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8900.1 CHG 542

VOLUME 2  AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS

CHAPTER 2  GENERAL INFORMATION FOR AIR CARRIER CERTIFICATION AND FRACTIONAL OWNERSHIP APPLICATION

Section 3  Safety Assurance System: Evaluate Part 121/135 Management Personnel

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2-151    REPORTING SYSTEM(S).

A.    Program Tracking and Reporting Subsystem (PTRS). For evaluating proposed part 119 management personnel, use PTRS activity code 1352, 3352, or 5352, as appropriate. For processing management deviation requests, use PTRS activity code 1328, 3319, or 5319, as appropriate. A change of management personnel requires the initiation of a configuration change request in SAS (see Volume 10, Chapter 2, Section 1).

B.    Safety Assurance System (SAS). For evaluating certificate holders’ existing Title 14 of the Code of Federal Regulations (14 CFR) part 119 management personnel, use SAS automation and the associated Data Collection Tools (DCT).

2-152    OBJECTIVE. This section provides guidance on evaluating the qualifications and management deviations of part 119 management personnel for certificate holders/applicants conducting operations under 14 CFR parts 121 and 135. The term “certificate holder” within this section applies to air carrier or operating certificates issued under part 119.

2-153    GENERAL.

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A.     Required Management Personnel Positions. Part 119 establishes the requirements for which management positions are required for both parts 121 and 135. These management personnel are the primary individuals the Federal Aviation Administration (FAA) relies on for the management and operations of the certificate holder. These individuals are integral for the safe operations of the certificate holder and are required to be knowledgeable in the type of operations the certificate holder is authorized to conduct. Their experience and knowledge should not only meet the specifics of the regulations, but they should also meet the intent of the experience requirements. Certificate holders may wish to employ people in these required management positions when the candidate lacks the required pilot-in-command (PIC) experience, operational management experience, or aircraft maintenance experience, but possesses other comparable experience which suitably prepares them for the needed position.

1)    Part 121 Positions. Part 119, § 119.65 establishes management and technical personnel positions for certificate holders operating under part 121 (e.g., Director of Safety (DOS), Director of Operations (DO), Chief Pilot (CP), Director of Maintenance (DOM), and Chief Inspector). Section 119.67 specifies the airman qualifications and experience for personnel serving in these positions for part 121.
2)    Part 135 Positions. Section 119.69 establishes management and technical personnel positions for certificate holders operating under part 135 (e.g., DO, CP, and DOM). Section 119.71 specifies the airman qualifications and experience for personnel serving in these positions for part 135.
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3)    Airman Qualifications and Experience. Candidates for these required part 121 or 135 management and technical positions must have the airman qualifications and experience needed to carry out their duties and responsibilities with a degree of expertise consistent with the certificate holder’s responsibility to operate with the highest level of safety. Sections 119.67(e) and 119.71(f) specify deviation authority for other comparable managerial and supervisory experience to provide flexibility for those candidates who do not meet the regulatory experience requirements, yet may effectively manage the certificate holder operation. It is quite possible a candidate may not possess the regulatory experience required to hold a position, but has other comparable experience which exceeds the expertise gained in meeting the minimum experience qualifications for the position. Required pilot qualifications are not the subject of a deviation under § 119.71(f).
4)    CP Qualification. Candidates for part 135 CP must comply with § 119.71(c) and (d), which states that they must be “qualified to serve as pilot in command.” This means the person must meet all regulatory requirements to serve as PIC, including holding a valid appropriate-class medical certificate. If at any time the person’s medical has been denied, suspended, revoked, or has expired, that person is no longer qualified to serve as PIC and can no longer hold the CP position (see subparagraph 2-153B below). Under the provisions of 14 CFR part 61, § 61.53(a), a temporary loss of the ability to exercise the privileges of a pilot certificate does not disqualify that person to hold the CP position.
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5)    Deviation Request and Approval Procedure. The deviation request and approval procedure described below offers the certificate holder flexibility to employ persons who may not possess the exact type or quantity of experience required by the regulations, but who possess other comparable experience. However, the deviation request procedure is not applicable to individuals who do not possess the required airman certificate and ratings.
6)    Previous Experience. A person who was granted a management deviation cannot use that deviation to meet the previous experience position criteria of § 119.71(a)(2)(ii), (b)(2)(ii), (c)(2), and (d)(2), or § 119.67(a)(3)(ii) and (b)(2) until the deviation is no longer required. For example, § 119.71(a)(2)(ii) states, “In the case of a person with previous experience as a Director of Operations,” if that person was under a qualification deviation to serve as DO, that person cannot be considered to meet the requirements as previous DO under § 119.71(a)(2)(ii). This requirement does not apply to the DOM or Chief Inspector positions.

