VOLUME 2 AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS
CHAPTER 3 THE CERTIFICATION PROCESSTITLE 14 CFR PART
Section 3 Safety Assurance System: Phase 3Design Assessment
2-314 GENERAL. This section details the process for Title 14 of the Code of Federal Regulations (14 CFR) part
carrier certification, Phase 3Design Assessment (DA). The Safety Assurance System (SAS) contains “Certification Projects” on the menu,
which is the entry point for creating and accessing data and documents related to the certification.
2-315 PHASE 3: DESIGN ASSESSMENT (DA).
A. Configuration and Planning (Modules 1 and 2).
1) Configuration, Module 1Certification Project Manager (CPM)/Certification
Team Leader (CTL). Validate the applicant’s information and update the pre-populated
fields in the Certificate Holder Operating Profile (CHOP) as necessary.
2) Planning, Module 2CPM. Generate the Comprehensive
Assessment Plan (CAP) and add the Safety Management System (SMS) Design Validation
Custom Data Collection Tools (C DCT) to the CAP. Include the following information
in the principal inspector (PI) instructions for each Element Design Assessment (EDA) and C DCT:
• “Name of Inspector” conducting the inspection,
and indicate “team coordinator (TC)” or “team member.”
• Proposed completion date.
B. Resource Management (Module 3).
1) CPM and CTL. Provide input to Frontline Managers (FLM) and assistant
managers to help them identify team resources to complete the Element Design
(ED) DCTs and the SMS Design Validation C DCTs. The workload should be shared
between the certificate-holding district office (CHDO) and Safety Analysis and Promotion Division (AFS-900) personnel.
NOTE: A CHDO inspector should be assigned as TC on the ED DCTs that
apply to programs that must be approved or are related to operations specifications (OpSpecs).
2) CHDO FLM and AFS-900 Assistant Manager. Determine resource availability and assign TCs and team members to the DCTs.
3) CHDO Manager. Review the proposed CAP with the CPM and, if
in agreement, verbally approve the CAP. There is no CAP concurrence during certification in SAS.
C. Initial Cadre Check Airmen (ICCA) Training Plan. The ICCA Training Plan
is completed and approved prior to the proving tests.
1) Certification Project Team (CPT). Review the ICCA Training
Plan to verify compliance with guidance (see Volume 3, Chapters 19 and 20).
Accomplish the appropriate ED DCT for the ICCA training, and review all courseware provided by the applicant to ensure it is acceptable.
2) CPM/CTL. Notify the applicant, in writing, of the approval of the ICCA
Training Plan. Include in the letter that additional training may be required if deficiencies are identified during the certification process.
3) CPM/CTL. Update the CAP to include the appropriate Element Performance
(EP) DCT to assess the performance of ICCA training.
4) CTL. Upload a copy of the approval letter to the SAS document management system.
D. Other Programs Requiring Acceptance or Approval Prior to Proving Tests.
1) Some programs that require approval or acceptance prior to
proving tests are not listed in the Phase 3 Gate, since they are Phase 4 requirements.
However, they still must be approved or accepted prior to the proving tests.
During Phase 3, the applicant should submit the following programs, as they
require review by the Air Transportation Division (AFS-200) and the Aircraft Maintenance Division (AFS-300):
• Fatigue Risk Management Plan (FRMP).
• Fatigue Education and Awareness Training (FEAT).
• Weight and Balance Control Program (WBCP).
NOTE: AFS-200 approves the FRMP and FEAT. (See Volume 3, Chapter 58
for guidance.) The Flight Standards Cargo Focus Team (CFT) reviews the WBCP for concurrence. (See Volume 3, Chapter 47 for guidance.) In addition, the CPM
should accomplish the National Environmental Policy Act of 1969 (NEPA) requirements outlined in Volume 11, Chapter 6.
2) CPT. Review any other initial training and required programs
that must be approved or accepted prior to proving tests (Phase 4 Gate). Accomplish
the appropriate ED DCTs for these programs following the guidance in this order.
3) CPM. Notify the applicant in writing of all programs approved or acceptance.
4) CPM/CTL. Update the CAP to include the appropriate EP DCTs or C DCTs to assess the performance of these programs.
5) CPM. Upload copies of all approval and acceptance letters to the SAS document management system.
