12/7/16

 

8900.1 CHG 500

VOLUME 2  AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS

CHAPTER 1  THE GENERIC PROCESS FOR CERTIFICATING ORGANIZATIONS

Section 4  Preparation of FAA Operating Certificates

2-71    FORMS TO USE. Use the following Federal Aviation Administration (FAA) forms to prepare the appropriate certificates (specific examples found in Figures 2-5 through 2-9A):

·    FAA Form 8000-4, Air Agency Certificate.

·    FAA Form 8000-43, Training Center Certificate.

·    FAA Form 8430-18, Air Carrier Certificate.

·    FAA Form 8430-21, Operating Certificate.

2-72    REQUIRED INFORMATION. Enter the following information on the form, as appropriate:

A.    Legal Name. Enter the certificate holder’s legal name directly below the words “This certifies that.”

B.    Additional Business Names for Operators, Air Agencies, and Training Centers. For Title 14 of the Code of Federal Regulations (14 CFR) parts 125, 133, and 137 certificates, and Air Agency and Training Center Certificates, place any additional business names on the certificate below the legal name.

1)    The acronym “DBA” (doing business as) precedes the additional business name.
2)    The certificate holder will provide evidence, as applicable, of the appropriate state or local government’s authorization of all business names.
3)    The certificate-holding district office (CHDO) should not restrict the number of DBAs used by a certificate holder. Should there be insufficient space on the certificate to accommodate all DBAs, the legal name and address should appear on the certificate with a notation to see an accompanying letter for a list of DBAs. Part 125 operators will have DBAs placed on their operations specifications (OpSpecs).

C.    Additional Business Names for 14 CFR Parts 121 and 135 Certificates. For parts 121 and 135 certificates, only place DBA names in the operator’s OpSpecs and not on the certificate.

D.    Address of Principal Base. Enter the address of the certificate holder’s principal base of operations directly below the certificate holder’s name. A post office box address is not acceptable unless it also reflects the physical location of the principal base of operations.

E.    Statement of Authority.

1)    FAA Form 8430-21. Do not modify the preprinted certification statement of authority on FAA Form 8430-21. However, complete the statement of authority (as applicable) as follows:
a)    Part 125 (Operations).
b)    Part 133 (Rotorcraft External-Load Operations).
c)    Part 135 (Operations).

1.    Operating Certificate for Intrastate Common Carriage.

a.    In the first space, enter “Intrastate Common Carriage Operations.”

b.    In the second space, enter “and the terms, conditions, and limitations in the approved operations specifications.”

c.    In the third space, enter “indefinitely.”

2.    Operating Certificate for Private Carriage.

a.    In the first space, enter “Private Carriage Operations.”

b.    In the second space, enter “and the terms, conditions, and limitations in the approved operations specifications.”

c.    In the third space, enter “indefinitely.”

d)    Part 137 (Private Agricultural Aircraft Operations or Commercial Agricultural Aircraft Operations, as appropriate).
2)    FAA Form 8430-18. Do not modify the preprinted certification statement of authority on FAA Form 8430-18.

F.    Certificate Number. Obtain the certificate number from the Aviation Data Systems Branch (AFS‑620) in accordance with Volume 2, Chapter 1, and enter it in the space provided on the form. For more information on Air Carrier Certificates, see Volume 2, Chapter 2, Section 2.

G.    Effective Date. Enter the date that all the requirements for certification were met in the space provided for certificate effective date. Retain the date of original issuance on the amended certificate if there is a change in the address or the CHDO. A change of name to the air operator or a change in the certification statement of authority has the effect of a new certification. Therefore, issue a new certificate and certificate number. For this situation, enter the issuance date of the new certificate in the space provided.

H.    CHDO Designator. Enter the designator of the region and CHDO on the “Issued at” line on the form.

I.    Signature/Title. The district office manager signs the Operating Certificate issued to a part 125, 133, or 137 air operator and part 135 air carriers complying with on-demand rules on the line provided. The Regional Flight Standards Division Manager (RFSDM) signs the Air Carrier Certificates issued to air carriers conducting part 121 operations or part 135 commuter operations. Enter the full title of the person signing the certificate in the space provided.

J.    Region/Office Block (FAA Form 8430-18). When the RFSDM signs the certificate, enter the full name of the region in the “Region/Office” space (e.g., Southwest Region). When the Flight Standards District Office (FSDO) manager signs the certificate, enter the full name of the region and FSDO acronym and number in the “Region/Office” space (e.g., Southwest Region, FSDO-18).

2-73    CHANGES TO CERTIFICATE NUMBER.

A.    Change of Name. A change of the certificate holder’s legal name without a change of ownership does not require a new certificate number. However, principal inspectors (PI) and aviation safety inspectors (ASI) must ensure the certificate holder is not using the name change to circumvent initial certification requirements.

1)    Legal Authorization. The certificate holder must provide evidence that the appropriate state or local government (as applicable) authorized the change of a legal name.
2)    Sole Proprietor. Do not treat a sole proprietor, who incorporates under state law, as a name change only. Once incorporated, a sole proprietor is considered to be a “new” person who must meet all the initial certification requirements of 14 CFR in order to receive an Operating Certificate.
Indicates new/changed information.

B.    Change in Ownership. Except where repair stations are concerned, changes in ownership may require a change in certificate number. For information related to repair stations, see Volume 2, Chapter 11, Section 2. For more information related to changes in ownership, see Volume 3, Chapter 34, Section 3.

C.    Prepare the Certificate. When the PI or ASI is ready to prepare the new certificate, contact AFS‑620 via the established correspondence mailbox and provide an explanation of the change, along with copies of the associated documentation.

2-74    INTERNATIONAL CIVIL AVIATION ORGANIZATION (ICAO) STANDARDIZED, CERTIFIED TRUE COPY OF THE AIR OPERATOR CERTIFICATE (AOC).