B.    Management Vacancies Under §§ 119.65 and 119.69. If there is a vacancy in one of these required positions, the certificate holder is required to notify the certificate-holding district office (CHDO), per § 119.65(e)(3) or 119.69(e)(3), of any vacant positions and should state the course of action the certificate holder is taking to fill the position. The certificate holder may take any of the following courses of action to comply with §§ 119.65 and 119.69 when there has been a change in personnel or a vacancy in one of the required management personnel positions:

1)    Current Employee Appointment. If the certificate holder operating under part 121 has an employee who meets the certification and experience requirements of § 119.67, or a certificate holder operating under part 135 has an employee who meets the certification and experience requirements of § 119.71, the certificate holder may appoint that employee to the vacant position. The notice required by § 119.65(e)(3) or 119.69(e)(3) should state this change in personnel. The certificate holder should demonstrate in the notice that the individual meets the qualification requirements of § 119.67 or 119.71. The individual can show he or she meets those requirements by submitting a copy of his or her résumé showing his or her qualifications, certificates, ratings, and experience.
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2)    Deviation for Individual. If the certificate holder has an employee or candidate who does not meet the appropriate airman experience, managerial experience, or supervisory experience requirements of § 119.67 or 119.71, but who has comparable experience and can effectively perform the functions associated with the position, the certificate holder may request a deviation from these experience requirements in accordance with the guidance provided in this section. If the FAA grants the deviation, the certificate holder can then appoint that employee to the vacant position, thus complying with § 119.65 or 119.69. Deviations are authorized by issuing operations specification (OpSpec) A005(c). Deviation authority is not available for a person who does not hold the required airman certificates and ratings.
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3)    Deviations for Required Positions. If a certificate holder can show that it can perform the operation with the highest degree of safety under the direction of fewer or different categories of management personnel, the certificate holder can utilize §§ 119.65(b) and 119.69(b) to ask the FAA to amend its OpSpecs and approve the operation without filling the otherwise required position. Deviations are authorized by issuing OpSpec A005(c).
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4)    Unable to Fill Within 10 Days. If a certificate holder is not able to fill the vacancy within the 10‑day period prior to being required to notify the CHDO of the vacancy or use one of the options outlined above, the certificate holder is not in compliance with applicable regulations. There are several situations that create extenuating circumstances and the CHDO must decide, per Volume 14, Chapter 1, Section 1, the most appropriate course of action to regain compliance. In the notification required by § 119.65(e)(3) or 119.69(e)(3), it must state which position is vacant and should include an explanation for the vacancy and a plan to fill the vacancy within 30 days. The CHDO reviews this plan and may grant an extension of an additional 30 days, when appropriate, with a written response. A vacancy in one of the required positions should only exist for a reasonable duration of time needed by the certificate holder to fill the position. Based on current industry practice, this process should not exceed 60 days. Should this vacancy exceed 60 days, consult with the Chief Counsel’s Office (AGC) for appropriate certificate action. Some of the options may include voluntary suspension of certificate, surrender, or other adverse action of the certificate holder.

2-154    PROCEDURES TO REVIEW FOR THE PROPOSED PART 119 MANAGEMENT POSITION CANDIDATE.

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A.    Items for the Principal Inspector (PI) to Complete. When a certificate holder submits an applicant for one of the part 119 required management positions, the PI will complete the following:

1)    Check the applicant’s FAA certificate(s) for appropriate ratings and validity, including a current medical where appropriate.
2)    Check the National Program Tracking and Reporting Subsystem (NPTRS) database for Compliance Action and other contact history, Accident Incident Data System (AIDS) for events, and Enforcement Information System (EIS) for previous violation history.
3)    Verify employment history (résumé) to ensure that:

    The applicant meets the necessary experience requirements;

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    The applicant is not serving in a management position with another certificate holder, unless approval has been granted in accordance with paragraph 2-158;

    The applicant has not held a similar position and contributed materially to a certificate revocation in a part 121, 125, or 135 operation; and

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    Prior work history conducted in another CHDO indicates there have been no past performance issues.