E. Data Collection (Module 4).
1) CPT. Evaluate the assigned DCTs using the guidance in this order. The
responses to the SMS Design Validation C DCTs must result in all “YES” answers
in order to accept the applicant’s SMS design. After the Safety Risk Management
(SRM) Design Validation is accepted, the SRM process should be used for the remainder of the certification process.
2) CPM/CPT. If a DCT has negative findings and the program will
not be approved, return the manuals to the carrier for resubmission. When the
carrier resubmits the manuals, the CPT will duplicate the question(s), or the CPM will add another DCT for the subsequent manual review(s). Include enough
detail in the comments for both the original question and the new question to identify the iteration of the manual submission, and that another question or
DCT will be created to address the negative finding. Submit the DCTs to Data Review when the program is ready to be approved.
3) CPT. Collect and analyze the data by conducting a data analysis
meeting. (See Figure 2-99, Data Analysis Meeting Instructions.) If the data
is of sufficient quality, continue to subparagraph F below. If the data is insufficient, see the steps in subparagraphs 4) and 5).
4) CPM/CTL. If the current submission is not of sufficient quality,
and/or when additional data is necessary, notify the applicant with a written
explanation of concerns. The applicant must use the accepted Preliminary Risk
Assessment (PRA) process or the SRM process, if accepted, for all revisions and provide documentation to show they used the process.
5) CPM/CTL. If a subsequent submission contains minimal concerns
which will allow the PI to approve or accept the program with mitigation, schedule
and conduct a meeting with applicable members of the CPT and the applicant to discuss and correct the remaining discrepancies.
Figure 2-99. Data Analysis Meeting Instructions
1. CPM/CTL. Collect and analyze all DCTs and schedule a meeting.
2. CPT. Conduct a meeting to review and analyze the collected data.
3. CPM and CTL. Draft a letter to the applicant
and include a general explanation of the negative responses
and reason for the rejection of the manual system. (Return the entire manual system.)
• Do not cut and
paste “No” answers from the Safety Assurance System (SAS) automation.
• Keep the letter at the element level.
• You do not have
to return other Preapplication Checklist (PAC) required documents.
The letter must advise the applicant
that they must return the next revision as an entire submission accompanied by revised applicant completed ED DCTs. The applicant
will label all documents in the revised submission in sequential order (Revision B, Revision C, etc.). Also, the applicant will
use their manual revision process when revising their manuals (i.e., change bars, etc.).
NOTE: Title 14 CFR part
(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.”
The applicant must also 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. Data Reporting (Module 4).
1) CPT. Enter data and the appropriate responses and details as it becomes
available. Duplicate questions or DCTs as necessary to capture the data. When
the submission is acceptable; the CPT will verify all data has been entered into SAS.
2) CPT. Each team member enters their responses into SAS. If
an inspector observes any finding(s) not related to their assigned element,
or he or she cannot capture a finding in their assigned element, then document
the finding(s) in a Dynamic Observation Report (DOR) and notify the aviation safety inspector (ASI) that is working that element.
G. Data Reviewing (Module 4).
1) TC. Ensure ED DCT and the SRM Validation DCT data meets the data quality
guidelines (DQG) and submit the ED DCTs to data review.
2) CPM/Data Reviewer (DR). Ensure the data meets the DQG and submit the
ED DCTs and C DCTs to Analysis, Assessment, and Action (AAA).
H. Analysis and Assessment (Module 5).
1) CPM/CTL. Conduct a meeting with the CPT to analyze the collected data by element.
2) CPM/CTL. Make an assessment determination for each element. (The assessment
should be a 1G or 2Y with appropriate action.)
3) CPM/CTL. Notify the applicant in writing that the Federal
Aviation Administration (FAA) has approved/accepted all manuals, programs, and the SRM process.
I. Status/Progress of Programs.
1) CPM/CTL. Check the status of the following:
• Drug and alcohol abatement program;
• Hazardous materials (hazmat) program;
• Security program;
• All required training; and
• Progress of economic authority.
J. OpSpecs. CPM/CTL: Verify that the draft OpSpecs match the proposed operation.
K. Phase 3 Review.
1) CPM/CTL. Verify that the applicant submits an updated Schedule of Events (SOE).
2) CPM/CTL. Verify that the applicant has met all Phase 3 Gate
requirements. (See Figure 2-100, Phases and Gates for Initial Certification.)
3) CPM. Make appropriate entries into the SAS document management system.
Figure 2-100. Phases and Gates for Initial Certification
RESERVED. Paragraphs 2-316 through 2-321.