1)      General. Principal inspectors (PI) of either specialty may use the General field to identify conditions that do not belong specifically to operations or airworthiness. Examples include station personnel training, flight numbering, and administrative department functions (such as reservations and sales).
2)      Operations. The Operations field is provided to identify specific operational conditions. There are three areas that should be addressed in the Operations field. They are Operational Control, Training and Qualification, and Other.
a)      Operational Control. Operational control fields identify which air carrier will assume operational control responsibility over the combined operation and the date that transfer is planned to take place. If the change over is to be phased in over a period of time, such as by fleet, enter appropriate milestones here. Milestones listed in this field must correlate with the same milestones in the transition plan.
b)      Training and Qualification. Training and qualification fields identify planned dates crewmember training and qualification will be completed. If two or more fleets will be phased in over different time periods, enter the fleet types and their associated training and qualification date milestones in the free text fields provided. Include training plans for dispatchers and flight followers here, as well. Milestones listed in this field must correlate with the same milestones in the transition plan.
c)      Other. This field is provided for other operations milestones not addressed in Operational Control or Training and Qualification. Examples include manual revisions, computer system support, and record keeping.
3)      Airworthiness. The Airworthiness field is provided to identify specific conditions that apply to airworthiness. List maintenance program manual milestones in this field. Identify training and qualification of mechanics and inspectors here, as well. Major milestones outlining the transition of maintenance responsibilities and record keeping are appropriate for this field.

OPSPEC A570, ONE YEAR EXTENSION OF COMPLIANCE TIMES IN SECTIONS 121.1117(E) AND 129.117.

A.     Applicability.

1)      Except as provided in paragraph C below, OpSpec A570 can only be issued to part 121 certificate holders or part 129 foreign air carriers/foreign persons with U.S.‑registered airplanes who notified their PI or CHDO of their intention to use the relief specified in §§ 121.1117(k) or 129.117(k) before March 29, 2009 and who then applied for OpSpec A570 before June 24, 2009. OpSpec A570 is time‑limited and will expire on December 26, 2018.
2)      OpSpec A570 applies to transport category turbine‑powered airplanes with a TC issued after January 1, 1958, that, as a result of original type certification or later increase in capacity have a maximum TC’d passenger capacity of 30 or more, or a maximum payload capacity of 7,500 pounds or more. This authorization does not apply to the airplanes listed in §§ 121.1117(m) and 129.117(k). Specifically, it applies to the airplanes listed in Table 3‑23A.

Table 3‑23A.     Airplanes Which Require Ground Air Conditioning Systems

Boeing

Airbus

737 series

A318, A319, A320, A321 series

747 series

A300, A310 series

757 series

A330, A340 series

767 series

 

777 series

 

3)      OpSpec A570 is used to extend the compliance dates in §§ 121.1117(e) and 129.117(e) by one year. In order to be eligible for the extension, a certificate holder or foreign air carrier/ person must have notified their PI or CHDO before March 29, 2009, of its intention to use ground air conditioning systems on its applicable airplanes in accordance with §§ 121.1117(k)(2) and (3) and 129.117(k)(2) and (3), and the certificate holder or foreign air carrier/person must have applied for OpSpec A570 by June 24, 2009. With the issuance of this OpSpec, the compliance date specified in §§ 121.1117(e)(1) and 129.117(e)(1) is extended to December 26, 2015 and the final compliance date is extended to December 26, 2018.

B.     Issuing OpSpec A570. OpSpec A570 is the joint responsibility of the POI and the PMI. Before issuing OpSpec A570. The office manager of all affected CHDOs, CMOs, IFOs, and IFUs should bring this guidance to the attention of the principal inspectors of any operator who has applied for this OpSpec and ensure that it is properly issued.

1)      The PMI must ensure that the certificate holder’s manual required by § 121.133 (for part 121) or maintenance program (for part 129) includes a listing, by N‑registration number and fleet type, of those airplanes in the certificate holder’s fleet that ground conditioned air systems applies to. That listing should be identical to the operator’s Flammability Reduction Means (FRM)/Ignition Mitigation Means (IMM) retrofit listing that is provided to the CHDO. As airplanes are retrofitted they should be removed from the list.
2)      The POI must ensure that the certificate holder’s manual required by § 121.133 (for part 121) or equivalent manual for part 129 includes a requirement for the airplanes in this listing to use ground air conditioning systems for actual gate times of more than 30 minutes, when available at the gate and operational, whenever the ambient temperature exceeds 60 degrees Fahrenheit.
3)      The office manager will determine which principal inspector will sign OpSpec A570 and ensure that it is issued.

C.     Certificate Holders Certificated After December 26, 2008. A certificate holder or foreign air carrier/person for which an operating certificate is issued after December 26, 2008, and that has notified their PI or CHDO of its intention to use ground air conditioning systems on its applicable airplanes (see Table 3‑23A above), the compliance date specified in § 121.1117(e) may be extended by one year, provided that the certificate holder meets the requirements of §§ 121.1117(k)(2) or 129.117(k)(2) when its initial OpSpecs are issued and, thereafter, uses ground air conditioning systems as described in § 129.117(k)(2) on each airplane subject to the extension. OpSpec A570 must be approved by the PMI, using the guidance above, concurrent with the initial OpSpecs.

TEMPLATE A999, AIR OPERATOR CERTIFICATE (AOC) IN THE INTERNATIONAL CIVIL AVIATION ORGANIZATION (ICAO) FORMAT.

A.     Annex 6 Requirements. Annex 6 to the Chicago Convention requires air operators to carry onboard their aircraft a standardized, certified true copy of their AOCs when operating internationally. See the following ICAO Web site for more information: http://www.icao.int/fsix/_Library/Annex%206‑Part%20I%20‑%20AOC%20Template%20en.pdf. Template A999 is applicable to part 121 and 135 air carriers.

B.     Federal Aviation Administration (FAA) Role. To enable certificate holders to fulfill this ICAO requirement, the FAA made an ICAO standardized AOC available as Template A999 in the Web‑based Operations Safety System (WebOPSS). (See Figure 2‑9A in Volume 2, Chapter 1, Section 4 for a sample of Template A999.) Much of the data contained in the AOC will be preloaded from WebOPSS. The principal operations inspector (POI) or the certificate holder must enter some of the data. This standardized ICAO AOC is in addition to the FAA Operating Certificate or Air Carrier Certificate. For compliance with Annex 6, certificate holders must carry this ICAO AOC onboard their aircraft when operating internationally.

C.     Specific Guidance for Issuing Template A999. For specific guidance on issuing Template A999, see Volume 2, Chapter 1, Section 4, Preparation of Federal Aviation Administration Operating Certificates, paragraph 2‑74.

RESERVED. Paragraphs 3‑738 through 3‑751.


VOLUME 3 GENERAL TECHNICAL ADMINISTRATION

Indicates new/changed informationCHAPTER 32  MANUALS, PROCEDURES, AND CHECKLISTS FOR 14 CFR PARTS 91K, 121, 125, AND 135

Section 4 General Operations Manuals for Parts 121 and 135

3-3201       GENERAL. This section contains information, direction, and guidance that principal operations inspectors (POI) should use in the evaluation of an operator’s General Operations Manual (GOM). The operator’s GOM is a segment of the operator’s general manual system. Title 14 of the Code of Federal Regulations (14 CFR) part 121, § 121.133 and 14 CFR part 135, § 135.21 require that each operator prepare and keep current a manual. The Federal Aviation Administration (FAA) requires that the GOM contain guidance for flight, ground, and management personnel during the conduct of the operator’s operations.

3-3202       CONTENT OF GOMs. Sections 121.135 and 135.23 specify topics that an operator’s GOM must address. The operator’s GOM must contain the duties and responsibilities for each category of employee. This manual must also provide sufficient policy, direction, and guidance to its employees for the safe and efficient performance of their duties. In addition, an operator’s GOM must address the policies, systems, and procedures necessary to comply with operations specification (OpSpec) provisions and safe operating practices. This section contains discussions of selected topics that POIs should look for when evaluating an operator’s GOM, and which the operator’s initial and final compliance statements may require (see Volume 2, Chapter 4, Section 1, paragraph 2‑348 for part 135 certification compliance statement information).

Note:       The requirement to develop a GOM does not apply to a part 135 single‑pilot operator or a part 135 operator issued an exemption to § 135.21 by OpSpec A005 (see Volume 2, Chapter 4, Section 6, paragraph 2‑460.).

3-3203       OPERATOR MANAGEMENT STRUCTURE. When evaluating an operator’s GOM, POIs must ensure that the GOM includes the operator’s management structure and that it meets the following guidelines:

A.     Management Structure. The GOM must contain a description of the operator’s management structure as it pertains to flight operation activities. Organizational entities, areas of responsibility, and titles of key management positions must all be identified. The POI must ensure that the Director of Operations (DO) is responsible for, and has the authority to direct, all operational functions. Furthermore, the FAA requires POIs to ensure that the chief pilot, as well as all operational and support personnel (i.e., training managers and dispatchers), and those persons in the certificate holder’s operations organization who are in a position to exercise control over operations ultimately report to and are accountable to the DO. Additionally, procedures should be in place that ensure proper coordination between flight operations management and aircraft maintenance management concerning aircraft airworthiness status and maintenance release. Organizational charts and diagrams may be useful in showing the relationship between operational units within the company.

B.     Names of Management Personnel. The GOM must list the names of the individuals filling required management positions. An acceptable way for the operator to meet this requirement is to include a copy of its OpSpecs in the manual. The FAA may approve management structures and titles different from those specified by 14 CFR part 119, §§ 119.65 (for part 121) and 119.69 (for part 135) by granting a deviation to these regulations (see Volume 3, Chapter 18, Section 3, OpSpecs A005 and A006 for further guidance). When the FAA grants such a deviation, list it in OpSpec A005 along with the names and titles of the approved management positions listed in OpSpec A006.

3-3204       AUTHORIZED OPERATIONS. When evaluating an operator’s GOM, POIs must ensure that the operator’s GOM meets the following authorization guidelines:

A.     Clear Descriptions of Authorized Operations. Per § 121.33, the GOM must contain clear descriptions of the types and kinds of operations that the operator should conduct. The GOM must prohibit those operations that a flightcrew could possibly conduct but which the OpSpecs specifically prohibit the operator from conducting. The GOM must contain information on the authorized areas of en route operation in which the operator may conduct flights, including the types of aircraft authorized, crewmember complements, and any special en route and instrument approach procedure (IAP) authorizations or requirements. One way an operator may describe the types and kinds of authorized and prohibited operations is to include a copy of the operator’s OpSpecs in the GOM. Since the OpSpecs address a variety of situations and are not easily understandable as they apply to specific operational circumstances, POIs should encourage operators to extract the applicable information and incorporate it in the GOM. Also, the operator should include clearly written direction and guidance on how to comply with authorizations and limitations. It is acceptable for operators to contract a charting and publishing service (such as Jeppesen Sanderson, Inc.) to prepare manual material concerning these authorizations and limitations. In these cases, consider the charting and publishing service’s product to be a part of the operator’s GOM. POIs must review this portion of the operator’s GOM as well as all other portions.

B.     Flight Operations Policies, Methods, and Procedures. Either the GOM, a section of the GOM such as a Flight Operations Policy Manual (FOPM), or a Company Flight Manual (CFM) (see Volume 3, Chapter 32, Section 1 for a definition of CFM) may contain flight operations policies, methods, and procedures. When an operator operates a variety of aircraft, it may be preferable to publish the flight operations policies, methods, and procedures that are common to all aircraft in the GOM instead of each CFM. Crewmembers are required to comply with the flight operations policies, methods, and procedures, regardless of whether they are in the GOM or the CFM. Therefore, flight operations policies, methods, and procedures should be written in directive language and provide specific operational criteria. An example of a flight operations policy statement that does not provide a clear directive or specific operational criteria is the following: “Use caution when arriving or departing a terminal area when thunderstorms are present.” An example of a flight operations policy statement that is clearly a directive and provides specific operational criteria is: “Takeoffs and landings shall not be attempted when thunderstorms are within 3 miles of the airport or the path of takeoff or arrival.”

3-3205       WEIGHT AND BALANCE (W&B) PROCEDURES. When evaluating an operator’s GOM, POIs will ensure that an operator includes their W&B procedures in the operator’s GOM and that they meet the following guidelines:

A.     Placement of W&B Procedures. Each type of airplane the operator uses may require a separate W&B procedure. In such cases, it may be appropriate for the operator to place the W&B procedure flightcrews need in the CFM and the procedures other flight operations personnel need in sections of the GOM. If the operator develops a single W&B procedure for all aircraft operated, it may be appropriate for the operator to place the procedure that flightcrews and other flight operations personnel need in the GOM. Operators may develop their own W&B procedures or use the procedures that aircraft manufacturers furnish. POIs should recommend the current editions of the following documents to the operator:

·        FAA‑H‑8083‑1, Aircraft Weight and Balance Handbook;

·        Advisory Circular (AC) 43.13‑2, Acceptable Methods, Techniques, and Practices—Aircraft Alterations; and

·        AC 120‑27, Aircraft Weight and Balance Control.