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4)    Interview the candidate within your own discipline. Determine the candidate’s knowledge of the following:

    Sections of the certificate holder/applicant’s manual;

    Certificate holder’s OpSpecs; and

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    Relative provisions of 14 CFR parts 43, 61, 65, 91, 119, 121, 135, and 145.

5)    Determine the eligibility of the candidate. Base the decision on the information above.
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B.    Final Steps. The PI will inform the certificate holder/applicant of the results after receiving all the information. The PI will inform the certificate holder in writing either via formal letter or email and keep a copy in the certificate holder’s file. Official authorization will be accomplished via issuance of OpSpec A006.

2-155    EVALUATING MANAGEMENT EXPERIENCE OF MAINTENANCE PERSONNEL. Personnel responsible for the inspection and maintenance organizations must possess the qualifications required in §§ 119.67(c) and (d) and 119.71(e). If a certificate holder/applicant elects to contract out all maintenance, the positions defined by parts 121 and 135 are still required.

A.    FAA Required Positions:

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    The DOM (parts 121 and 135) has the authority and the overall responsibility for managing and implementing the certificate holder/applicant’s maintenance program, including all inspection functions; and

    The Chief Inspector (part 121) is directly responsible and accountable for administering the certificate holder/applicant’s required inspection program.

B.    Part‑Time and Full‑Time Positions. Operations conducted under part 121 must have qualified personnel serving full-time in the required positions. The aviation safety inspector (ASI) must determine if the part 135 certificate holder/applicant has sufficiently qualified management personnel to ensure the safety of its operations. Each person employed on a part‑time basis must be readily available to fulfill all responsibilities of the position that are consistent with the certificate holder’s operations.

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C.    DOM Position. Individuals considered for the DOM position should have experience in any position where the normal duties and responsibilities included management oversight and/or control of the development, upkeep, and responsibility for one or more of the following elements of an aircraft maintenance or inspection program:

    Maintenance program manual;

    Airworthiness;

    Maintenance and inspection organization;

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

    Approval of alterations performed by maintenance providers or contractors;

    Continuing Analysis and Surveillance System (CASS);

    Maintenance recordkeeping; and

    Maintenance personnel training.

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D.    Chief Inspector Position. Individuals considered for the Chief Inspector position should have experience in any position where the normal duties and responsibilities included management oversight and/or control of the development, upkeep, and responsibility for one or more of the following elements of an aircraft maintenance inspection, quality control (QC), or quality assurance (QA) functions within a maintenance or inspection program:

    Inspection program policy and procedures;

    Airworthiness;

    Inspection organization;

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

    QA and approval of alterations performed by maintenance providers or contractors;

    Maintenance recordkeeping; and

    Inspection personnel training.

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2-156    EVALUATING MANAGEMENT EXPERIENCE OF OPERATIONS PERSONNEL. Personnel requesting to serve as the DO or CP must possess the qualifications required in § 119.67 for part 121 operations and § 119.71 for part 135 operations. For those situations where proposed individual(s) do not meet the requirements of § 119.67 or 119.71, a management deviation under § 119.67(e) or 119.71(f) must be requested by the certificate holder and approved per the appropriate regulation and as described herein. A certificate holder/applicant may not contract out the responsibilities for these positions, and they are required to be filled by employees of the certificate holder.

2-157    EVALUATING MANAGEMENT EXPERIENCE FOR DOS.

A.    DOS Position. Each certificate holder that conducts operations under part 121 must have a DOS. There are no qualifications listed in § 119.67 for the DOS position. Therefore, the CHDO shall consider the following information when approving an individual for the DOS position. This person is responsible for keeping the certificate holder’s highest management officials fully informed about the safety status of the company and, therefore, should have extensive operational experience and professional qualifications in aviation. This should include the knowledge and understanding of aviation safety programs, aviation safety standards, and safe aviation operating practices.

