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8900.1 CHG 571

VOLUME 2  AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS

CHAPTER 3  THE CERTIFICATION PROCESS—TITLE 14 CFR PART 121

Section 2  Safety Assurance System: Phase 2—Application

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2-306    GENERAL. This section details the process for Title 14 of the Code of Federal Regulations (14 CFR) part 121 air carrier certification, Phase 2—Application.

2-307    PHASE 2: FORMAL APPLICATION PREPARATION.

A.    Certification Project Manager (CPM). Verify a tentative date for the formal application meeting with the applicant.

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B.    CPM and Certification Team Lead (CTL). Identify team resources to complete the initial review.

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C.    Preapplication Checklist (PAC) Section 1 Items Review. The applicant must submit the PAC items at least 60 calendar-days prior to the requested formal application meeting date. The initial review of PAC Section 1 items will begin when all Section 1 items are received.

NOTE:  The applicant’s Preliminary Risk Assessment (PRA) process is not required with the PAC Section 1 items; however, the CPT must accept the PRA process prior to returning any manuals to the applicant during the initial review. When the five PRA worksheets have been reviewed and accepted, the PRA process is accepted. (The applicant must use the PRA process to make any manual revisions.)

1)    CPM and CTL. Verify that the PAC Section 1 submittal contains all of the items listed and verify that the application package is complete.
2)    Certification Project Team (CPT). Review and evaluate all components of the submission. See Figure 2-93, PAC Section 1 Items—Initial Review Instructions, for guidance.
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Figure 2-93.  PAC Section 1 Items—Initial Review Instructions

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PAC Section 1—Initial Review. The applicant submits Section 1 of the PAC 60 calendar-days prior to the requested formal application meeting. The initial review determines the acceptability of the PAC Section 1 items.

1.   The CPT verifies that the applicant has submitted all of the PAC Section 1 items and ensures the following items are acceptable:

a)   An updated Federal Aviation Administration (FAA) Form 8400-6, Preapplication Statement of Intent.

b)   The completed required management personnel résumé, Qualification Summary (QS), and Quality Audit Forms (QAF).

c)   The completed list of proposed operations specifications (OpSpecs).

d) The applicant’s PRA process developed from the PRA Workshop. (Review and accept the PRA process at this time if at all possible. This will prevent delays during the PAC Section 2 Initial Review since the applicant must use their PRA process for manual revisions.)

3)    CPM. When the CPM and CTL agree that the current submission is acceptable to proceed, notify the applicant in writing.
a)    If additional data is necessary, or if the current submission is not of sufficient quality to proceed, notify the applicant with a written explanation of concerns.
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b)    Post a copy of the correspondence in the Safety Assurance System (SAS) document management system.
4)    CPT. Repeat subparagraph C2) above until the submission is acceptable.

D.    PAC Section 2 Items. The applicant must submit the PAC Section 2 items a minimum of 15 business-days prior to the requested formal application meeting.

1)    CPM and CTL. Verify that the PAC Section 2 submittal contains all of the items listed and verify that the application package is complete.
2)    CPM. Notify the applicant in writing when all required PAC items have been received and the review has begun.
3)    CPM. Contact the Department of Transportation (DOT) Office of the Secretary of Transportation (OST), Air Carrier Fitness Division, Office of Aviation Analysis (OAA) at 202-366-9721, to confirm receipt of the application package. (See Volume 2, Chapter 2, Section 2 for detailed information on DOT requirements.)
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E.    PAC Section 2 Initial Review. The CPT has a minimum of 15 business-days to review documents after the CPM/CTL accepts the application package. See Figure 2-94, PAC Section 2 Items—Initial Review Instructions, for additional guidance.

1)    CPM and CTL. Provide input to Frontline Managers (FLM) to help them identify team resources needed to complete each Element Design (ED) Data Collection Tool (DCT) selected for the initial review.
2)    CTL. Complete the “Assign Initial Work Review” document in the Project Management Tool (PMT).
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3)    Certificate-Holding District Office (CHDO) and Safety Analysis and Promotion Division (AFS-900) FLMs. Determine resource availability and assign team coordinators and team members to support the initial review. CHDO and AFS-900 FLMs will assign the ED DCTs selected for this review to the CHDO and AFS-900 team members.
4)    CPT. Accomplish the assigned ED DCTs.
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5)    CPM/CTL. If the assigned ED DCTs meet the evaluation criteria as outlined in the initial review instructions, notify the applicant in writing and proceed with scheduling the formal application meeting.
6)    CPM/CTL. If additional data is necessary, or if the current submission does not meet the evaluation criteria to proceed, notify the applicant with a written explanation of concerns.
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7)    CPM/CTL. Post a copy of the correspondence to the SAS document management system.
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NOTE:  The applicant must use the accepted PRA process to accomplish any required manual or system revisions. The applicant must provide evidence that they used their PRA process when they submit any revisions in this phase.