B.     Approval of W&B Procedures. OpSpecs A011, A096, A097, A098, A099, and E096 grant the approval of W&B procedures. The POI will have primary responsibility for authorizing the operations that approve actual, average, or segmented passenger and baggage weights outlined in OpSpecs A011, A096, A097, A098, and A099, and the principal maintenance inspector (PMI) will issue OpSpec E096, which permits the use of actual or average aircraft fleet weights.

C.     Carry‑On Baggage/No‑Carry‑On Baggage Programs. Volume 3, Chapter 18, Section 3 provides the guidance necessary for approving OpSpec A011, authorizing the use of a carry‑on baggage program or a no‑carry‑on baggage program for operations conducted under 14 CFR parts 91 subpart K (part 91K),  121, 125, and 135.

D.    Additional Guidance for Issuing OpSpecs. Volume 3, Chapter 18, Section 3 provides additional guidance for issuing these OpSpecs. AC 120‑27 provides additional information that will assist the POI in approving an operator’s W&B control program. An operator may reference the OpSpecs in the GOM; however, the operator may not use the reference instead of a detailed description of the procedures flight operations, ground handling, and flightcrew personnel need. POIs must ensure that the information and guidance in the operator’s GOM is consistent with that in the General Maintenance Manual (GMM). The W&B procedures described in the operator’s manuals should normally address the following topics:

1)      Procedures for complying with W&B limitations for each type of aircraft;
2)      For part 135 operators that operate multiengine aircraft, procedures for ensuring that the empty weight and center of gravity (CG) of each multiengine aircraft is determined by actually weighing the aircraft within the preceding 36 months;
3)      Procedures for determining the weight of passengers, crew, cargo, and baggage;
4)      Procedures for making the CG calculations, including loading schedules or other approved methods, if applicable;
5)      Procedures for the completion and disposition of load manifests and W&B records; and
6)      Procedures for loading the aircraft.

3-3206       OPERATIONAL CONTROL. When evaluating an operator’s GOM, POIs must ensure that an operator’s operational control procedures are included. The GOM must include descriptions of the procedures, duties, and responsibilities of flightcrew, operational control, and management personnel. Furthermore, the GOM must contain staffing requirements for operational control personnel during the periods of time that flights are operational. When a training and qualification document does not contain training and operational control requirements for operational control personnel, the GOM must list the requirements. The POI must ensure that the operator’s GOM meets the following requirements:

A.     Part 121 Domestic and Flag Operations. The description of the operational control system that part 121 operators use for conducting domestic and flag operations must be comprehensive. The GOM must contain flight dispatch procedures as well as flight‑watch procedures. The GOM must also contain a detailed outline of the interrelation of flight dispatch, crew scheduling, and airworthiness control. The GOM must address the communication facilities for operational control purposes, procedures with air traffic control (ATC), and methods for handling delayed flights. The GOM must also cover procedures used during adverse weather conditions and for discontinuing flight in unsafe conditions. If the operator conducts unscheduled flights under supplemental regulations, the operator must outline the procedures used (see Volume 3, Chapter 25, Section 2 for more detailed information on flight dispatch systems).

B.     Part 121 Supplemental Operations. The description of the operational control system that part 121 operators who conduct only supplemental operations use must contain the flight release and flight‑watch procedures that flightcrew, operational control, and management personnel use. The operator must outline the interrelation of flightcrews, persons authorized to release flights, and airworthiness control personnel. The GOM must also cover the communication facilities and the procedures for using these facilities. GOMs must contain procedures for adverse weather conditions and for discontinuing flight in unsafe conditions. Section 121.125(d) requires that the OpSpecs specify the flight‑following system and the location of the flight‑following centers. OpSpec A008 is allocated to authorize this type of operational control system. If the GOM contains a comprehensive description of the system, only reference that GOM section in OpSpec A008 (see Volume 3, Chapter 25 for more detailed information on flight‑following systems).

C.     Part 135 Operations. As a minimum, the description of the operational control system used by part 135 operators must contain a list of the names and titles of the personnel who the operator authorizes to exercise operational control. If the operator does not establish a flight‑watch system, the GOM must contain directions to flightcrews for filing an FAA flight plan for each flight conducted. If the operator establishes a flight‑watch system, the GOM must contain an outline of the procedures that provide the operator with at least the information included in a visual flight rules (VFR) flight plan for each flight operated. The GOM must also contain an outline of the procedures that provide the operator with information on the location, date, and estimated time for reestablishing radio or telephone contact when conducting flights in areas where such communications cannot be maintained with the operator. The flight‑locating system must also be provided for timely notification to an FAA facility and search and rescue facility when an aircraft is overdue or missing. The GOM will also contain a description of the procedures for retaining flight location information until a flight is complete. If a part 135 operator uses a flight control system that is more sophisticated than the basic requirements of the regulation, the GOM will contain a description of the system and procedures actually used (see Volume 3, Chapter 25 for more detailed information on part 135 flight control systems).

Note:       For additional guidance, see Volume 3, Chapter 25, Section 1 and Volume 6, Chapter 2, Section 22.

3-3207       FLIGHT PLANNING. When evaluating an operator’s GOM, POIs will ensure that an operator includes their flight planning procedures. The direction and guidance for flight planning must be comprehensive and address the responsibilities of both flight control and flightcrew personnel. The GOM must contain a discussion of weather minimums, special airports, and other special requirements such as driftdown, rerelease, and diversion contingencies. Some operators may elect to place the flight planning procedures in the CFM and the operational control procedures in a dispatch or flight control user manual.

3-3208       NOTICES TO AIRMEN (NOTAM) AND PILOT WEATHER REPORTS (PIREP). When evaluating an operator’s GOM, POIs will ensure that the operator includes procedures for the acquisition of NOTAMs and PIREPs and for the distribution of these NOTAMs and PIREPs to applicable personnel. The GOM should also contain a description of the procedures for obtaining applicable NOTAMs that are only distributed to a local area.

3-3209       RESTRICTED OR SUSPENDED OPERATIONS. The regulations require operators knowing of conditions that preclude safe operations (including hazardous airport and runway conditions) to restrict or suspend operations until those conditions change. POIs must evaluate an operator’s GOM to ensure that it contains a description of the procedures for employees to follow should they become aware of such conditions.

3-3210       Indicates new/changed information.INTERNATIONAL OPERATIONS. For an operator that conducts international operations, POIs must evaluate the operator’s GOM to ensure that it includes pertinent and necessary flight control information. In the GOM, the operator should place particular emphasis on fuel and performance requirements, communications, weather reports and forecasts, flight planning, and any specialized means of navigation. POIs should refer operators to the current editions of the following ACs concerning international operations:

·        AC 91‑70, Oceanic and International Operations;

·        AC 91‑49, General Aviation Procedures for Flight in North Atlantic Minimum Navigation Performance Specifications Airspace; and

·        Indicates new/changed informationAC 120‑33, Operational Approval of Airborne Long‑Range Navigation Systems for Flight within the North Atlantic Minimum Navigation Performance Specifications Airspace.

3-3211       OBSERVER’S SEATS. POIs should ensure that the operator’s GOM includes the requirement that the operator must provide an observer’s seat (jump seat or passenger seat) to FAA inspectors and other specified personnel. Usually, operators assign the authority to control the use of these observer’s seats to a flight control department. Gate agents and passenger handling personnel must also be aware of these requirements. Crewmembers must also be aware of the procedures to be used for observer seat assignments. The GOM must include information to comply with §§ 121.547, 121.548, 121.581, and 135.75, such as the following:

A.     Priorities of FAA inspectors, National Transportation Safety Board (NTSB) personnel, Secret Service agents, crewmembers, manufacturer’s technical representatives, and other personnel. The FAA has second priority after Secret Service when they are protecting someone on the flight;

B.     Methods for ensuring that no more than one person is assigned to a jump seat at any particular time; and

C.     Procedures for disseminating jump seat assignments to other stations.

3-3212       LINE STATION OPERATIONS. Line station operations are those activities the operator’s personnel performs (or other personnel for the operator) to originate, turn around, or terminate flights the operator conducts. For an operator that conducts line station operations, POIs must evaluate the operator’s GOM to ensure that it includes the necessary information on the various topics that follow:

A.     Line station operations should include the use of the following types of facilities and equipment:

1)      Ramp areas, including markings, signs, signaling devices, lighting, and blast fences;
2)      Ramp facilities and equipment, such as passenger and cargo boarding and deplaning equipment (towing, refueling, catering, and ground power equipment);
3)      Crewmember meeting areas, facilities for crewmember flight planning (preparation for flight), and postflight activities; and
4)      Ground station personnel work areas and facilities, communications equipment, and administrative support.

B.     Inspectors must ensure that an operator’s GOM contains the policies, procedures, and guidance the personnel needs to support the operator’s flight operations at line stations. This manual material must include those situations in which the operator maintains line stations, as well as situations in which the operator contracts for or purchases line station support. This type of material is usually within various user manuals, such as ground station operations and maintenance manuals, passenger service manuals, facilities and equipment manuals, fueling manuals, and other special types of manuals. An operator may format and organize this type of manual material in a manner that is most consistent and usable for the operator’s kind and type of operation. Regardless of the format and organization, however, consider this type of manual information to be GOM material. The following are examples of the types of information that manual material concerning line stations operations should address:

1)      Duties and Responsibilities. The GOM or GMM, as appropriate, must contain an outline of the duties and responsibilities of line station supervisory personnel. The types of positions that the GOM or GMM should address include the following: ground station operations personnel, passenger handling agents, cargo and baggage handling personnel, and aircraft servicing personnel (when not addressed in the GMM). When an operator contracts for, or purchases line station support, the GOM or GMM, as appropriate, must detail the procedures the personnel use providing the support.
2)      Passenger Handling and Protection. The GOM must contain procedures and guidance for ensuring the safety of passengers during line station operations. The following are examples of passenger handling and protection subjects that the GOM must address:
a)      Procedures for passenger boarding and deplaning;
b)      Procedures for use of jetways, passenger boarding stairs, air stairs, and other types of passenger boarding equipment;
c)      Procedures to ensure the safety of passengers on the ramp, including restricting ground equipment and vehicle operation on ramps and directing passengers to and from aircraft, around equipment, and to painted pathway lines on the ramp;
d)      Procedures and guidance for protecting passengers from jet intake and blast, rotating and static propellers and rotors, ice on the ramp and boarding equipment, and tripping hazards;
e)      Procedures for prohibiting smoking in no‑smoking areas;
f)        Procedures for assisting and ensuring the safety of handicapped persons;
g)      Procedures for handling intoxicated, hostile, or unruly persons;
h)      Procedures for handling and controlling carry‑on baggage;
i)        Procedures for exit seating; and
j)        Procedures for identifying and handling hazardous materials (hazmat).
3)      Aircraft Servicing and Ramp Operations. The GOM and GMM must contain detailed safety procedures and guidance on servicing and maintaining aircraft during line station operations. These manuals should also contain instructions on the maintenance and use of ramp areas. The following are examples of procedures for aircraft servicing and ramp operations that the GOM should address:
a)      Procedures for the safety and protection of personnel working on the ramp;
b)      Procedures and/or guidance for the maintenance and catering of aircraft, with or without passengers onboard;
c)      Procedures for fueling aircraft with or without passengers onboard, including any requirements for crewmembers to be onboard during fueling, or prohibitions against positioning fuel trucks next to open exits with passengers onboard;
d)      Procedures for operating ground equipment, including the capabilities and limitations of the equipment, and the training and qualification of persons using the equipment;
e)      Procedures and guidance for properly locating and stowing ground equipment;
f)        Procedures for the operation of aircraft cargo doors, baggage and cargo loading, closing and checking the security of doors;
g)      Procedures for foreign object damage (FOD) control and periodically inspecting ramp areas;
h)      Procedures for adverse weather conditions such as thunderstorms, high winds, or low visibility; and
i)        Procedures for the inspection and removal of frost, ice, snow, or standing water.
4)      Hot and Cold Weather Operations. POIs should evaluate an operator’s GOM to ensure that it (as well as the GMM) contains detailed procedures and guidance on hot and cold weather operations, including the following:
a)      Procedures for the inspection of ramps for accumulation of frost, ice, snow, or standing water;
b)      Precautions for the operation of vehicles and equipment;
c)      Restrictions and cautions on aircraft movements; and
d)      Restrictions and cautions for the protection of passengers and ramp personnel.
5)      Deicing Procedures. The operator should clearly delineate aircraft ground deicing procedures. While such procedures are usually in the GMM, the operator’s GOM must contain the following types of information concerning deicing for crewmembers, ground operations, and management personnel:
a)      Assignment of responsibility for ensuring that aircraft is clear of frost, ice, and snow accumulation;
b)      Conditions that require aircraft ground deicing;
c)      Procedures to ensure the effectiveness of deicing, including the frequency of applications, proper fluid mixtures, and tactile or close visual checks of selected portions of critical surfaces;
d)      Parts of the aircraft to deice, including a description of the critical surfaces of the aircraft the operator uses;
e)      Locations on the ramps or airports where deicing will be conducted;
f)        Engine auxiliary power unit (APU) and ground equipment operation during deicing;
g)      Passenger and ramp personnel protection during deicing;
h)      Procedures contract personnel use when the operator contracts for deicing services;
i)        If applicable, a complete description of the elements of the operator’s ground deicing/anti‑icing program and the procedures required to operate under that program; and
j)        If applicable, a complete description of the ground deicing/anti‑icing operational procedures that the operator uses to comply with §§ 121.629 and 135.227.
6)      Aircraft Movement in the Ramp Area. POIs must ensure that the operator carefully coordinates their procedures and guidance for the movement of aircraft in the ramp area between the operator’s GOM and GMM (or appropriate user manuals). The definitions of signaling devices, signs, and ramp markings (such as taxi lines, stop lines, boundary and clearance lines) must be the same, and both crewmembers and ground handling personnel must mutually understand them. The GOM (or an applicable user manual) must provide specific procedures for engine start, pretaxi pushback, powerback (if approved), taxi‑out, taxi‑in, and parking while in the ramp area. Communication procedures for ground handling personnel and crewmembers must be thoroughly coordinated. POIs must ensure that the interphone terminology and hand signals ground handling personnel and crewmembers use have the same meaning. The need for common terminology and hand signals is also important for crewmembers and passenger handling agents. The GOM and GMM (or appropriate user manuals) should provide illustrations of standard hand signals and their meanings. The appropriate manuals must describe the training and qualification requirements of personnel authorized to move aircraft on the ramp or on the airport. For example, when an operator is approved to powerback, the GOM must contain specific procedures for those operations for each authorized airport and gate. Crewmembers and ground handling personnel must thoroughly coordinate powerback communications and hand signals.
7)      Line Station Emergency Procedures. POIs must ensure that the operator’s GOM and GMM contain procedures used by crewmembers or ground personnel in case of emergency situations during line station operations. Line station emergency procedures must contain the specific duties and actions of appropriate personnel. This type of manual material must also include notification procedures and requirements. The notification procedures and requirements should contain specifications as to who to notify, who will make the notification, how to make the notification, and when to make it for the various types of emergency situations that could occur at line stations. Usually this type of manual material should also include a quick reference telephone listing for obtaining firefighting and medical assistance, and for notifying appropriate company management, law enforcement officials, and FAA and NTSB officials. Line station emergency procedures should be published in a distinct section of the GOM or GMM so that they are easily accessible. For large, complex operators, line station emergency procedures are usually published as a manual under separate cover to ensure rapid accessibility. Operators should publish a line station emergency procedures manual for each station because of the uniqueness of each line station. POIs should encourage this as a preferred practice. Line station emergency procedures should cover the following types of situations:
a)      Aircraft accidents and incidents (POIs should encourage operators to develop guidance for ground personnel providing passenger lists to aid in handling passengers and accounting for all passengers immediately after a survivable type accident. Handling passengers includes actions such as providing suitable transportation for injured passengers to locations where medical assistance can be obtained.);
b)      Bomb threats, hijack procedures, and other types of security incidents;
c)      Fuel spills and hazmat mishaps;
d)      Procedures for postflight handling of passenger injury, illness, or incidents involving passenger altercations and interference with crewmembers;
e)      Employee/passenger accidents and injuries;
f)        Adverse weather conditions, such as tornadoes and hurricanes or other adverse conditions such as earthquakes (if such conditions are likely to occur at the operator’s line stations);
g)      Emergency evacuation of aircraft while parked (This should include procedures for both the flightcrew and Flight Attendants (F/A) to activate the aircraft emergency lighting systems during an emergency evacuation, regardless of the perceived ease with which an evacuation can be accomplished, and passenger egress procedures for crewmembers and other operations personnel. These procedures should include the requirement that whenever passengers are onboard the aircraft before airplane movement on the surface, at least one floor‑level exit must be usable for the egress of passengers through normal or emergency means.);