1)    The DOS should have established professional credentials. These credentials may be any of the following:
a)    An FAA Commercial or Airline Transport Pilot (ATP) Certificate,
b)    An FAA Mechanic Certificate, or
c)     An FAA Aircraft Dispatcher Certificate.
2)    The DOS should have professional aviation supervisory experience. Such experience may include any combination of the following, providing the total experience is greater than or equal to 3 years:
a)    Experience in a supervisory position with a part 121 or a scheduled part 135 certificate holder.
b)    Experience in a position comparable to a) above in U.S. military aviation operations.
c)    Experience in a supervisory position with a government department, board, or agency that deals directly with aviation matters.
d)    Experience in a supervisory position with a part 91 or 125 operations/aviation department.
e)    One year of experience may be listed if the candidate has completed a degree in higher education relating to aviation safety.
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B.    DOS Functions. 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 from the regulatory requirement involving a combined DOS position must be approved by the Air Transportation Division (AFS‑200) in accordance with §§ 119.65(b) and 119.67(e).

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

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NOTE:  For the purposes of part 119 management personnel, small part 121 certificate holders are generally defined as those carriers operating five airplanes or fewer.

2-158    MANAGEMENT PERSONNEL SERVING MULTIPLE CERTIFICATE HOLDERS.

A.    The Difference Between §§ 119.65 and 119.69. Regulatory constraints in § 119.65 require that management personnel for part 121 certificate holders be full-time. This precludes any and all part 121 management personnel from holding any other part 119 management positions concurrently, including any part 135 management positions. Deviations for combined part 119 management positions operating under part 121 are approved in accordance with § 119.65(b) and paragraph 2-163.

B.    Section 119.69 Criteria. Section 119.69 does not contain equivalent wording to § 119.65 requiring full‑time management personnel for part 135 certificate holders. An individual who is fully qualified may serve as a management person for more than one part 135 certificate holder. Section 119.69(b) uses the following criteria in determining the positions and number of management personnel:

1)    The kind of operation involved.
2)    The number and type of aircraft used.
3)    The area of operations.

C.    Multiple Certificate Holders. The PI should use the same criteria in approving or denying the same individual for multiple certificate holders. The PI ultimately is responsible to determine if the best interest of aviation safety is served by multiple certificate holders sharing one individual. The following norms should be considered when a determination is made whether part 119 management personnel can serve for more than one part 135 certificate holder:

1)    Size. Multiple turbojet aircraft with international authorizations would be an example of a complex certificate holder and an unlikely situation to share management personnel. Certificate holders authorized one aircraft or a few single-engine visual flight rules (VFR) aircraft is an example of a situation where sharing management personnel could be acceptable.
2)    Location. Certificate holders not located in close proximity would also be a factor to consider and justification of a denial to share management personnel.
3)    Multiple CHDOs. Multiple CHDOs involved is another concern and should be avoided.

D.    Review Process. As part of the review process, the individual who meets regulatory requirements must be interviewed. The respective PIs must reach consensus that the individual meets the regulatory requirements and can perform the assigned duties for the certificate holder before approving. For individuals who do not meet the regulatory requirements, the certificate holder may request a qualification deviation by using the process described in paragraph 2‑159. The PIs must agree that a deviation is appropriate and the CHDO manager must concur before forwarding to the Regional Office (RO) for approval.

NOTE:  Headquarters (HQ) will not approve part 135 commuter operations or part 121 operations to share part 119 management personnel, as provided for in this paragraph.

2-159    MANAGEMENT DEVIATION REQUEST. Under those circumstances when the certificate holder submits a written request for a management deviation, the following process will be followed:

A.    Make the Request Through the CHDO. When a certificate holder requires a management deviation, the certificate holder must initiate such requests through its CHDO in writing. The request must adhere to the processes and procedures and contain a minimum of the information shown in subparagraphs 2-159B1) through 10) for evaluation.