Indicates new/changed information.

A.    Amended Annex 6 Requirements. Annex 6 requires air carriers to carry onboard their aircraft a standardized, certified true copy of their AOCs when operating internationally.

B.    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 for a sample of Template A999.) Preload most of the data contained in the AOC from operator data already maintained in the WebOPSS. The principal operations inspector (POI) or the certificate holder must enter additional data specific to the AOC. This standardized ICAO AOC is in addition to the FAA Operating Certificate or Air Carrier Certificate. For compliance with Annex 6, operators must carry this ICAO AOC onboard their aircraft when operating internationally.

C.    Certified True Copy. Annex 6 also requires that the copy carried onboard the aircraft is a “certified true copy” of the original. Template A999 contains a certification statement that the FAA will digitally sign. See subparagraph 2-74D.

D.    Procedure.

1)    After January 1, 2010, certificate holders who fly or intend to fly internationally must request and receive Template A999 in the WebOPSS from their POIs. When the POI receives such a request, the POI should:

·    Work with the certificate holder to properly fill out the template,

·    Verify that the information in Template A999 is correct, and

·    Sign and issue Template A999 in the WebOPSS.

2)    The certification statement fulfilling the ICAO requirements is a certified true copy when the POI digitally signs and issues Template A999 in the WebOPSS.
Indicates new/changed information.
3)    When operating internationally, ICAO requires an air carrier to carry a certified true copy of the AOC onboard his or her aircraft. The certificate holder may print a copy for each aircraft he or she operates internationally and place it onboard or, if the air carrier has the capability, carry it electronically onboard so that it is accessible to a foreign Civil Aviation Authority (CAA) during an inspection.
4)    If any information contained on the ICAO-standardized AOC changes, the certificate holder will need to work with his or her POI to update the data in Template A999, print new copies, and, if necessary, have the FAA sign the certification statement.

2-75    TASK OUTCOMES. Completion of this task results in one of the following:

·    Assignment of a precertification and final certificate number to a part 125 operator;

·    Assignment of a final certificate number to a 14 CFR part 121, 133, 135, 137, 141, 142, 145, or 147 air agency or operator; or

·    Assignment of a designator to a part 125 deviation holder.

2-76    FUTURE ACTIVITIES. See related certification chapters.

Figure 2-5.   FAA Form 8000-4, Air Agency Certificate

Figure 2-5. FAA Form 8000-4, Air Agency Certificate

 

Figure 2-5A.  FAA Form 8000-43, Training Center Certificate

Figure 2-5A. FAA Form 8000-43, Training Center Certificate

 

Figure 2-6.  FAA Form 8430-18, Air Carrier Certificate

Figure 2-6. FAA Form 8430-18, Air Carrier Certificate

 

Figure 2-7.  FAA Form 8430-21, Operating Certificate for Intrastate Common Carriage

Figure 2-7. FAA Form 8430-21, Operating Certificate for Intrastate Common Carriage

 

Figure 2-8.  FAA Form 8430-21, Operating Certificate for Private Carriage

Figure 2-8. FAA Form 8430-21, Operating Certificate for Private Carriage

 

Figure 2-9.  FAA Form 8430-21, Operating Certificate

Figure 2-9. FAA Form 8430-21, Operating Certificate

Figure 2-9A.  Sample Template A999, Air Operator Certificate (AOC) in the ICAO Format

AIR OPERATOR CERTIFICATE

3

State of the Operator1

United States of America

3

Issuing Authority2

Federal Aviation Administration

AOC #:4

Operator Name6

DBA Trading Name7

Operator Address:9

Telephone:10

Fax:

Email:

Operational Points of Contact:8

Contact details, at which operational management can be contacted without undue delay, are listed in ______________________11.

 

Expiry Date:5 None

 

This certificate certifies that ___________________________12 is authorized to perform commercial air operations, as defined in the attached operations specifications, in accordance with the Operations Manual and the _________________________13.

Date of Issue:14

Name:15

Title:

CERTIFICATION STATEMENT

I hereby certify that the attached is a true copy of the [title of the AOC] issued at [place] on [date] by the FAA.

Signed at [place] on [date]

[Digital signature of FAA official]

[Title]

1. Issued by the Federal Aviation Administration.

2. Support information reference:

3. These Operations Specifications are approved by direction of the Administrator.

4. Date Approval is effective:____________  Amendment Number:__________________________

5. I hereby accept and receive the Operations Specifications in this paragraph.

 

 

Date:

Notes:

1. Auto-filled.

2. Auto-filled.

3. Reserved for future use.

4. Unique AOC number: this is the operator’s FAA certificate number.

5. Auto-filled.

6. Insert the operator’s registered name.

7. Operator trading name, if different. Insert “DBA” before the trading name (for “doing business as”).

8. The contact details include the telephone and fax numbers, including the country code, and the email address (if available) at which operational management can be contacted without undue delay for issues related to flight operations, airworthiness, flight and cabin crew competency, dangerous goods, and other matters, as appropriate.

9. Operator principal place of business address.

10. Operator principal place of business telephone and fax details, including the country code. Provide email, if available.

11. Insertion of the controlled document, carried onboard, in which the contact details are listed with the appropriate paragraph or page reference. For example: “Contact details… are listed in the Operations Manual, Gen/Basic, Chapter 1, 1.1” or “… are listed in the Operations Specifications, page 1,” or “… are listed in an attachment to this document.”

12. Operator registered name.

13. Insert “14 CFR.”

14. Issuance date of the AOC (dd-mm-yyyy).

15. Title and name of the authority representative. An official digital signature stamp is applied to the certification statement on the AOC.

RESERVED. Paragraphs 2-77 through 2-100.