1.      Aircraft Rescue and Fire Fighting (ARFF) emergency notification procedures while parked; and POIs will encourage their assigned operators to develop explicit ARFF emergency notification procedures for crewmembers and other operations personnel to employ in the event of an emergency occurrence on their aircraft while they are parked.

2.      ARFF notification procedures apply to situations where ARFF equipment is both on and off airports. These procedures should include information concerning:

·        Whom to notify (such as airport fire department, airport control tower, or alternate facility if control tower is closed).

·        The means of notification (such as jetway telephone, including ARFF telephone numbers, and aircraft radio communication system, including ARFF radio frequencies).

·        The persons by job title whom the operator determines will implement notification procedures in the event of an emergency occurrence on the operator’s aircraft.

h)      For passenger‑carrying operations, if the operator’s ARFF procedures require its crewmembers to implement these procedures, then the operator should include the following guidance: In the event of an aircraft fire or other emergency scenario involving aircraft evacuation, the first actions of crewmembers and/or other personnel qualified in accordance with § 121.391(a) should be to initiate the evacuation of the aircraft occupants. Once the crew determines the evacuation of all aircraft occupants, the crewmembers can then initiate the ARFF emergency notification procedures.
8)      Contract Services. POIs must ensure that the GOM and GMM, as appropriate, contain policy and guidance concerning the interrelationship between the operator’s personnel and the personnel of organizations who provide contract services at line stations. Contractor personnel are required to be trained on operator‑specific procedures. The appropriate manual must contain the specifications for the following: the types of training given to contractor personnel, who is responsible for providing the training, and who is responsible for keeping records of the training. Although the contractor may be delegated this responsibility, the operator has final responsibility.
9)      Trip Records. POIs must ensure that the operator’s GOM contains policies, procedures, and guidance concerning the preparation and disposition of trip records at line stations. Trip records include documents such as dispatch and flight releases, flight plans, weather, NOTAMs, oceanic plotting charts, load manifests, and W&B documents. The manual material must specify who is responsible for preparing the trip records, the coordination activities that must be accomplished during the trip record preparation process, and the intermediate and final disposition of the trip records. The POI must ensure that the policies, procedures, and guidance in this manual material consistently contain accurate information for crewmembers and flight operational control personnel.
10)  Local Conditions at Line Stations. Personnel at line stations have immediate access to and knowledge of various conditions and activities that could affect flight operations at those line stations. Examples of local conditions and activities include the following: weather conditions, runway and taxiway conditions, airport construction activities, and new obstacles observed in the airport takeoff flightpaths. As such, inspectors must ensure that an operator’s GOM contains instructions and procedures so that line station personnel can provide the operator with local condition reports. This manual material must contain clear instructions about the circumstances in which line station personnel are authorized to suspend or delay flight operations.

3-3213       PASSENGER BRIEFING PROCEDURES. POIs must ensure that the operator’s GOM or flight manual, as appropriate, specifies the procedures to be used for pretakeoff, en route, and post‑landing briefings of passengers. Operators who use F/As may publish F/A user manuals as sections in their GOMs. The GOM or F/A user manual must contain the briefings to be given. Passenger briefing cards must be used to supplement the oral briefings. These passenger briefing cards must depict all of the required items that the oral briefings addressed. The current edition of AC 121‑24, Passenger Safety Information Briefing and Briefing Cards, contains guidance on passenger safety information and briefing cards.

3-3214       RAPID REFUELING OF HELICOPTERS. Inspectors should consider the following requirements when evaluating an operator’s procedures for the rapid refueling of helicopters with and without passengers onboard.

A.     Refueling Procedures. Operators may need to conduct operations such as the refueling of a helicopter with the engine running, rotors turning, or with passengers onboard. Before conducting such operations, the operator must develop procedures acceptable to the POI and publish these in the operator’s GOM. The operator must train and qualify all applicable personnel in these procedures before conducting such operations.

1)      Only turbine engine helicopters using fuels that have a flash point equal to or greater than JET A or JET A‑1 fuels should be fueled while an engine is operating.
2)      Helicopters being refueled while an engine is operating should have all sources of ignition of potential fuel spills located above the fuel inlet port(s) and above the vents or tank openings. Sources of ignition include, but are not limited to, engines, exhausts, APUs, and combustion‑type cabin heater exhausts.
3)      The operator should only permit helicopter fueling while engines are operating under the following conditions:
a)      An FAA‑certificated helicopter pilot should be at the aircraft controls during the entire fuel servicing process.
b)      Passengers should be offloaded to a safe location prior to rapid refueling operations. When the pilot in command (PIC) deems it necessary for passengers to remain onboard for safety reasons, the provisions of subparagraph 3‑3214B. should apply.
c)      Passengers should not load or offload during rapid refueling.
d)      Only designated personnel, properly trained in rapid refueling operations, should operate the equipment. Written procedures should include the safe handling of the fuel and equipment.
e)      All doors, windows, and access points allowing entry to the interior of the helicopter that are adjacent to, or in the immediate vicinity of, the fuel inlet ports should be closed and should remain closed during refueling operations.
f)        Before placing fuel into the helicopter, the helicopter should be bonded to the fuel source to equalize static electricity between the fuel source and the aircraft.

Note:       Grounding of the aircraft and/or fuel truck is no longer recommended because it does not prevent sparks at the fuel source, and the grounding cable may not be sufficient to discharge the electrical current.

g)      Fuel should be dispensed into an open port from approved deadman‑type nozzles, with a flow rate not to exceed 10 gallons per minute (38 liters per minute), or it should be dispensed through close port pressure fueling ports.
h)      An appropriate type fire extinguisher of an appropriate size for the refueling operation must be within easy reach of the refueling personnel at all times during rapid refueling operations.

B.     Evacuation Procedures. An operator’s refueling policies and procedures should include any special considerations for the evacuation of passengers in case of emergencies. Inspectors should consider the following requirements when evaluating an operator’s procedures for evacuation of passengers during helicopter rapid refueling.

1)      If passengers remain onboard the aircraft during fuel servicing, at least one qualified person trained in emergency evacuation procedures should be in the aircraft at or near a door at which there is a passenger loading walkway, integral stairs that lead downward, or a passenger loading stair or stand.
2)      A clear area for emergency evacuation of the aircraft should be maintained adjacent to not less than one additional exit.
3)      If fueling operations take place with passengers onboard away from the terminal building and stairways are not provided, such as during inclement weather (diversions), the operator should notify the ARFF services to assume a standby position in the vicinity of the fueling activity with at least one vehicle.
4)      The aircraft operator should establish specific procedures covering emergency evacuation under such conditions for each type of aircraft they operate.
5)      All “no smoking” signs should be displayed in the cabin(s), and the no‑smoking rule should be enforced. For aircraft without closed refueling systems, the operator should use “no smoking” placards or temporary signs as opposed to lighted “no smoking” signs.

3-3215       CODE‑SHARE SAFETY PROGRAM GUIDELINES.

A.     Indicates new/changed informationOn February 29, 2000, the Department of Transportation (DOT), the Office of the Secretary of Transportation (OST), and the FAA jointly issued Code‑share Safety Program Guidelines (current version located at http://www.faa.gov/air_traffic/international_aviation/media/code_share_guidelines.pdf), which describe one method for U.S. air carriers to address the level of safety of the U.S. code‑share passenger services provided by their foreign air carrier partners through periodic onsite safety audits.

B.     The Code‑Share Safety Program Guidelines describe the elements of a code‑share audit program and the process for review and acceptance of a U.S. air carrier’s audit program by the FAA and the OST. Upon completion of the review and a determination by both the FAA and the OST that the audit program is acceptable, the DOT will issue a letter to the U.S. air carrier stating that the audit program is acceptable. It is OST and FAA policy that the U.S. air carrier should then incorporate the accepted audit program into the manual required by § 121.133.

Note:       International Programs and Policy Division (AFS‑50) will conduct an FAA review and acceptance of audit programs.

C.     Each POI will determine that an accepted audit program of his or her air carrier has been incorporated into the manual required by § 121.133 and that the date of its incorporation is recorded in the Program Tracking and Reporting Subsystem (PTRS) using activity code 1302.

D.    Following the date of incorporation of the audit program into the carrier’s manual, each POI will determine that the accepted audit program is reviewed for currency at least once during each 12 calendar‑month period thereafter. If the audit program is current, the POI should enter the review complete date in the PTRS. If the audit program is not current, the POI should provide the necessary followup actions to ensure currency and enter the date of the revision to the manual required by § 121.133 making it current.

3-3216       AIRCRAFT GROUND TOWING PROCEDURES.

A.     Towbar and Towbarless Towing. When towing aircraft, the operator must use the proper towbar and/or tow vehicle. The wrong type of towbar, or makeshift equipment, can cause damage to the aircraft. Persons performing towing operations must be thoroughly familiar with the procedures that apply to the type of aircraft to be moved and the type of tow vehicle. Recommend the current editions of the following ACs to the operator:

·        AC 00‑65, Towbar and Towbarless Movement of Aircraft;

·        AC 150/5210‑5, Painting, Marking, and Lighting of Vehicles Used on an Airport; and

·        AC 150/5210‑20, Ground Vehicle Operations on Airports.

B.     Towbarless. The weight of an aircraft is a major consideration during towing because handling characteristics of the towbarless tractor change proportionally with the change in aircraft weight. Heavier aircraft put more stress on this vehicle and after movement begins, heavy aircraft can “push” the tug with a greater force than lighter aircraft because of weight, momentum, and the fuel load of the aircraft. Tow operators must recognize and understand these characteristics. Heavier weights and too much speed create the potential for disaster. Therefore, operators should reduce towing speeds according to the weight of the aircraft. The braking distance required to stop a large aircraft will be greater than the distance required to stop a small aircraft.