B.    Submit a Request Letter. The certificate holder’s written request must contain the following:

1)    Full certificate name, including doing business as (DBA) of the requesting entity (e.g., ABC Airlines, Inc. DBA XYZ Air).
2)    Complete address and certificate number of the certificate holder.
3)    Full name and airman certificate number of the management applicant.
4)    Number of aircraft by category, class, and type.
5)    Number of employees/pilots/other crewmembers.
6)    Areas and kinds of operations authorized (e.g., contiguous United States, State of Alaska, domestic, supplemental, and helicopter air ambulance (HAA)).
7)    Statement of operations authorized (e.g., single PIC, basic part 135 on‑demand only, and part 121 supplemental).
8)    Any other management deviations held by the certificate holder.
9)    Statement of why the certificate holder requires a management deviation, management position(s) involved, and an explanation of what comparable experience the individual has that would justify the management deviation.
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10)    A résumé for the individual that specifically outlines their work experiences and duration of each work experience (month/year) to include: PIC/second in command (SIC) time in type of aircraft and/or management experience for the kind of operations conducted, to include the 14 CFR part under which the certificate holder was certificated (part 91/135/121, etc.). Include the various types and numbers of aircraft in the operation. PIC time is from month of PIC check/authorization and not necessarily the date of employment.
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NOTE:  The information contained in the résumé must be verified by a PI assigned to the certificate, including supporting documentation.

C.    Statement. The PI will include a statement indicating the NPTRS, AIDS, and EIS records of the certificate holder and management applicant have been reviewed. If any adverse findings were encountered, the PI should verify that the adverse history has been appropriately resolved.

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2-160    EVALUATING DEVIATION REQUESTS FOR DOM AND CHIEF INSPECTOR POSITIONS.

NOTE:  Deviations may be granted from the minimum experience requirements in § 119.71. However, the applicant must hold the appropriate certificates and ratings.

A.    Consider Overlapping Duties. Before allowing an individual to serve as DOM or Chief Inspector, the PI must consider the other duties performed by that person. For example, if that person also plans to serve as a flightcrew member, the ASI must ensure that those duties will not interfere with the person’s responsibilities as DOM or Chief Inspector.

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NOTE:  Operations conducted under part 121 require personnel to serve full-time in the required positions.

B.    PI Responsibilities. The PI is responsible for the following:

1)    Interviewing the individual involved to verify aviation experience and qualifications;
2)    Determining the size, scope, any known expansion plans, and safety record of the certificate holder;
3)    Verifying the applicant’s résumé and experience; and
4)    Recommending approval or denial of the request.
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2-161    EVALUATING DEVIATION REQUESTS FOR DO AND CP POSITIONS.

NOTE:  The regulations do not permit the grant of a deviation against an airman certificate requirement for individuals who do not hold the required airman certificate or rating. However, they may apply for an exemption under 14 CFR part 11.

A.    Comparable Experience. A management position experience deviation may be issued for individuals who lack the minimum management experience requirements, PIC experience requirements, or recency‑of‑experience requirements (specified in §§ 119.67 and/or 119.71) if appropriate comparable experience is presented and accepted by the Administrator.

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1)    For the DO, the evaluation of experience in any position where the normal duties and responsibilities included management/supervisory oversight and/or responsibility and authority over the development, upkeep, and performance of one or more elements of a certificate holder’s operational control system may be considered as comparable experience. Management positions, wherein the applicant exercised aviation management decisionmaking processes, may be considered as comparable experience (e.g., Assistant DO, Assistant CP, Flight Department Manager, Military Flight Unit Commander, Standards and Evaluation Officer, and Aviation Safety Officer). Experience involving operational control may also be acceptable (e.g., supervisory aircraft dispatcher, keeping in mind for part 135 operations the documentation of proof rests with part 135, § 135.77).
2)    For CP positions, the candidate should possess a minimum of 12 months PIC experience in either part 121 or 135 operations within the previous 72 months.
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3)    For other comparable experience to be used for both the DO and CP positions, all comparable experiences added together should equal or exceed the required 3 years. 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;

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    Experience as a manager of a corporate flight department (parts 91/125) operating more than one comparable aircraft with operations similar to a parts 121/135 certificate holder;

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

    Experience in a civilian or military management position with responsibilities for safely transporting passengers and/or cargo with aircraft of similar or more complex systems and capability; or

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    Experience in service with a foreign air carrier including management positions.

B.    Unacceptable Experience. The following may not be considered as comparable experience: military single‑pilot operations without unit leadership or command responsibility experience, ground or flight instruction, 14 CFR part 137 aerial application operations, 14 CFR part 133 helicopter external-load operations, 14 CFR part 142 training center instruction, academic education, or writing manuals without managerial experience implementing the same manuals.

