VOLUME 2 AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS
CHAPTER 3 THE CERTIFICATION PROCESSTITLE 14 CFR PART
Section 5 Safety Assurance System: Phase 5Administrative Functions
2-330 GENERAL. This section details the process for Title 14 of the Code of Federal Regulations (14 CFR) part
carrier certification, Phase 5Administrative Functions.
2-331 PHASE 5: ADMINISTRATIVE FUNCTIONS.
A. Administrative Requirements.
1) Certificate-Holding District Office (CHDO) Manager. Confirm the Certificate Management Team (CMT) is staffed and operational.
2) Certification Project Manager (CPM). Obtain the final certificate number.
a) It is essential to precisely follow the procedural steps to change the certificate status of the applicant using Safety Assurance System (SAS)
automation when going from “Pre-cert” status to “Active” status. (See the SAS Automation User Guide (AUG) and the SAS External Portal Enhanced Checklist
(EPEC) New Applicant.)
b) Confirm that all assessments have been completed, all programs approved, and all certification requirements met; then contact the Aviation Data
Systems Branch (AFS-620) via email at
request the “Pre-cert Designator” be changed from “P” to “A.” AFS‑620 will make the change from “P” to “A”
in the Federal Aviation Administration (FAA) Management Information System (FAAMIS) and send an email indicating the certificate is “Active.”
c) After receiving the email from AFS-620 and the overnight re-hosting (24 hours) of the databases, approve the “Pre-cert Designator/Applicant”
in the Certification Project page. The SAS automation will remove all certification roles once the certification is made “Active.”
NOTE: After the status changes to “Active,” the CPM will no longer be able to add any documents to SAS document management system unless
they are a principal inspector (PI). In addition, the Formal Application folder is locked out after the status becomes “Active.” The PI can create another folder
but will not be able to add anything to the Formal Application folder or to the “Other Certification” folder.
B. Approve Operations Specifications (OpSpecs).
1) PIs. Review any Office of the Secretary of Transportation (OST)/Department of Transportation (DOT) limitations before signing the OpSpecs.
2) CPM. Coordinate with PIs to verify the accomplishment of final changes to the Certificate Holder Operating Profile (CHOP) and proposed OpSpecs.
3) PIs. Sign OpSpecs.
C. Issue OpSpecs and Air Carrier Certificate.
1) CHDO Manager. Review and forward the air carrier certificate and copy of OpSpecs to the regional Flight Standards division (RFSD) manager.
2) RFSD Manager. Sign the air carrier certificate and return it to the CHDO.
3) CHDO Manager. Issue the air carrier certificate.
D. Certification Report.
1) CPM. Assemble the certification report, to include:
• Preapplication Statement of Intent (PASI) (FAA Form
• Schedule of Events (SOE) (final);
• Formal letter of application;
• Proving test report;
• Emergency evacuation demonstration report (FAA Form 8430-1, Emergency Evacuation
• Ditching report;
• Copy of the air carrier certificate;
• Final compliance statement; and
• A copy of the OpSpecs issued.
NOTE: Coordinate with the RFSD regarding any additional requested documents.
2) CPM. Retain the original certification report in the CHDO.
3) CHDO Manager. Forward a copy of the certification report to the RFSD.
4) CMT/CPT/Safety Analysis and Promotion Division (AFS-900) Field Support Program Office (FSPO). Conduct annual planning meeting to include the
AFS-900 FSPO, if requested.
E. Phase 5 Review.
1) CPM/CTL. Verify the completion of all steps listed above for Phase 5.
2) CTL. Solicit applicant and CPT feedback by interviewing them or by using the appropriate feedback form.
3) CTL. Make entries into the SAS document management system.
4) CPM. Close out the SAS document management record of the certification.
5) CTL. Send an email to the AFS-900 Certification and Evaluation Program Office (EPO) team members instructing them to remove company
manuals from their computers and request that each team member reply by email when complete.
RESERVED. Paragraphs 2-332 through 2-340.