C.     Towing Vehicle Inspections. Tow vehicle operators must ensure that all towing equipment is serviceable and functioning properly before starting any towing operation. Before connecting the towbar to the aircraft, the tow vehicle operator should inspect the tow vehicle for defects or extraneous material that may interfere with safe operation. An operator must inspect each tow vehicle at least once each shift to verify that the cab and exterior of the vehicle are clear of all extraneous materials and the vehicle is in safe working condition. Additionally, the operator should check all radio communications before dispatching a tow vehicle. When tow vehicle operators find mechanical defects affecting safety on tow vehicles, the air carrier should take the equipment out of service and send it to vehicle maintenance for repairs.

D.    Towing Operations. Using trained personnel, following established procedures, and properly planning for weather, local conditions such as inclined ramps, emergencies, and other limitations should prevent mishaps. For maximum safety, towing personnel must not place themselves in the direct path of aircraft wheels nor ride on any external portion of an aircraft or tow vehicle. Towing personnel should use a checklist and ensure placards are serviceable and located inside the tow vehicle cab to identify any restrictions that apply to the tow vehicle. Towing personnel should observe any other placards that might be of a temporary nature prior to all movements. When connecting a towbar to any tow vehicle, personnel must stand clear until the backing tow vehicle is in close proximity to the towbar. When connecting a tow vehicle, personnel must be extremely vigilant to any sudden movement of the tow vehicle or aircraft.

E.     Personnel Training. Operators should ensure that aircraft ground handling personnel are thoroughly familiar with all published towing procedures pertaining to the type of aircraft being towed, as well as understand the restrictions and/or limitations on any vehicle authorized to move an aircraft. Newly assigned aircraft maintenance specialists/ground vehicle operator personnel must pass a proficiency test on the types of aircraft towed and types of tow vehicles after completing supervised on‑the‑job training (OJT). Wing and tail walkers may not have to be familiar with all published towing procedures or receive annual proficiency training if their duties are restricted to these positions during towing operations. The tow team leader should clearly define duties and responsibilities and the use of a checklist covering all items pertaining to the safe movement of the type aircraft being towed, and he or she must brief all team members prior to the aircraft being moved. The operator’s procedures manual should cover this information. All operators of tow vehicles in the airport operations area must be trained and possess a valid driving permit, usually issued by the airport authority, before being granted access in movement and safety areas when performing towing operations. This requires recurrent training that typically consists of airport signage, limitations, and air traffic and/or ground control communications procedures. Tow vehicle operators must complete the training prior to the initial performance of such duties and at least once every 12 consecutive calendar‑months. If the employee can demonstrate the ability to write, explain the intent of a selected reading, and read back simulated communications with little or no hesitation and/or misunderstanding, he or she will have satisfactorily met the intent of the English language requirement.

F.      Aircraft Movement. Prior to movement of any aircraft, the operator should comply with the requirements of part 91, § 91.209(a)(2) which states: “No person may park or move an aircraft in, or in dangerous proximity to, a night flight operations area of an airport unless the aircraft—(i) Is clearly illuminated;” (which means that the location of the wingtips and tail of the aircraft must be visible by alternate means of illumination the same as if the aircraft position lights were turned on) or “(ii) Has lighted position lights.” The aircraft position lights may be powered by the aircraft battery, APU, or an external power source such as the tow vehicle. Also, the tow operators should ensure that all landing gear struts and tires are properly inflated and that brake pressure is built up when applicable.

G.    Flight Deck/Cockpit Observer. A trained person should be in the pilot’s seat to operate the aircraft’s brakes if needed. If the hydraulic pressure that provides braking drops below safe operating limits, the operator should terminate the towing operation. Additionally, the observer serves as backup to any communications failures between tow driver and control tower/ramp control.

H.    Tow Vehicle Operator. The tow vehicle driver is responsible for operating the vehicle in a safe manner. The vehicle operator must obey emergency stop instructions given by any team member. The vehicle operator must be at the controls of the towing vehicle at all times during aircraft movement. The tow vehicle must be connected in a manner that will allow the vehicle driver to face the direction of travel while seated. The vehicle operator must stop the vehicle upon losing communication with the cockpit observer, control tower, and/or ramp control.

I.       Wing Walker. The operator should station a wing walker at each wingtip to ensure adequate clearance of any obstruction in the path of the aircraft. The wing walker is responsible for properly signaling the tow vehicle operator as soon as it appears the aircraft is in danger of colliding with an obstruction. In such cases, the vehicle operator should stop towing until he or she personally checks the clearance. Wing walkers are not required for helicopters being towed with rotor blades in the parallel position. Wing walkers do not require annual proficiency testing and need not be fully trained in all towing procedures as long as this is their only task. Thorough pre‑tow briefings by the tow team lead will satisfy the training requirement.

J.      Tail Walker. The operator should use a tail walker during towing operations when turning the aircraft sharply or back into position. The tow operator should avoid the backing of aircraft as much as possible. Tail walkers do not require annual proficiency testing and need not be fully qualified in all towing procedures as long as this is their only task. Thorough pre‑tow briefings by the tow team lead will satisfy the training requirement.

Note:       When towing small aircraft, the operator can eliminate the tail walker at the discretion of the tow team lead.

K.    Personnel Riding or Walking. Under no circumstances should personnel walk between the nosewheel of an aircraft and its towing vehicle, nor should they ride on the outside of a moving aircraft, on the towbar, or on the outside of the vehicle unless in an authorized seat. No person should attempt to board or leave a moving aircraft or towing vehicle.

L.     Night Crew Signals. Operators should issue two luminous wands to towing team members who require wands. Other tow team members should use wands, as required, to warn any aircraft traffic that may approach. Additionally, before any aircraft is moved, the operator should ensure that aircraft position lights are operational.

M.  Control Tower Clearance. Before proceeding to tow an aircraft on or across an established taxiway or runway, the tow vehicle operator must obtain clearance from the control tower. At no time should any aircraft be towed on or across runways or taxiways without advance approval of the control tower. The primary means of communication will be the aircraft radio. An alternate method (when conditions restrict aircraft battery operation) is through an escort vehicle in direct radio contact with the control tower. The radio‑equipped escort vehicle will accompany the aircraft throughout the towing operation.

N.    Towing Speed. Towing speed should not exceed that of walking team members, with a maximum of 7 miles per hour (mph).

O.    Brakes. To prevent serious mishaps, the operator should charge aircraft brake systems before each towing operation and stop towing immediately if brake pressure drops below safe operating limits. The tow vehicle operator should not tow aircraft with faulty brakes, except to repair facilities, and then only with personnel standing by ready with chocks for emergency use.

P.      Towbars. Before moving any aircraft, the operator should inspect the towing vehicle, towbar, towbar connections, and other associated equipment for defects, using only authorized equipment in good condition in towing operations.

Q.    Chocks. The operator should make chocks immediately available in case of emergency throughout towing operations. The operator should place them properly before disconnecting the towing vehicle. When an operator tows or parks aircraft with snow, ice, or frost present anywhere on the parking ramp or towing surface, he or she should use sand bags and chocks. The operator should use heavier tow vehicles with chains to improve starting and stopping traction during tow operations on ice or snow‑covered towing surfaces. The operator should not place or hang chocks or other support equipment on any part of the aircraft exterior during towing or repositioning.

R.    Starts and Stops. When moving aircraft, tow vehicle operators should not stop and start suddenly. Operators should never apply aircraft brakes when an aircraft is being towed, except in emergencies and upon instructions given by any team member. Before disconnecting the towing vehicle from the aircraft, the operator should stow chocks properly in place and set the aircraft’s brakes.

S.      Equipment, Stands, and Similar Materials. The operator should ensure removal and proper storage of all equipment, work stands, loose aircraft parts, and other materials from the vicinity of an aircraft.

T.     Entrance Doors, Ladders, and Downlocks. To avoid possible worker injury and aircraft damage during towing operations, the operator should close entrance doors, retract or remove ladders, and install landing gear downlocks (if required). The only allowable deviations from these requirements are those allowed by specific aircraft manufacturer instructions.

U.     Struts and Tires. Prior to towing any aircraft, towing team members should check nose and main landing gear struts and tires for proper inflation. Unless the applicable manufacturer instructions require a gauge check, a visual check of tires and struts is adequate for towing purposes.

V.     Towing Aircraft without Access to Cockpit. When moving an aircraft with no cockpit observer (if applicable, such as small aircraft) the operator should make sure chocks are immediately available throughout towing operations in case of an emergency.

W.   Engine Operation. As a general rule, the operator should not tow aircraft with engines operating. The following exception applies to aircraft towing operations with engines running: pushing aircraft away from terminal gates used by airlines for dispatch. Ensure that the operator has developed procedures for personnel so that they keep away from rotating propellers and the danger zones of jet engines.

3-3217       Change barAccident Notification Requirements. Title 49 of the Code of Federal Regulations (49 CFR) part 830 requires operators to notify, immediately and in the most expeditious manner, the nearest NTSB Bureau or Aviation Safety (AVS) field office of accidents, serious incidents and overdue aircraft. The operator must develop procedures that accomplish this.

·        The manual should include a copy of 49 CFR part 830.

·        Also included should be the names and telephone numbers of the appropriate operator personnel who must be notified.

RESERVED. Paragraphs 3‑3218 through 3‑3230.


Volume 4 Aircraft equipment and operational authorizations

chapter 15  electronic flight bag authorization for use

Section 1  Electronic Flight Bag Operational Authorization Process

4-1641       GENERAL. This section contains specific policy, guidance, and procedures to be used by principal operations inspectors (POI) for processing an operator’s request for “authorization to use” an Electronic Flight Bag (EFB). All POI specialties should coordinate the review of an operator’s EFB program. Once the POIs have completed their review of an EFB application and have determined that the request is valid, authorization to use an EFB will be made by issuing the appropriate operations specifications (OpSpecs)/management specifications (MSpecs). The final result will be an authorization to use an EFB without issuing any sort of approval to any particular hardware system or software application. The Federal Aviation Administration (FAA) evaluation process for an EFB follows the general process for approval and acceptance as described in Volume 3, Chapter 1, Section 1.

4-1642       APPLICABILITY. This process for EFB authorization is to be used in combination with the current edition of Advisory Circular (AC) 120-76, Guidelines for the Certification, Airworthiness, and Operational Approval of Electronic Flight Bag Computing Devices, and the issuance of an OpSpec or MSpec, in accordance with A061, as described in this order. The processes described in this section may also be used to determine if an EFB may be substituted for aeronautical charts and data used within aircraft operated under Title 14 of the Code of Federal Regulations (14 CFR) part 91. No written authorization is required for part 91 operators except those conducted under part 91 subpart K (part 91K).

A.     Evaluation Process for Class 1 or 2 EFBs Using Type A and/or B Software. The evaluation process described in this section is applicable to Class 1 or 2 EFBs using Type A and/or B software applications. Aircraft Evaluation Group (AEG) involvement in the authorization to use Class 1 or 2 EFBs is at the AEG’s discretion. AEG involvement may be expected when an EFB has new or novel functions not addressed in this guidance and/or when there are concerns about EFB use and standardization. When an AEG report exists for a particular Class 1, 2, or 3 EFB or Type A and/or B application, that AEG report is controlling for the determination of operational suitability.

B.     Evaluation Process for Class 3 Hardware and/or Class C Software. Class 3 hardware and/or Type C software applications are evaluated by the AEG in conjunction with type certificate (TC), amended TC, Supplemental Type Certificate (STC), or Technical Standard Order Authorization (TSOA) processes. The AEG determines operational suitability and pilot training, checking, and currency requirements. The AEG determination of suitability for Class 3 EFB hardware may be referenced in the Flight Standardization Board (FSB) report for the particular model aircraft or other AEG report of operational suitability. If Class 3 EFB hardware is not addressed in an AEG report, the FSB chairman for the affected aircraft should be contacted to determine if the AEG has accomplished an operational suitability evaluation. Authorization for EFB Class 3 with Type C software application is subject to existing operator requirements for implementing new or modified certificated equipment, including compliance with FSB reports for differences training, checking, and currency. The operator must address the development of procedures and training associated with EFBs prior to receiving authorization to use each EFB Class 3 and Type C software application.

4-1643       EFB HARDWARE CLASSES. Figure 4-75, Flowchart for Determining Electronic Flight Bag Hardware Class, is provided to aid in the determination of the EFB hardware classes. The EFB must meet the following hardware specifications to be used in an aircraft during flight operations. It is the user’s/operator’s responsibility to document compliance with these specifications for each EFB and aircraft operating combination.