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2-162    THE EVALUATION TOOL FOR MANAGEMENT EXPERIENCE DEVIATION REQUESTS (OPERATIONS). AFS-200 has developed a job aid to assist principal operations inspectors (POI) in evaluating comparable experience. These are specific for the DO for part 121 and 135 certificate holders and CP for part 121 and 135 certificate holders. These four worksheets will help guide and standardize management deviation requests for both part 121 and 135 operations. You can find these worksheets via the links provided in subparagraph 2‑162D2). These matrices are only a tool and they are not regulatory. These worksheets are referred to as an Experience Rating Worksheet (ERW) and have a total point value that should be met; however, even though the qualifications may have driven the score to either higher or lower than the base standard, the user/evaluator at any level may accept or reject the results with an operationally valid reason. An example of a valid reason to deny could be the candidate has extensive military flight management experience, but does not yet have enough part 121/135 certificate holder experience regardless of the points received. Another example would be a previous FAA inspector who does not meet the requirements in either part 121 or 135, but in his or her previous career, had extensive certificate holder management and line experience. See subparagraph 2-162B below for experience interpretation discrepancies.

A.    ERW Instructions. At the end of the worksheet, find basic instructions for using the worksheet. Due to the limited space on the worksheet, expanded instructions are located below.

1)    Recency-of-Experience. The maximum period that can be included in the ERW is the past 10 years. The ERW expands the 6-year look-back period in the regulation to allow the look-back period to increase up to 10 years for equivalent experience, but decreases the value of this experience. An individual who cannot meet these requirements most likely has not been active in the aviation environment during this 10‑year look‑back period.
2)    Military Experience. Military experience is limited to a maximum of 24 months in aggregate. Military experience has value, but do not rely upon this experience as the sole source of the total points required. There must be either some part 121 or 135 experience in the applicant’s past.
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3)    Part 91/91K/125 Experience Limit. Part 91/91K/125 experience is limited to a maximum of 36 months in aggregate. Once again, this experience has value, but do not rely upon this experience as the sole source of the total points required. There must be either some part 121 or 135 experience in the individual’s past.
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4)    Foreign Experience.
a)    PIC experience gained by the applicant at an International Civil Aviation Organization (ICAO)‑certificated foreign air carrier may be credited on the ERW as “Other Experience.” The entire operating experience cannot consist of exclusively foreign experience. Individuals must always have at least 12 months PIC experience with a U.S. part 121 or 135 certificate holder within the last 72 months. Experience operating in the U.S. National Airspace System (NAS) and according to FAA regulations are essential qualifications to serve in a management position for a U.S. part 121 or 135 certificate holder.
b)    Management experience gained by the applicant at an ICAO-certificated foreign air carrier may be credited on the ERW as “Part 91 Management Experience.”
c)    Foreign experience listed on a résumé must be supported with documentation and include a statement concerning any accidents, violations, or enforcement action or lack thereof that occurred during that foreign air carrier service.
5)    Management Experience. Use caution when evaluating qualifications for a DO position in part 121 operations. PIC time cannot be the only factor accounting for points. Management experience is a requirement.
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6)    Regional Technical Branch Office Approval. The appropriate regional technical branch office approval shall be based upon a review of the CHDO work.
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B.    Experience Interpretation Discrepancies. If a discrepancy is noted, the regional Flight Standards division (RFSD) must return the worksheet with an explanation to the CHDO for reconsideration.

1)    If the RFSD does not concur with the CHDO and denies the request, the RFSD must return the request, the package, and a memo indicating the reason for the denial. Any disagreement between CHDO and RFSD may be submitted to AFS-200 for final determination.
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2)    If a submittal package contains experience which is not listed on the ERW (“Other Experience,” line  15), the CHDO must explain what that “Other Experience” is and forward the applicant’s résumé with a recommendation and supporting rationale to accept the experience as comparable to the RFSD. The burden of submitting complete and helpful information in favor of acceptance of the candidate rests with the submitting CHDO based on information provided by the certificate holder.
3)    If the RFSD needs assistance interpreting or rating the submittal, they may forward the entire package to AFS-200 with a memo explaining their concerns and request assistance.

C.    After Completion of ERW Job Aid.

1)    The RFSD technical branch representative who conducted the review must check the appropriate approval check box on the top of the ERW and enter their initials and date.
2)    The RFSD must retain a copy and return the original deviation package, including the ERW, to the CHDO. If the deviation package is sent to HQ in the case of part 121 and 135 commuter operations, be sure to include a copy of the ERW.
3)    The POI must retain the original deviation package, including the ERW and the approval memo from the RFSD or HQ, in the certificate holder’s file until the applicant has acquired sufficient experience that a management deviation is no longer required.