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8)    CPT. Upon receipt of the revised submission, complete the originally selected ED DCTs that did not meet evaluation criteria. At the discretion of the CPM and CTL, additional ED DCTs may be selected for review. Ensure that those ED DCTs and all other documents that met the evaluation criteria have not changed since the original submission. Repeat the review process until the submission is acceptable to the CPM and CTL.
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Figure 2-94.  PAC Section 2 Items—Initial Review Instructions

PAC Section 2 Items—Initial Review. The applicant submits Section 2 of the PAC 15 business-days prior to the requested formal application meeting. The Initial Review determines the acceptability of the PAC Section 2 items.

1.   The CPT verifies that the applicant has submitted all PAC documents and verifies that they are complete and acceptable.

a)   Verify that all manuals required to conduct the Element Design Assessment (EDA) are available to the CPT.

b)   Verify that the compliance statement includes applicable rules from 14 CFR parts 5, 117, 119, and 121, and appropriate manual references.

2.   The CPM and CTL will conduct a review of eight of the self-audited ED DCTs. An appropriate number of ED DCTs representing programs that require approval or OpSpecs will be selected and additional ED DCTs as necessary to total eight. These ED DCTs will be distributed as equally as possible between the CHDO and AFS-900 Certification and Evaluation Program Office (CEPO) team members. Review the selected ED DCTs as follows:

a)   Download the selected ED DCTs and the Compliance Statement.

b)   Review the Compliance Statement while conducting the review of the selected ED DCTs to assess the accuracy of the manual references supplied by the applicant.

c)   Use the evaluation criteria below:

1.   The design of an air carrier’s system described in the selected ED DCTs must, at a minimum, meet all the regulatory and design requirements necessary to be acceptable with minor mitigation. Conduct the review using guidance in FAA Order 8900.1 for certificated air carriers.

2.   References given by the applicant for each selected self-audited ED DCT must both be accurate and answer the question adequately. If the reference is to the manual system, it should be to the volume, chapter, and section (or equivalent). This review will determine the applicant’s knowledge of their manual system as well as their general understanding of terms, processes, and procedures that are common to certificated air carriers. The reviewing inspector should note references and answers that are not acceptable and, if considered excessive, notify the CPM and CTL. Generally, if the manuals describe systems that are acceptable/approvable with minor mitigation, then the ED DCT will be accepted and the applicant notified about the reference errors. If the CPM and CTL determine that the reference errors are significant, the ED DCTs should be returned to the applicant for revision and re-submission.

NOTE:  For any subsequent submission, additional ED DCTs (not previously reviewed) may be added at the discretion of the CPM and CTL.

 

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3.   The programs must be approvable/acceptable to the CPT with minor mitigation.

NOTE:  When revisions to manuals or systems are required by the review, the applicant must use the accepted PRA process for each revision and submit evidence of such use.

3.   The CPM enters the results in the SAS document management system.

NOTE:  Three rejections of the initial review can be cause for termination of the certification project. The CHDO makes this decision. Part 119, § 119.39(b)(1), states, “An application for a certificate may be denied if the Administrator finds that the applicant is not properly or adequately equipped or is not able to conduct safe operations under this subchapter.” In addition, the applicant must maintain an active project. The CHDO must evaluate an inactive period that exceeds 90 calendar-days. Inactivity of greater than 90 calendar-days may be cause to terminate the certification process, or the process may be terminated when it is clear that continuing the process will not result in approval or acceptance (i.e., multiple failures of the applicant’s submissions). If there is a change to aircraft make/model during the certification process, the project must be restarted at the beginning of Phase 2 or reviewed for possible termination.

F.    Plan Formal Application Meeting.

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1)    CPM/CTL. When the initial review determines that the formal application package meets the evaluation criteria, plan the formal application meeting. (See Figure 2-95, Formal Application Meeting Plan.)
2)    CPM/CTL. Confirm that § 119.65(a) required management personnel will attend. Reschedule the meeting if any required management personnel cannot attend.
3)    CPM and CTL. Determine which CPT members will attend the formal application meeting.
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Figure 2-95.  Formal Application Meeting Plan

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Formal Application Meeting Plan. The objective of the meeting is to determine that the applicant’s § 119.65 required management personnel are knowledgeable of their air carrier systems, applicable rules, and guidance. The CPT accomplishes this task by developing questions related to processes under the individual’s areas of responsibility or control.