A.     Indicates new/changed information.Indicates new/changed information.Class 1. These EFBs are portable, commercial off-the-shelf (COTS) devices that are part of a pilot’s flight kit and are not mounted to the aircraft. An EFB attached to the pilot’s leg (e.g., kneeboard type) may still be considered a Class 1 EFB because it is not mounted to the aircraft. Class 1 EFBs that have Type B applications for aeronautical charts, approach charts, or electronic checklists (ECL) must be secured and viewable during critical phases of flight and must not interfere with flight control movement. The need for aeronautical charts, approach charts, and ECLs to be immediately available for viewing for all phases of flight is essential for an electronic format to be equivalent to the paper format being replaced. The ability to have departure and arrival charts, approach charts, and airport diagrams continuously in view is essential for situational awareness (SA) during critical phases of flight and very important to runway incursion prevention during takeoff, landing, and taxi operations. This view ability requirement is consistent with current FAA policy that pilot crewmembers have approach charts and airport diagrams viewable during those respective operations.

B.     Class 2. These EFBs are typically mounted to the aircraft by a mounting device and may be connected to a data source, a hardwired power source, or an installed antenna. In order to be considered portable, tools must not be required to remove an EFB from the flight deck, and a pilot crewmember must be able to perform the task. Portable EFBs must be located on the flight deck and controlled by the flightcrew during all flight operations. Although attached to the aircraft via a mounting device, Class 2 EFB hardware must be accessible to the flightcrew and must be removable without the use of tools. The components of the Class 2 EFB include all the hardware and software needed to support EFB intended functions. A Class 2 EFB may consist of modular components (e.g., computer processing unit, display, controls). Any EFB hardware not located on the flight deck and not accessible by the flightcrew must be a certified installation via TC, amended TC, or STC. Any EFB hardware not accessible on the flight deck by the flightcrew and/or not portable must be installed and certificated equipment covered by a TC, amended TC, or STC. The one exception to being accessible on the flight deck is a remotely mounted antenna that provides signal reception to a Class 1 or 2 EFB.

Note:       Normally, portable EFBs are limited to hosting Type A and B software applications or Technical Standard Order (TSO) functions limited to a minor failure effect classification. However, Type C software associated with the provision of own-ship position on airport moving map displays (AMMD) may be hosted on Class 1 or 2 portable EFBs. See the current edition of AC 20-159, Obtaining Design and Production Approval of Airport Moving Map Display Applications Intended for Electronic Flight Bag Systems, for details.

C.     Class 3. These EFBs employing any type software application must be approved by TC, amended TC, or STC and are discussed further in subparagraph 4-1646C. Type A or B software applications and user-modifiable software are not subject to FAA certification when installed on a Class 3 EFB. Type A, Type B, or user-modifiable software must not interfere with FAA‑certificated Type C software or software that has received FAA design approval by the Aircraft Certification Service (AIR).

4-1644       Indicates new/changed information.HARDWARE SPECIFICATIONS—CLASS 1 AND CLASS 2 EFBs. Major components such as motherboards, processors, Random-Access Memory (RAM), video cards, hard drives, power supplies, and connections (modem, wireless, etc.) must be configuration controlled. Any change to these components will require the EFB to be reevaluated to demonstrate that the EFB still meets its intended function, non-interference, and reliability requirements. Figure 4-76, Hardware Description Template, is a template that has been provided to facilitate the documentation of these components.

Note:       For permanently sealed devices, use the manufacturer and model or manufacturer and part number from Figure 4-76 for configuration control of these devices.

A.     Display. The following display requirements are specified when a Type B application is available on an EFB during certain critical phases of flight (e.g., taxi, takeoff, approach, and landing).

1)      Legibility. The screen size and resolution must be proven to display information in a comparable manner to the aeronautical charts and data it is intended to replace. The screen must display an approach chart in an acceptable aeronautical chart format similar to a published paper approach chart. The screen must be large enough to show an entire instrument approach procedure (IAP) chart at once with the equivalent degree of legibility and clarity as a paper chart. This requirement is not meant to preclude panning and zooming features but is intended to prevent a workload increase during the approach phase of flight. Alternate representations of approach charts will need to be evaluated and approved by the FSB process for functionality and human factors.
2)      Brightness. The display must be proven to be readable in all anticipated lighting conditions by each pilot and in each aircraft in which it is to be used. The display must have a dimming capability that would prevent the EFB from being a distraction or impairment to night vision in a night flight deck environment. The display must also be demonstrated to be readable on the flight deck in direct sunlight. Display brightness must be equally adjustable whether the EFB is operating on battery or aircraft power. Users should be able to adjust the screen brightness of an EFB independently of the brightness of other displays on the flight deck. When automatic brightness adjustment is incorporated, it should operate independently for each EFB on the flight deck. Buttons and labels should be adequately illuminated for night use. All controls must be properly labeled for their intended function.
3)      Viewing Angle. The display must be viewable from an offset angle to preclude difficulty in positioning the EFB on the aircraft flight deck. When screen protectors are used, they must be maintained and be proven not to impede viewing of the screen. (See AC 120-76, paragraph 10b(3) for important issues concerning viewing angle.)
4)      Stylus. For a stylus screen, there must be an easily accessible stowage position for the stylus and an accessible spare stylus (or substitute stylus) must be available.
5)      Digitizer Pen. When a digitizer pen is used to operate the EFB, the digitizer pen must have an easily accessible stowage position and be tethered. A spare digitizer must be immediately available and adjusted for use on each EFB.
6)      Touch Screen. If a touch screen is used, it must be evaluated for ease of operation. The touch screen must be responsive and not require multiple attempts to make a selection, but not be so sensitive that erroneous selections occur.

B.     Rapid Decompression (RD) Testing. RD testing is required to determine an EFB’s functional capability when Type B software applications are used in pressurized aircraft where no alternate procedures or paper backup are available. RD testing is not required when only Type A applications are used on the EFB. The information from the RD test is used to establish the procedural requirements for the use of that EFB in a pressurized aircraft. RD testing should follow the guidelines in RTCA, Inc. DO‑160, Environmental Conditions and Test Procedures for Airborne Equipment, for RD testing up to the maximum operating altitude of the aircraft in which the EFB is to be used. It is the operator’s responsibility to provide the POI with documented results of the RD testing.

1)      Pressurized Aircraft. RD testing for Class 1 and/or 2 EFBs must be conducted when Type B applications are used in lieu of paper-based aeronautical charts in pressurized aircraft in flight. When a Class 1 or 2 EFB is turned on and operates reliably during the RD test, no mitigating procedures need to be developed beyond redundancy. When a Class 1 or 2 EFB is turned off during the RD test and is fully functional following the RD, then procedures must be in place to ensure that one of the two EFBs onboard the aircraft remains off or configured so no damage will be incurred should an RD occur in flight above 10,000 feet mean sea level (MSL).
2)      Unpressurized Aircraft. RD testing is not required for a Class 1 or 2 EFB used in an unpressurized aircraft. The EFB must be demonstrated to reliably operate up to the maximum operating altitude of the aircraft. If EFB operation at maximum operating altitude is not attainable, procedures must be established to preclude operation of the EFB above the maximum demonstrated EFB operation altitude while still maintaining availability of required aeronautical information.

C.     Electromagnetic Interference/Non-Interference Testing. It is the user’s/operator’s responsibility to determine that the operation of a portable electronic device (PED) will not interfere, in any way, with the operation of aircraft equipment. The current edition of AC 91.21‑1, Use of Portable Electronic Devices Aboard Aircraft, addresses non-interference testing for noncritical phases of flight only and is not adequate when Type B applications are used for all phases of flight. AC 91.21-1 and the additional guidance for non-interference contained in this order are required for Class 1 and 2 EFBs.

1)      PEDs. In order to operate a PED in other than a noncritical phase of flight, the user/operator is responsible for ensuring that the PED will not interfere in any way with the operation of aircraft equipment. The following methods are applicable to Class 1 and 2 EFBs with Type B applications required for use during all phases of flight. Either Method 1 or Method 2 may be used for non-interference testing.
a)      Method 1 for compliance with PED non-interference testing for all phases of flight is completed in the two following steps.

·        Step 1 is to conduct an electromagnetic interference (EMI) test in accordance with RTCA DO-160, section 21, paragraph M. This Step 1 test can be conducted for an EFB user/operator by an EFB vendor or other source. The results of the RTCA DO-160 EMI test must be evaluated to determine that an adequate margin exists between the EMI emitted by the PED and the interference susceptibility threshold of aircraft equipment. If Step 1 testing determines adequate margins exist for all interference (both “front door” and “back door” susceptibility), then Method 1 is complete. If Step 1 testing identifies inadequate margins for interference (either “front door” or “back door” susceptibility), then Step 2 testing must be completed; and

·        Step 2 testing is specific to each aircraft model in which the PED will be operated, but it is testing only the specific equipment and/or equipment operation. Step 2 testing must be conducted in an actual aircraft and may be credited to similarly equipped aircraft of the same make/model as tested. Step 2 testing must show that no interference of aircraft equipment occurs from the operation of the PED.

b)      Method 2 for compliance with PED non-interference testing for all phases of flight is a complete test in each aircraft using an industry standard checklist. This industry standard checklist must be of the extent normally considered acceptable for non-interference testing of a PED in an aircraft for all phases of flight. Testing for a particular aircraft make/model may be credited to other similarly equipped aircraft of the same make/model.
2)      Transmitting Portable Electronic Devices (T-PED). In order to operate a T‑PED in other than a noncritical phase of flight, the user/operator is responsible to ensure the T‑PED will not interfere with the operation of the aircraft equipment in any way. The following method is applicable to all Class 1 or 2 EFBs with Type B applications required for use during all phases of flight. Non-interference testing for T-PEDs consists of two separate test requirements.
a)      Test Requirement 1. Each T-PED must have a frequency assessment based on the frequency and power output of the T-PED. This frequency assessment must consider Federal Communications Commission (FCC) frequency standards and be in accordance with applicable processes set forth in RTCA DO-294, Guidance on Allowing Transmitting Portable Electronic Devices (T-PEDs) on Aircraft. This frequency assessment must confirm that no interference of aircraft or ground equipment will occur as a result of intentional transmissions from these devices.
b)      Test Requirement 2. Once a frequency assessment determines there will be no interference from the T-PED’s intentional transmissions, each T-PED must then be tested while operating using either Method 1 or Method 2 for basic non-interference testing requirements described above. This basic non-interference testing is applicable to both a T-PED that is integrated into an EFB and a T-PED that is remote to an EFB. When a T-PED is integrated into an EFB, the basic non-interference testing must be completed both with and without the T-PED function being operative. If a T-PED is located remote from the EFB, the T-PED basic non‑interference testing is independent from the EFB non-interference testing. T-PED position is very critical to T-PED non-interference testing, therefore the operating/testing locations of a T‑PED must be clearly defined and adhered to in T-PED operating procedures.

D.    Antennas.

1)      Satellite Weather Antennas. A satellite weather antenna may be built into a Class 1 or 2 EFB or external to the EFB. A portable satellite antenna is considered ancillary PED equipment and must be included in EFB evaluation and testing. Installed antennas for satellite weather may be used to provide signal reception for EFB intended functions. When a satellite receiver is installed separate from the portable EFB, it must meet appropriate installation requirements.
2)      Global Positioning System (GPS) Antennas. A GPS antenna may be built into a Class 1 or 2 EFB or external to an EFB. A portable GPS antenna is considered ancillary PED equipment and must be included in EFB evaluation and testing. An installed GPS antenna may be used to provide signal reception to an EFB and must support the intended function of the EFB.

·        GPS data may be used for map centering when en route charts are displayed on an EFB. Map centering may be used as an en route chart feature only and may not be used when an approach chart is displayed;

·        Own-ship position may never be displayed on a Class 1 or 2 EFB in flight; and

·        A GPS installation in compliance with AC 20-159 is required for the depiction of own-ship position on an AMMD.

Note:       If a portable GPS is used to provide position information to an EFB, the portable GPS is subject to the same requirements as the EFB. The EFB must demonstrate its intended functions with the GPS both enabled and disabled. In addition, the EFB must be non-interference tested with the portable GPS attached and operative, as well as with the portable GPS not attached (unless the EFB is considered inoperative without the portable GPS). Class 1 or 2 EFBs may use position information from a portable GPS only for en route map centering or page turning, but must not display own-ship position on the EFB. (Exception: See AC 20-159 for use of own-ship position on an AMMD.)

E.     Power Sources.

1)      Battery Primary. For Class 1 or 2 EFBs where the primary power source is a battery, useful battery life must be established and documented for the EFB. When procedures are not established for aircraft power to provide battery recharging during flight operations, at least one fully charged spare battery must be provided for each EFB that is providing a paperless source of aeronautical information pertinent to flight. When EFB battery charging is not possible in the aircraft, additional fully charged EFB batteries must be available to ensure operational performance for the planned duration of the flight, plus 1 hour.
2)      Battery Maintenance. EFB battery maintenance needs to be addressed as either a maintenance or operating procedure to ensure battery life, change intervals, and safety. EFB batteries, including those carried as spares, must be maintained in an appropriate state of charge. Batteries must be replaced at the EFB manufacturer’s recommended interval.
3)      Aircraft Power Secondary. Where the EFB primary power source is a battery, procedures may be established to use aircraft power for battery recharging during flight operations. In this case, aircraft power is secondary and not considered essential to EFB operation because the EFB will operate without aircraft power.
4)      Aircraft Power Primary (Class 2 Only). When an EFB uses aircraft power as the primary power source, design approval is required for this connection and power source by TC, amended TC, or STC. This type of EFB power source will normally be hardwired to the EFB mounting device or directly to aircraft power source through a connector.