D.    ERWs.

1)    The ERW depicted below is only a sample. The most current worksheet version can be found on the respective website listed in subparagraph 2-162D2). These worksheets are Excel spreadsheets and will calculate the respective values when the months are entered. Values are specific to each worksheet and they are not interchangeable.
2)    There are four separate worksheets, one for each of the following positions:
a)    DO under part 121 119.67): http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afs/afs200/branches/afs220/.
b)    CP under part 121 119.67): http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afs/afs200/branches/afs220/.
c)    DO under part 135 119.71): http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afs/afs200/branches/afs250/.
d)    CP under part 135 119.71): http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afs/afs200/branches/afs250/.
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Figure 2-82.  Sample of Experience Rating Worksheet for Chief Pilot Under § 119.71 (Part 135)

NOTE:  DO NOT USE THIS WORKSHEET. This is a sample only and may not be current. Refer to the appropriate website.

Figure 2-82. Sample of Experience Rating Worksheet for Chief Pilot Under § 119.71 (Part 135)

Figure 2-82  Sample of Experience Rating Worksheet for Chief Pilot Under § 119.71 (Part 135) (Continued)

Figure 2-82. Sample of Experience Rating Worksheet for Chief Pilot Under § 119.71 (Part 135) (Continued)

2-163    FEWER, COMBINED, OR DIFFERENT CATEGORIES OF REQUIRED MANAGEMENT POSITIONS.

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A.    Combined Positions. Any certificate holder who requests approval to combine two or more required part 119 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 they will hold (e.g., CP and DO). This is in addition to receiving an approval to combine the management positions. The size, scope, complexity, organizational dynamics, and workload 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. Applicants who serve in a part 119 combined management position should not be assigned to any additional duties (e.g., check airman and instructor).

NOTE:  A combined part 119 management position for single PIC and basic operators is granted via OpSpecs A039 and A038. Single-pilot operators issued OpSpec A040 are not required to have management positions.

B.    Consolidated Positions, Part 121.

1)    Depending on the organization’s needs, the Administrator may allow required part 119 management personnel to hold other nonrequired positions and duties.
2)    Before allowing an individual to serve in any of the required part 119 management positions along with any other positions, the PI must consider the other duties performed by that person. For example, if that person also plans to serve within another management position, the ASI must ensure that those duties will not interfere with the person’s responsibilities in the required part 119 position.

C.    Combined/Consolidated Management Position Steps.

1)    The certificate holder/applicant should submit a request to the CHDO. The request should contain the following information:
a)    The type and number of aircraft operated by the certificate holder.
b)    Size, scope, any known expansion plans, and safety records of the certificate holder.
c)    Any accident or enforcement history of the certificate holder and management applicant.
d)    All ongoing certificate holder corrective action commitments made by the involved management position holders prior to the request, and an updated corrective action plan (CAP) if the request will affect any of the commitments.

NOTE:  The field office will include a statement indicating the NPTRS, AIDS, and EIS history of the certificate holder and management applicant have been reviewed. If any adverse findings were encountered, the PI should verify that the adverse history has been appropriately resolved.

e)    A résumé of the individual who is, or will be, in combined or consolidated positions, including:

    Dates of experience,

    Types of aircraft,

    Specific areas of experience,

    Aeronautical experience,

    Types of management positions previously held, and

    Certificate number(s).

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2)    The PI appropriate to the specialty seeking the deviation is responsible for the following:
a)    Interviewing the individual involved to verify aeronautical experience and qualifications;
b)    Determining the size, scope, any known expansion plans, and safety record of the certificate holder;
c)    Verifying the applicant’s résumé and experience;
d)    Ensuring that any applicant or certificate holder corrective action commitments are not adversely affected by the requested management position change; and
e)    Recommending approval or denial of the request.
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3)    The approval process for combining or consolidating management positions is the same as that for management deviations found in paragraph 2-164.

2-164    APPROVING MANAGEMENT DEVIATIONS.