1.   CPM—Develop an Agenda. Suggested agenda items:

    Introductions and circulate attendance roster (see Figure 2-97, Sample Attendance Roster),

    Applicant describes proposed air carrier systems,

    Review certification process,

    Explain conduct and criteria of this meeting,

    Present management questions,

    Resolve discrepancies and open items,

    Discuss proposed OpSpecs, and

    Review requests for exemption or deviation.

2.   CPT—Develop Management Questions. Design questions that will assess the applicant’s required management personnel’s knowledge of their processes and associated system documentation. The questions should directly relate to processes under the individual manager’s area of responsibility. The answers should include references to the manual system or other company documentation.

a)   Questions and answers should be based on the current status of the applicant’s system documentation and target each manager’s knowledge of the process for which he or she has responsibility. Questions should not be scenario based.

3.   CPM—Document the Questions and Expected Answers. Include the manual/documentation reference(s) on the Formal Application, Management Questionnaire Worksheet, along with the questions. (See Figure 2-96, Formal Application Management Questionnaire Worksheet.)

4.   CPM. Assign questions to CPT members.

5.   CPT—Present Management Questions and Evaluate Responses. Each of the applicant’s required management personnel should demonstrate an acceptable level of understanding of their air carrier systems by correctly answering all questions. Do not allow managers to use “word search” as their primary method to locate manual references. They should be able to identify the correct manual and chapter before using any “word search” function. Unsuccessful results may require retesting the manager(s) at a later date.

NOTE:  This event is not an opportunity to reveal inadequacies in the applicant’s system design. The Design Assessment (DA) in Phase 3 addresses deficiencies in their system design.

6.   CPT. Discard questions and answers upon successful completion of the meeting.

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Figure 2-96.  Formal Application Management Questionnaire Worksheet

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FORMAL APPLICATION MANAGEMENT QUESTIONNAIRE WORKSHEET

Applicant:

Name and Position:

Question:

 

 

 

 

 

 

Expected Outcome (References):

 

 

 

 

 

Actual Outcome:

 

 

 

 

 

SAT ☐          UNSAT ☐

Date:

CMT Member Name:

Separate Here to Provide Question to Management

 

Question:

 

 

 

 

 

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G.    Notify/Coordinate With the Region. CPM—advise the regional Flight Standards division (RFSD) of the formal application meeting date.

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H.    Conduct the Formal Application Meeting. See Figure 2-95 for guidance.

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1)    CPM/CTL. Circulate the attendance roster. (See Figure 2-97.)
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2)    CPM/CTL. Accomplish the items on the meeting agenda.
3)    CPM/CTL. Conclude the formal application meeting.
4)    CPM/CTL. Inform the applicant that they will receive written notification within 5 business‑days of acceptance or rejection.
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Figure 2-97.  Sample Attendance Roster

Attendance Roster

Date:

 

Type of Meeting:

 

Applicant Name:

 

Location:

 

Name

(Please Print)

Title or Position

Phone Number

Email Address

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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I.    Accept or Reject the Formal Application Meeting or the Entire Formal Application Package.

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1)    CPT/CPM/CTL. Determine that the applicant’s required management personnel are knowledgeable of their air carrier systems.
a)    An unsuccessful evaluation of any or all individuals does not always require a rejection of the application. The CPM/CTL will conduct a followup evaluation of the appropriate individual(s).
b)    The CPM/CTL must complete this followup evaluation with satisfactory results before finishing Phase 2.
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2)    CPT. During the certification process, if there is a change to any part 5 or part 119 required management personnel, conduct an evaluation of that person to ensure the person is knowledgeable of their system and applicable rules and guidance.
3)    CPT. Discuss areas of concern identified during the formal application meeting.
4)    CPM/CTL. Determine whether the application is acceptable.
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J.    Notification to Applicant. CPM—Provide either a letter of acceptance or a letter of rejection to the applicant within 5 business-days of completing the formal application meeting. A letter of rejection will state the reason for rejection of the formal application meeting or the application package. The CHDO manager will determine at which step the applicant will reenter the certification process, or whether to terminate the certification project.

K.    Complete Phase 2 Review. Figures 2-93 and 2-94 contain instructions for reviewing the PAC Sections 1 and 2.

1)    CPM/CTL. Verify that the applicant has met all Phase 2 Gate requirements (see Figure 2-98, Phases and Gates for Initial Certification).

L.    CPM. Make appropriate entries into the SAS document management system.

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Figure 2-98.  Phases and Gates for Initial Certification

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Figure 2-98. Phases and Gates for Initial Certification

RESERVED. Paragraphs 2-308 through 2-313.