F.      Data Connectivity (Class 2 Only). EFB data connections to aircraft data sources require design approval by TC, amended TC, or STC to ensure that the aircraft systems are protected from any EFB failure modes. These data connections should be “read only,” except for nonessential Airline Administrative Communication (AAC) or Airline Operational Communication (AOC) systems. Data connection from the aircraft navigation system may not be used to display own-ship position on a Class 1 or 2 EFB in flight. Aircraft navigation system source data may be used for AMMD position on taxi diagrams in accordance with AC 20-159.

G.    Data Loading/Database Changes. Class 1 or 2 EFBs must have a reliable means for revising the EFB databases. Database currency is determined by what required aeronautical information the EFB is replacing. Each method of data revision must ensure integrity of the data being loaded and not negatively impact the reliability of EFB operation. Procedures must exist to protect the EFB from corruption, especially when internet and/or wireless means are used. Database revision does not include application software or operating system changes. Application software and/or operating system program changes must be controlled and tested prior to use in flight. Database and/or application software changes may not be performed during operations (taxi, takeoff, in-flight, landing).

Note:       External drives for data loading are considered ancillary EFB equipment and not subject to specific requirements beyond those identified for data loading/database revision above.

H.    Mounting Devices (Class 2 Only). The EFB, when attached to its appropriately designed mounting device, must be evaluated to ensure operational suitability in all ground and flight operations and conditions. When attached to its mounting device, the EFB must not interfere with flightcrew duties and must be easily and safely stowed when not in use. In addition, the attached EFB must not obstruct flightcrew primary and secondary fields of view, nor impede safe egress. (See AC 120-76.)

4-1645       EFB SOFTWARE SPECIFICATIONS. Figure 4-77, Flowchart for Determining Electronic Flight Bag Software Application Type, is provided to aid in the determination of the EFB software application type.

A.     Type A. Type A applications are those applications intended for use on the ground or during noncritical phases of flight when pilot workload is reduced. AC 120-76, Appendix A lists examples of Type A applications. Malfunction of a Type A application must be limited to a “minor failure effect” classification for all flight phases and have no adverse effect on the completion of a flight operation.

1)      Type A applications for aeronautical charts are applications that require all aeronautical charts pertinent to the flight to be printed prior to departure of the flight.
2)      Type A applications for Weight and Balance (W&B) are applications that present existing information found in the applicable Aircraft Flight Manual (AFM) or pilot’s operating handbook (POH). Type A W&B applications may accomplish basic mathematics but must not use algorithms to calculate results. Type A W&B applications must retrieve and apply existing published information.
3)      Type A applications for aircraft performance are applications that present existing information found in the applicable AFM or POH. Type A applications for performance may be software applications that retrieve and apply existing published information. Type A performance applications must not use algorithms to calculate results.

B.     Type B. Type B applications are applications that are intended for use during critical phases of flight or have software and/or algorithms that must be tested for accuracy and reliability. AC 120-76, Appendix B may be referred to for examples of Type B applications.

1)      Type B aeronautical chart applications are applications that display aeronautical charts in electronic format. These applications must be available for use during all phases of flight. These applications do not require paper printing of aeronautical charts and the viewable electronic format allows chart manipulation.
2)      Type B ECL applications provide cockpit checklists in compliance with regulatory requirements. These applications must be available for use during all phases of flight. ECL (systems) must be tested for flight operations suitability and must not adversely impact pilot workload.
3)      Type B W&B applications are applications with algorithms to calculate W&B results. Type B W&B applications are produced for a specific aircraft and, therefore, must be tested and proven accurate by the applicant.
4)      Type B aircraft performance applications are performance applications with algorithms to calculate performance results. Type B aircraft performance applications are produced for a specific aircraft and, therefore, must be tested and proven accurate by the applicant.

C.     Type C. These software applications are RTCA DO-178B, Software Considerations in Airborne Systems and Equipment Certification, compliant and require Aircraft Certification design approval. Type C applications can be used on Class 3 EFB equipment, which are approved by TC, amended TC, or STC. Type C applications that receive a TSOA and meet the safety condition for “minor failure effect” or “no safety effect,” per AC 120-76, may be authorized for use on Class 1 or Class 2 EFBs. For AMMD applications and installation eligibility, refer to AC 20-159.

4-1646       OPERATIONAL SUITABILITY REQUIREMENTS. The user/operator is responsible for ensuring that a Class 1 or 2 EFB, along with Type A and B applications, will reliably perform its intended function while not interfering with other aircraft equipment or operations.

A.     Application Documentation. The user/operator must present application documentation to the POI demonstrating that the EFB meets its intended function. The attached flowcharts illustrated in Figure 4-75 and Figure 4-77 will assist the user/operator with the identification and documentation of EFBs. Determining the operational suitability of a particular EFB is the responsibility of the user/operator and may be subject to specific guidelines from the applicable AEG reports.

1)      When an operator has completed the evaluation of a Class 1 or 2 EFB, the operator must submit an application requesting authorization to use the EFB. The POI will review the application submitted by the operator and authorize/not authorize the use of the EFB based on the findings of the POI Review Checklist 3, illustrated in Figure 4-78, Principal Operations Inspector Review Checklist.
2)      When a new aircraft model is added to an existing EFB authorization, the suitability of the EFB for that aircraft must be addressed as part of aircraft conformity using this evaluation process. When a new EFB is added to an existing EFB authorization, the suitability of the new EFB must be addressed using this same evaluation process.

B.     Operational Evaluation of Class 1 or 2 Hardware/Type A or B Software. The user/operator must evaluate the EFB for suitability of intended functions in each aircraft model.

1)      The user/operator must use the checklist as illustrated in Figure 4-79, Checklist 1—Tabletop Electronic Flight Bag Evaluation, to evaluate the operational suitability of the proposed EFB intended functions and aircraft model suitability. The intended functions of software applications must be appropriate to the individual aircraft make and model.

·        Electronic documents,

·        ECL software,

·        W&B software,

·        Performance software,

·        Electronic aeronautical chart software, and

·        Weather information.

2)      The user/operator should use the checklist shown in Figure 4-80, Checklist 2—Electronic Flight Bag Operational Evaluation, to develop a flight scenario for final EFB testing when initial EFB use is being evaluated. Operators requesting initial EFB authorization must include their POI in the flight/simulator evaluation of an initial EFB implementation. Operational evaluations for subsequent additions of EFBs or aircraft models need not conduct flight/simulator evaluations provided intended functions remain substantively the same as previously evaluated EFBs.

C.     Operational Suitability of Class 3 Hardware/Type C Software. Class 3 hardware and/or Type C software applications are evaluated by the AEG in conjunction with a TC, amended TC, or STC certification process. The AEG determines operational suitability and pilot training, checking, and currency requirements. The AEG determination of suitability for Class 3 EFB hardware may be referenced in the FSB report (FSB reports are found at opspecs.com) for the particular model aircraft or other AEG report of operational suitability. If Class 3 EFB hardware is not addressed in an AEG report, the FSB chairman for that aircraft should be contacted to determine if the AEG has completed an operational suitability evaluation. Class 3 EFB and Type C software application authorization is subject to existing operator requirements for certified equipment. The operator must address the development of procedures and training associated with EFBs prior to receiving authorization to use each Class 3 EFB and Type C software application.

4-1647       EFB PROCEDURES. The operator’s operations and maintenance procedures must be specific to each EFB and the operations conducted. The operator’s manual must identify each model of EFB authorized and each model of aircraft.

A.     EFB Configuration Control. Standard EFB configuration control must be established and base-lined (i.e., initial hardware and software version at time of application) along with procedures to ensure that the EFB configuration control is maintained during system updates/revisions. Class 1 or 2 EFB configuration affects usability and battery life through setup of suspend/sleep modes. All classes of EFBs must have established standard operating procedures (SOP) to ensure reliable use of hardware and software. Procedures must be established for EFB database revision. This should include verification of continued intended function prior to use in flight operations following an EFB database revision.

Note:       Software updates, especially in the EFB operating system, must have extensive test procedures prior to use in flight operations. Software revision procedures must be comprehensive to ensure continued reliability of the EFB and verification of reliable intended function.

B.     Normal and Abnormal Operating Procedures.

1)      Normal procedures for flight operations must be developed for all flight operations with EFBs. Preflight must address battery charging, EFB database revision and data currency, EFB configuration control, and SOP for EFB setup. In-flight procedures must include standard application operating procedures and EFB standard flight operating procedures for use.
2)      Abnormal procedures must be established to address likely EFB function failures. Procedures for single and dual EFB failure must be established.
3)      Class 1 or 2 EFB operating procedures and limitations must be established if the EFB being used has not demonstrated RD testing while on and operating. (See subparagraph 4‑1644B.)
4)      Checklists must be established or revised to include normal and abnormal EFB procedures to be used by pilots in flight. This may be accomplished by amending checklists when approved operator-customized cockpit checklists are used or by creating an EFB checklist supplement when aircraft manufacturer cockpit checklists are used.

C.     Minimum Equipment List (MEL). When MEL relief is requested, the MEL must be amended in compliance with the aircraft’s Master Minimum Equipment List (MMEL). An inoperative Class 1 EFB may be removed from the aircraft without MEL relief being utilized, provided redundancy is maintained or paper backups for all Type B applications are available.

D.    Maintenance. Regular maintenance procedures are required for Class 1 and 2 EFBs, including measures to ensure the continued readability of the viewing screen. EFB battery maintenance needs to be addressed to ensure battery life, change intervals, and safety. Class 3 EFB maintenance must comply with the aircraft instructions for continued airworthiness (ICA).

E.     Risk Mitigation. Procedures must be established for a transition to paperless authorization. Initial procedures establish an independent backup during the EFB validation period. Procedures must be established for continuous reporting of problems with EFBs. There must be procedures in place for the user/operator to review these reports periodically to mitigate potential unreliability issues and correct operating procedures where necessary. Procedures must be established to notify flightcrews of EFB problems or use issues. (For more information on risk mitigation, refer to Volume 10, Chapter 1.)

Note:       When certain Type B applications (e.g., approach charts, aeronautical charts, ECLs, and flight manuals) are utilized on Class 1 or 2 EFBs to replace aeronautical charts or data required by regulation, risk mitigation is required per AC 120-76. Such mitigation methods may be satisfied by use of multiple EFB hardware and software or backup paper aeronautical charts and data. Redundancy in the form of traditional paper aeronautical charts or data, a second EFB, or other procedural means may satisfy acceptable risk. When determining the need for redundancy, take into consideration that no single failure or common mode error can cause the loss of required aeronautical information or data. The need for redundancy should also consider independent power sources or battery backup for the EFB. (See AC 120-76, paragraph 9.)

F.      Training. The operator must develop EFB training for all personnel involved with EFB use, database servicing, and maintenance. EFB training must comply with training identified in AC 120-76 and be FAA-approved where applicable.

4-1648       AIRWORTHINESS REQUIREMENTS. This paragraph outlines the airworthiness and return to service (RTS) requirements for installed components or provisions of Class 1 or 2 EFBs. These airworthiness requirements are applicable to all installed provisions capable of supporting EFB functions at flightcrew stations, regardless of any other stated intended function. The installer remains responsible to ensure that all certification and airworthiness requirements are met for each installation. For provisional installations, each installer remains responsible for compliance with EFB airworthiness requirements, and each operator is responsible for EFB operational use requirements of the installed provisions capability. All Class 3 EFB installations require certification under TC, amended TC, or STC prior to installation.

A.     EFB Power Source.

1)      Class 1 EFB Power Source. This is defined as aircraft power being used to recharge the EFB battery during flight operation, but the EFB battery remains the primary EFB power supply. Airworthiness criteria for Class 1 aircraft power sources may be in accordance with existing airworthiness requirements for PED outlets installation. Such outlets, if installed, must be labeled for exclusive use by the EFB.

Note:       Special consideration must be given to the type of electrical power provided for the recharging of lithium ion batteries. Lithium ion batteries pose a safety hazard if overcharged or excessively discharged. Operators should have lithium ion battery charging procedures that are in total accordance with the battery manufacturer’s charging instructions and prevent aggravation of lithium ion battery thermal hazards.

2)      Class 2 EFB Power Source. This is aircraft power used as the primary EFB power supply and requires the power supply to be hardwired or connected with certified connectors to ensure reliability. This is an EFB that continuously depends on connection to aircraft power to perform its intended function (no sustaining battery power). The aircraft power for Class 2 EFB power supplies must be designed to remain available, at an acceptable level for required flight information, in the event of aircraft electrical malfunctions. Class 2 EFB power supplies require design approval by AIR under TC, amended TC, or STC, which excludes the installation from eligibility for field approval.