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A.    Authority to Approve or Deny Management Deviation Requests for Part 121 and 135 Commuter Operations. Deviation authority in § 119.67(e) for part 121 and § 119.71(f) for part 135 commuter operations for granting or denying deviations from this section is the sole responsibility of the AFS-200 manager and the Aircraft Maintenance Division (AFS-300) manager, as appropriate. This authority shall include approval to combine positions or numbers of positions under §§ 119.65(b) and 119.69(b).

B.    Authority to Approve or Deny Management Deviation Requests for Part 135 On‑Demand Operations. Deviation authority in § 119.71(f) for part 135 on-demand operations extends the accountability for granting or denying deviations from this section to the RFSD manager. This authority shall include approval to combine positions or numbers of positions under § 119.69(b) for on‑demand certificate holders. If the RFSD encounters a situation where the criteria in the request is peculiar and they are uncomfortable in making the decision, the package may be forwarded to AFS-200 or AFS-300, as appropriate, with the explanation as to why it is being elevated and what the RFSD is recommending.

C.    Process for Requesting a Management Deviation. A certificate holder may request a deviation (see paragraph 2-159) through the assigned PI; and the CHDO, which recommends approval or denial of the deviation, will forward their recommendation to the RFSD in the form of a memo including supporting documentation. For DO and CP positions, the ERW tools will be used and attached with the package.

D.    RFSD Evaluation. The RFSD office will evaluate the recommendation received and either make final determination in the case of part 135 on-demand operations or forward their recommendation in the form of a memo to HQ in the case of part 121 and 135 commuter certificate holders. For determinations made at the RFSD office, a written response to the CHDO in the form of a memo of approval or denial is required.

E.    Reply from HQ. AFS‑200 and/or AFS‑300 will reply, in writing, to the CHDO through the RFSD with a memo 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.

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NOTE:  Once the applicant meets the experience requirement for the position held and a management deviation is no longer necessary, the OpSpec A005 deviation should be removed.

Figure 2-83.  Parts 121 and 135 Commuter Deviation Flowchart

Figure 2-83. Parts 121 and 135 Commuter Deviation Flowchart

Figure 2-84.  Part 135 On-Demand Flowchart

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Figure 2-84. Part 135 On-Demand Flowchart

2-165    TASK OUTCOMES.

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A.    Complete the Task. Completing this task will result in the following:

1)    If the candidate is not acceptable, notify the certificate holder in writing, either via email or formal letter stating the reasons for denial, as appropriate.
2)    If the candidate does not meet the regulatory requirements of § 119.67 or § 119.71 and a deviation may be appropriate, notify the certificate holder to use the deviation process addressed in paragraph 2-159.
3)    If the candidate is acceptable, with or without a deviation, notify the certificate holder in writing, either via email or formal letter, and authorize the use of the candidate by issuing OpSpecs A006 and A005 listing the deviation (if applicable).
4)    File all supporting paperwork in the certificate holder’s file.

B.    Document the Task.

1)    SAS. For evaluating certificate holders’ existing part 119 management personnel, use SAS automation and the associated DCTs. This section is related to SAS DCTs 1.2.1, (OP) Part 119 Required Personnel, and 1.3.1, (AW) Part 119 Required Personnel.
2)    PTRS. For evaluating proposed part 119 management personnel, use PTRS activity code 1352, 3352, or 5352 as appropriate. For processing management deviation requests, use activity code 1328, 3319, or 5319 as appropriate. A change of management personnel requires the initiation of a configuration change request in SAS (see Volume 10, Chapter 2, Section 1).
3)    File Supporting Paperwork. File all supporting paperwork in the certificate holder’s file.

2-166    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

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    Title 14 CFR Parts 43, 61, 65, 91, 119, 121, 135, and 145.

    Advisory Circular (AC) 120‑59, Air Carrier Internal Evaluation Programs.

    Volume 10, Safety Assurance System Policy and Procedures.

B.    Forms. None.

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C.    SAS Elements:

    1.2.1 (OP) Part 119 Required Personnel.

    1.3.1 (AW) Part 119 Required Personnel.

2-167    FUTURE ACTIVITIES. Follow SAS Volume 10 guidance to plan future risk-based surveillance in SAS. The PI should periodically review the appropriate related OpSpec and the deviation, if applicable.

RESERVED. Paragraphs 2-168 through 2-180.