B.     EFB Data Connectivity. This read-only data is provided to an EFB from the aircraft’s systems (e.g., flight management system (FMS), GPS, air data, fuel system) through a certified ARINC 429, RS-232, RS-485, or other compatible interfaces or certified router. EFB data connectivity does not include raw antenna reception data from an installed antenna going directly to the EFB. EFB data connectivity must include isolation to preclude the EFB from interfering with any aircraft system, and all associated wiring must be protected from damage and secured. EFB data connectivity requires design approval. Such design approval must be accomplished under TC, amended TC, or STC by AIR and excludes the installation from eligibility for field approval.

Note:       Data converters (e.g., ARINC 429 to RS-232) that are capable of supporting EFB functions at flightcrew stations must have design approval issued by the FAA.

C.     EFB Mounting Devices.

1)      Yoke-mounted EFBs must be certificated by a design approval by AIR under TC, amended TC, or STC. All the structural and dynamic, as well as wiring protection and security requirements affecting the flight controls (including autopilot, stall warning, stick pusher, crashworthiness, human factors, etc.), must be addressed prior to installation. Field approval or Designated Engineering Representative (DER) approval without a design approval from AIR by TC, amended TC, or STC is not permitted for yoke-mounted EFBs.
2)      Cockpit-mounted EFBs are Class 2 EFBs mounted in the cockpit other than on the control yoke. The EFB mounting device requires airworthiness approval by AIR. FAA policy excludes this installation from eligibility for field approval.

D.    Installed Antennas. Installed antennas are those antennas permanently installed in the aircraft. Portable antennas attached to a portable EFB, but not attached to the aircraft, are not subject to these airworthiness requirements. Portable antennas and temporary antenna holders, like suction cups, are subject to EFB evaluation requirements only. Installation of antennas capable of supporting EFB functions at flightcrew stations must be accomplished using existing guidance for antenna airworthiness considerations.

1)      Antennas combining reception for both aircraft navigation and EFB must be TSO‑approved for this intended function, providing isolation to preclude the EFB from interfering with antenna reception for aircraft navigation.
2)      TSO- or STC-approved antennas may be used to independently provide GPS and/or satellite weather for an EFB in accordance with existing installation airworthiness requirements.
3)      Portable EFB-only antennas without a TSO may be used to provide a GPS or satellite weather signal for EFB-only use. Non-interference testing by the installer is required.

E.     Installed Satellite Receivers (e.g., Weather Radar (WX) Worx, XM Weather, WSI Inflight). If any component of a weather receiver is installed in an aircraft separate from a portable EFB on the flight deck, it is subject to avionics installation requirements and may not be considered a PED. If the result of the received weather data is capable of being displayed on an EFB, the individual components of the weather receiver system cannot be installed as STC provisions only because the installation cannot meet 14 CFR part 43 requirements for testing of non-interference without performing its intended function. (See the current edition of FAA Order 8110.4, Type Certification, for more information on this subject.) The weather receiver must be non-interference tested with the intended EFB installed and operative even though the installation only applies to the weather receiver. The airworthiness for the weather receiver installation is independent of EFB/PED suitability responsibility of the user/operator. The user/operator is responsible for EFB non-interference as a PED and the installer is responsible for non-interference for the weather receiver as part of installation requirements. This installation requires design approval under TC, amended TC, or STC, which excludes the installation from eligibility for field approval.

4-1649       AUTHORIZATION PROCESSES. The operator is responsible to ensure that all operational requirements are met for an EFB. The operator must submit documentation demonstrating compliance with all operational requirements for EFBs to their POI. The FAA evaluation process for an EFB follows the general process for approval and acceptance as described in Volume 3, Chapter 1.

A.     Phase One—Initiation. Phase one of the process begins when the operator requests authorization to use the EFB from the FAA. During this phase, the FAA and the operator reach a common understanding of the role of the FAA and what documents and actions the operator is responsible for during each phase of the authorization process.

B.     Phase Two—Required Application Information. Phase two begins when the operator submits a formal EFB plan to the POI for evaluation. The plan is reviewed for completeness, and the POI facilitates coordination with other inspectors and FAA offices, as necessary. During phase two, the POI may coordinate with the appropriate AEG for guidance on EFBs that have functions not addressed in this guidance. Once the plan is accepted, the operator follows that plan to produce a complete EFB program. The operator must submit the following information in the application package:

·        EFB hardware and application specification (Figure 4-76 and Figure 4-81, Evaluation Report Information Template),

·        EFB operator procedures/manual revisions,

·        EFB cockpit procedures checklists,

·        EFB training program,

·        EFB evaluation report (Figure 4-79 and Figure 4-80),

·        RD test data (when required),

·        Completed non-interference test results, and

·        Airworthiness documents for Class 2 equipment (mounting device, aircraft data connection, aircraft power primary, remote antenna).

C.     Phase Three—POI Review. The POI must use the checklist found in Figure 4-78 to conduct a review of the application submitted by an operator. All POI specialties should coordinate the review of an operator’s EFB program. The POI should participate in the simulator evaluation or flight evaluation of an EFB when a user/operator is requesting initial EFB authorization. Additional simulator/flight evaluations are not required for adding a new EFB to an existing authorization unless there is a substantial change in EFB intended functions. When a new aircraft is added to a certificate with existing EFB authorization, the suitability of the EFB for that aircraft must be addressed as part of aircraft conformity and configuration control process. Inspectors should examine the technical content and quality of the proposed EFB program and other supporting documents and procedures. The user’s/operator’s program for EFB management is critical to EFB reliability and must be well documented for EFB users.

D.    Indicates new/changed information.Phase Four—Temporary Authorization to Use an EFB. An interim EFB authorization is granted to allow the certificate holder/operator/program manager to proceed with the required EFB 6-month operational validation testing. During validation testing, the certificate holder/operator/program manager must maintain a paper backup of all electronic information. For tracking and standardization purposes, the Flight Standards Service (AFS) field office principal inspector (PI) assigned oversight responsibility will temporarily issue the certificate holder/operator/program manager OpSpec/MSpec/letter of authorization (LOA) A061. The “Restrictions and Limitations” column of Table 1 should include the remark “Temporary Authorization to conduct 6-month operational validation testing.” All text added to OpSpec/MSpec/LOA A061 through the use of nonstandard text entered in the nonstandard text block (sometimes referred to as “Text 99”) must be approved by the appropriate headquarters (HQ) policy division. For detailed guidance on the process for obtaining HQ approval for nonstandard authorizations, PIs must read the guidance contained in Volume 3, Chapter 18, Section 2.

Note:       Indicates new/changed information.The 6-month validation test formally begins when the certificate holder/operator/program manager is issued this A061 temporary authorization. Use Figure 4-82, Checklist 4—Electronic Flight Bag Line Evaluation Job Aid, for data collection during the validation phase. Validation testing should follow the guidelines in AC 120-76.

1)      Indicates new/changed information.Unacceptable Validation Results. If the PI finds the proposed EFB reliability and/or function to be unacceptable by the conditions of this EFB guidance, then the PI should contact the operator for corrective action. EFB deficiencies must be corrected and the EFB function revalidated before proceeding to phase five.
2)      Acceptable Validation Results. If at the completion of the EFB 6-month validation test, the PI finds the proposed EFB reliability and/or function to be acceptable based on validation data, then the certificate holder/operator/program manager can proceed to phase five of the EFB A061 authorization process.

E.     Phase Five—Authorization to Use an EFB. The certificate holder/operator/program manager subject to regulations under 14 CFR parts 91K, 121, 125 (including 125 Letter of Deviation Authority (LODA) holders (125M)), and 135 is granted authorization to use an EFB through OpSpec/MSpec/LOA A061 after acceptable completion of validation testing in phase four. The PI will remove the “temporary authorization” annotated in the restrictions and limitations column of Table 1. Any subsequent change to EFB hardware or intended functions must be validated at a level appropriate to the effect of the change on the EFB program.


Figure 4-75.      Flowchart for Determining Electronic Flight Bag Hardware Class

Note:       If you wish to print this diagram, A3 size paper must be used.


Figure 4-76.      Hardware Description Template

Major components such as a motherboard, processor, Random-Access Memory (RAM), video card, hard drive, power supply, and connections (modem, wireless, etc.) must be identified. Any change to these components subsequent to initial evaluation and authorization will require the Electronic Flight Bag (EFB) device to be evaluated again to demonstrate that the EFB still meets all requirements, including reliability. The template below has been provided to facilitate the documentation of these components.

a) Aircraft Owner or Applicant’s Name:

b) Aircraft Make/Model:

c) Operating Rule 14 CFR Parts 121, 125, 129, 135, and 91 Subpart K (Part 91K), 91 Subpart F, and Other Applicable Part 91 Subparts:

d) EFB Manufacturer/Model/Part Number:

Indicates new/changed information.e) The following major components are included with this make/model of EFB:

Note:       For permanently sealed devices, use the manufacturer and model or manufacturer and part number from this figure for configuration control of these devices.

Component

Manufacturer

Model

Part Number

Motherboard

 

 

 

BIOS

 

 

 

Processor

 

 

 

Video Card

 

 

 

Hard Drive

 

 

 

CD-ROM

 

 

 

DVD Drive

 

 

 

Wireless Connection

 

 

 

Power Supply

 

 

 

f) Operating System and Version: (insert Windows operating system name), version (insert version number), service pack (insert service pack number), build (insert build number):

g) Identify the classification of hardware proposed (Class 1, 2, or 3):

h) List all proposed Type A, Type B, and Type C applications on this EFB device:

i) EFB Mounting System:

·        Has the mounting device or system been certificated under 14 CFR part 23, 25, 27, or 29:

o Yes o No (check one)

·        Type certificate (TC), amended TC, or Supplemental Type Certificate (STC) number:

·        Manufacturer and model number of mounting device or system:

·        Mounting description:

j) Identify if the EFB will use the aircraft as the primary power supply:

k) Identify any/all aircraft systems that will connect to the EFB device:


Figure 4-77.      Flowchart for Determining Electronic Flight Bag Software Application Type

Note:       If you wish to print this diagram, A3 size paper must be used.


Figure 4-78.      Principal Operations Inspector Review Checklist

Used by POI for Review of Electronic Flight Bag (EFB) Applications

This section contains questions for use by POIs to review an EFB application. In general, these questions are specific to initial installations and training for a given aircraft. References to other checklists of this document may be helpful in understanding the intent of specific subject areas of this checklist.

Before using this checklist, the POI will review the results of Checklist 1 and Checklist 2 with the operator to ensure that the operator has conducted a complete evaluation of the proposed EFB.

I. GENERAL EFB.

A. General Considerations.

Research if any of the EFB hardware or software is covered by an existing Aircraft Evaluation Group (AEG) report.

Workload:
1. Is an in-flight evaluation necessary? (An in-flight evaluation may be necessary if you are not able to adequately evaluate each function intended for this specific operation while on the ground.) If so, verify that the in-flight evaluation confirms that the overall workload is acceptable.
2. Review user/operator responses to evaluation questions for “Workload” from Figure 4-80, Checklist 2—Electronic Flight Bag Operational Evaluation.
3. Verify that procedures are published and available to all EFB users and maintainers.
4. Verify that preflight procedures and checklists are revised to include EFB.
5. Verify that procedures are established for single and dual failure of EFB.

B. Physical Placement.

Design and Placement of Structural Cradle:
1. Verify that user/operator procedures specify locations for both EFB stowage and use.
2. Verify that EFB specified locations do not obstruct visual or physical access to flight controls and/or displays.
3. Verify that EFB locations do not obstruct the emergency egress path.
4. Verify that EFB locations provide for security in flight.
5. Does mounting device have appropriate airworthiness documentation per EFB requirements?
6. Does mounting device lock in position easily?
7. Is the mounting device adjustable enough to accommodate a range of flightcrew member preferences and does range of adjustment accommodate the expected range of user’s physical abilities?
8. Locking mechanisms should be durable enough to minimize slippage after extended periods of normal use.
9. Crashworthiness considerations must be addressed as well as appropriate restraint of EFB when in use.

C. Training/Procedures Considerations.

EFB Documentation and Policy:
1. Verify that written policy adequately addresses each specific EFB application and that any published AEG recommendations have been incorporated into the operator’s EFB program.
2. Verify that procedures are in place to communicate upgrades or malfunctions of EFBs to users in a timely manner.
3. Verify that the EFB information from the manufacturer is incorporated into operating procedures.
EFB Training:
1. Verify that the initial EFB training includes evaluation of knowledge and skill requirements. The training should include demonstration of key tasks.
2. Verify that the recurrent training includes evaluation of proficiency with the EFB.
3. Verify that minimum training, checking, and currency requirements are specified in training programs.
4. Verify that EFB training is customized to EFB applications being used.

D. Validation Phase and Continued Data Collection.

Validation Phase Data Collection:
1. Verify that the 6-month validation phase requires pilots/users of the EFB to document evaluations and that there is a formal process for gathering feedback about the EFB and its performance.
2. Verify that procedures specify personnel responsible for maintenance and database management.
3. Ensure that the operator has an ongoing data collection and feedback/correction process that ensures the suitability/reliability of the data. The data collection processes in place should be factored into the operator’s Safety Management System (SMS).

E. SMS Interface.

1. Verify that the hazards associated with the use and integration of the EFB have been identified, eliminated, or controlled to an acceptable level throughout the life cycle. Consider such hazards as: misuse, hazardous misleading information due to failure or malfunction, loss of information when needed, miscalculation, masking of information, confusion, corruption of data, excessive complexity of use, accidental damage, and human error in use, setup, and operation.
2. Verify that the applicant’s SMS has procedures to mitigate identified hazards availability, and reliability of design, cross-checking of calculation/data, crew training, and misuse potential.
3. Verify that the applicant’s SMS incorporates EFB hazard analysis, risk assessment, and related safety reports.

F. Software Considerations.

Verify that procedures are established for testing of each software revision or database update prior to operational use.

G. Hardware Considerations.

1. Verify that display lighting and reflectivity has been evaluated for acceptability in each aircraft model.
2. Verify that EFB maintenance procedures are in place for batteries, displays, display interaction devices (pens, etc.), display pixel burnout, and component condition.

II. ELECTRONIC DOCUMENTS.

1. Verify that electronic documents are easily accessed and clearly controlled as to revision and currency.
2. Verify that use of electronic documents is incorporated in training program for initial and recurrent.

III. ELECTRONIC CHECKLIST (ECL) SYSTEMS.

1. Verify that the ECL system is customized to aircraft being operated.
2. If checklist is “interactive,” verify that the checklist is subject to a 6-month validation phase.
3. If checklist is “automatically linked,” ensure that AEG involvement and concurrence is obtained.
4. Verify that the use of ECL system is incorporated into the training program for initial and recurrent.

IV. WEIGHT AND BALANCE (W&B).

1. Verify that EFB procedures provide means to comply with load manifest recordkeeping requirements.
2. Verify that procedures clearly identify if the EFB W&B program is for “planning purposes only” when not an approved means for calculating W&B.
3. Verify that the use of W&B is incorporated into the training program for initial and recurrent.

V. FLIGHT PERFORMANCE CALCULATIONS.

1. Verify that EFB procedures provide means to comply with load manifest/flight plan recordkeeping requirements.
2. Verify that procedures clearly identify if EFB aircraft performance program is for “planning purposes only” when not an approved means for calculating aircraft performance.
3. Verify that the use of aircraft performance is incorporated into the training program for initial and recurrent.

VI. ELECTRONIC CHARTS.

1. Verify that the Electronic Charts Application does not display “own-ship position” except on the ground, in compliance with the current edition of AC 20-159, Obtaining Design and Production Approval of Airport Moving Map Display Applications Intended for Electronic Flight Bag Systems.
2. Verify that preflight procedures are established to ensure currency of electronic chart information.
3. Verify EFB display. The screen must be large enough to show an entire instrument approach procedure (IAP) chart at once, with the equivalent degree of legibility and clarity as a paper chart.
4. Verify that the use of electronic charts is incorporated into training program for initial and recurrent.

VII. VALIDATION PHASE.

Verify that procedures are established to collect user data for both normal and abnormal EFB functions during the validation phase and to provide a written report of reliability and problem resolution prior to authorization for paperless operation.

Figure 4-79.      Checklist 1—Tabletop Electronic Flight Bag Evaluation

Checklist 1 contains a list of questions for operators to use during a tabletop evaluation of the Electronic Flight Bag (EFB) focusing on the EFB hardware and software applications. The checklist starts with EFB hardware questions, then presents general user interface questions, and ends with specific application questions (if applicable). The checklist is designed so that any question answered as “No” requires a comment that may include, “Not Applicable.”

After the operator has completed this checklist, the results should be documented so the principal operations inspector (POI) can review the results with the operator.

EFB Hardware

1. If the EFB is to be used outside of the flight deck, can the EFB display be read under direct sunlight?

q No

q Yes

2. Is the display brightness and contrast adjustable?

q No

q Yes

3. Is the display brightness acceptable when it adjusts automatically?

q No

q Yes

4. Are there any display artifacts such as jagged lines that impair functionality?

q No

q Yes

5. Are controls labeled appropriately to describe their intended function?

q No

q Yes

6. Are buttons and labels visible and readable under all flight deck illumination conditions?

q No

q Yes

7. Can EFB inputs be made quickly and accurately in any operational environment?

q No

q Yes

8. Does the input device provide sufficient tactile feedback in all environmental conditions?

q No

q Yes

9. Are inadvertent or multiple activation of controls minimized?

q No

q Yes

10. Does the EFB start up in a predictable state?

q No

q Yes

11. Can the EFB be rebooted when power is cut to the EFB?

q No

q Yes

12. Does the EFB function correctly when rebooted?

q No

q Yes

13. Are all the EFB failure modes easy to see and identify?

q No

q Yes

14. Is the failure annunciation/message appropriate for the EFB function that has failed?

q No

q Yes

15. Are EFB recovery means easy to remember and apply when the EFB fails?

q No

q Yes

Provide the Number and a Comment for Each EFB Hardware Question Checked as “No.”

______________________________________________________________________________________

______________________________________________________________________________________

______________________________________________________________________________________

______________________________________________________________________________________

 

General User Interface

16. Is the revision information and currency expiration date available and presented clearly?

q No

q Yes

17. Does the device respond immediately to user inputs?

q No

q Yes

18. Is the processing speed always appropriate for normal use?

q No

q Yes

19. Are appropriate busy or progress indicators displayed when processing is delayed?

q No

q Yes

20. Is the user interface, including functions and navigation, consistent throughout the EFB?

q No

q Yes

21. Is all information that is needed displayed and easily accessible? Is there missing or difficult to find information?

q No

q Yes

22. Are common actions and time-critical functions easy to access?

q No

q Yes

23. Are there standard ways to perform common actions?

q No

q Yes

24. Are the displays and controls used on the EFB similar across applications? Are a common set of controls and graphical elements used?

q No

q Yes

25. Can all colors be distinguished under the various lighting conditions?

q No

q Yes

26. Is color coding implemented with a secondary code such as shading or highlighting when used to display critical information?

q No

q Yes

27. Are the colors red and yellow used appropriately only for warnings and cautions?

q No

q Yes

28. Is the text easily readable?

q No

q Yes

29. Do the characters stand out against the display background?

q No

q Yes

30. Are upper case and italic text used infrequently?

q No

q Yes

31. Is text that may be used in low-visibility conditions appropriate in size and easy to read?

q No

q Yes

32. Is it easy to zoom in on text or graphics when they are too small?

q No

q Yes

33. Is it obvious when information is out of view and can it easily be brought into view?

q No

q Yes

34. Is the spacing between characters appropriate?

q No

q Yes

35. Is the vertical spacing between lines appropriate?

q No

q Yes

36. Are icons and symbols legible?

q No

q Yes

37. Are icon and symbol functions obvious?

q No

q Yes

38. Are the icons and symbols distinguishable from one another?

q No

q Yes

39. Is each icon’s meaning explained by a label or other means?

q No

q Yes

40. Are the EFB icons and symbols consistent with their paper equivalents?

q No

q Yes

41. Do EFB alerts and reminders meet the requirements in the appropriate regulations as noted in the current edition of FAA Advisory Circular (AC) 120-76, Guidelines for the Certification, Airworthiness, and Operational Approval of Electronic Flight Bag Computing Devices, paragraph 10 (i.e., The Human Factors Considerations for EFBs)?

q No

q Yes

42. Are alerts and reminders consistent across all applications?

q No

q Yes

43. Are alerts and reminders implemented so as not to distract?

q No

q Yes

44. Is there control over when, and whether, the audio or video is activated?

q No

q Yes

45. Is it easy to reset parameters to their default when they have been customized?

q No

q Yes

46. Is EFB customization controlled through an administrative control process?

q No

q Yes

Provide the Number and a Comment for Each General User Interface Question Checked as “No.”

_______________________________________________________________________________________

_______________________________________________________________________________________

_______________________________________________________________________________________

_______________________________________________________________________________________

 

General Software Applications

47. Can required information be found quickly and accurately within all applications?

q No

q Yes

48. Is the information within applications organized consistently?

q No

q Yes

49. Is information layout consistent with the paper equivalent?

q No

q Yes

50. Is the layout of information appropriate for all applications?

q No

q Yes

51. Is high priority information easy to read?

q No

q Yes

52. Is it easy to tell which application is currently open/active?

q No

q Yes

53. Is it easy to switch between applications?

q No

q Yes

54. Is extra acknowledgement required to open applications that are not flight related?

q No

q Yes

55. Do all open applications function as intended on an individual basis?

q No

q Yes

56. Is access or links to related information appropriately supported?

q No

q Yes

57. Are similar types of information accessed in the same way?

q No

q Yes

58. Is it easy to return to the place where the user started from?

q No

q Yes

59. Is printing supported, and if so, is the hard copy usable?

q No

q Yes

60. Can a portion of a document be selected to be printed?

q No

q Yes

61. Can a print job be terminated immediately?

q No

q Yes

Provide the Number and a Comment for Each General Software Applications Question Checked as “No.”

_______________________________________________________________________________________

_______________________________________________________________________________________

_______________________________________________________________________________________

_______________________________________________________________________________________

 

Electronic Documents (If Applicable)

62. Is it easy to tell where one is in relation to the full document?

q No

q Yes

63. Is it easy to move between documents quickly?

q No

q Yes

64. Is it easy to tell what document is currently in view?

q No

q Yes

65. Is there a list of available documents to choose from?

q No

q Yes

66. Is the document search function appropriate?

q No

q Yes

67. Are tables, especially complex ones, readable and usable?

q No

q Yes

68. Are figures readable and usable?

q No

q Yes

Electronic Charts (If Applicable)

69. Is there a way to pre-select specific charts for easy access during a particular flight?

q No

q Yes

70. Is there more than one way to search for a chart?

q No

q Yes

71. Is it easy to access charts when a last minute change is necessary?

q No

q Yes

72. If the chart application uses aircraft location to facilitate access to charts, is this function appropriate (i.e., either approved by Aircraft Certification or explicitly allowed by AC 120‑76)?

q No

q Yes

73. Is it easy to switch between a decluttered and normal display if decluttering is supported?

q No

q Yes

74. Is there a clear indication when any chart elements are suppressed?

q No

q Yes

Provide the Number and a Comment for Each Electronic Documents and Charts Question Checked as “No.”

_______________________________________________________________________________________

_______________________________________________________________________________________

_______________________________________________________________________________________

_______________________________________________________________________________________

 

Electronic Checklists (ECL) (If Applicable)

75. Are normal checklists available in the appropriate order of use?

q No

q Yes

76. Can checklists be accessed individually for review or reference?

q No

q Yes

77. During non-normal conditions, are relevant checklists easy to access?

q No

q Yes

78. During non-normal conditions, does the device indicate which checklists and/or checklist items are required and which are optional?

q No

q Yes

79. Is it clear where to find all checklists, whether on the EFB or on paper?

q No

q Yes

80. Is the location of a paper document provided when it is referred to by the ECL?

q No

q Yes

81. Does each checklist have a constantly visible title distinct from other checklists?

q No

q Yes

82. Is it easy to select a checklist from a set of open checklists?

q No

q Yes

83. Is there a reminder to review incomplete items when closing an incomplete checklist?

q No

q Yes

84. Can an incomplete checklist be closed after acknowledging it is not complete?

q No

q Yes

85. Does the ECL discourage two or more checklists from being used simultaneously?

q No

q Yes

86. Is progress through the ECL clear?

q No

q Yes

87. It is easy to reset the ECL to start over again?

q No

q Yes

88. Does the checklist provide appropriate reminders for tasks that require a delayed action?

q No

q Yes

89. Does the checklist clearly highlight decision branches?

q No

q Yes

90. Can you return to the checklist from links or related information in one step?

q No

q Yes

91. Is there an indicator of which item in the checklist you are working on?

q No

q Yes

92. Is the checklist’s active item clearly indicated?

q No

q Yes

93. Can the status of an item be easily changed?

q No

q Yes

94. Does the next item automatically become active when the previous one is complete?

q No

q Yes

95. Can the current item be deferred without completing it?

q No

q Yes

96. Is it easy to view other items, even in a long checklist, without changing the active item?

q No

q Yes

97. Is it easy to move between items within a checklist?

q No

q Yes

98. Does the active item change to the next after an item is completed?

q No

q Yes

99. Is there a clear indication that all items as well as the whole checklist are complete when finished?

q No

q Yes

Provide the Number and a Comment for Each ECL Question Checked as “No.”

_______________________________________________________________________________________

_______________________________________________________________________________________

_______________________________________________________________________________________

_______________________________________________________________________________________

 

Performance Calculations (If Applicable)

100. Does the device identify entries that have an incorrect format or type and does it generate an appropriate error message?

q No

q Yes

101. Does the error message clarify the type and range of data expected?

q No

q Yes

102. Are units for performance data clearly labeled?

q No

q Yes

103. Do the labels used in the EFB match the language of other operator documents?

q No

q Yes

104. Is all the information necessary for a given task presented together or easily accessible?

q No

q Yes

105. Can the crews modify performance calculations easily, especially when making last minute changes?

q No

q Yes

106. Are outdated results of performance calculations deleted when modifications are entered?

q No

q Yes

107. Does the display and/or crew training provide information to the crew on the assumptions on which the calculations are based?

q No

q Yes

108. Are crews trained to identify and review default values and assumptions about t