Volume 2 AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS
CHAPTER 4 THE CERTIFICATION PROCESS—TITLE 14 CFR PART
Section 5 Safety Assurance System: Phase 5—Administrative Functions
2-436 GENERAL. Issue the certificate and the approved operations
specifications (OpSpecs) to the applicant after correcting all significant unsatisfactory items. This action completes the certification process. The Federal Aviation
Administration (FAA) will not, under any circumstances, certificate an applicant until the certification project manager (CPM) determines that the applicant
is fully capable of fulfilling his/her responsibilities as charged by Title 49 of the United States Code (49 U.S.C.) (formerly the Federal Aviation Act
of 1958 (FA Act)) and that the applicant will comply with Title 14 of the Code of Federal Regulations (14 CFR) in an appropriate manner.
2-437 PREPARATION OF FAA CERTIFICATES. See
Volume 2, Chapter 1, Section 4,
Preparation of FAA Operating Certificates.
2-438 ISSUANCE OF OPSPECS AND A CERTIFICATE.
A. Regulatory Requirements Met. After determining that the applicant
has met all regulatory requirements, the applicant receives the appropriate certificate and OpSpecs. Prepare the OpSpecs in accordance with the procedures
described in Volume 3, Chapter 18, Operations Specifications.
B. Department of Transportation (DOT) Economic Authority. An
applicant for an Air Carrier Certificate will not, for any reason, receive OpSpecs or a certificate until the applicant presents a copy of his/her DOT economic
authority (a certificate, commuter air carrier authorization, or FAA Form
Air Taxi Operator and Commuter Air Carrier Registration and Amendments Under
Part 298 of the Regulations of the Department of Transportation) to the CPM. The FAA does not require an applicant for an Operating Certificate,
engaged in intrastate common carriage, to have DOT economic authority or submit any financial statement as a condition of certification.
C. Signatures. Before issuing the OpSpecs, the applicant and the appropriate principal inspectors (PI) will sign it. Please see
Volume 3, Chapter 18, Section 2,
for more information on digital signatures and delegation procedures. The new certificate holder will then receive the
original certificate and OpSpecs.
2-439 CERTIFICATION REPORT.
A. Composition. When the new operator receives certification,
the CPM is responsible for assembling a certification report. The CPM must sign the report, which includes the name and title of each team member who assisted
in the certification project. During the business life of the operator, maintain the report in the permanent file relating to the new operator. The report will
consist of the following eight documents:
· Preapplication Statement of Intent (PASI);
· Certification Job Aid and Schedule of Events (SOE);
· The formal application letter;
· The compliance statement;
· Proving/Validation Test Evaluation Report;
· A copy of the OpSpecs issued;
· A copy of the issued certificate; and
· A summary of major difficulties experienced during the certification
process and/or any recommendations noted by phase and specialty that may enhance the process.
B. Summary Format. Enter this summary into the Program Tracking
and Reporting Subsystem (PTRS) in chronological order and maintain it in the archival records. To standardize the following format for summaries of major
difficulties and/or recommendations, arrange as follows:
1) Phase 1—Preapplication (Operations, Maintenance, Avionics). Include summaries of difficulties or recommendations by specialty.
2) Phase 2—Formal Application (Operations, Maintenance, Avionics).
Include summaries of difficulties or recommendations by specialty.
3) Phase 3—Design Assessment (DA) (Operations, Maintenance, Avionics). Include summaries of difficulties or recommendations by specialty.
4) Phase 4—Performance Assessment (PA) (Operations, Maintenance, Avionics). Include summaries of difficulties or recommendations by specialty.
2-440 CERTIFICATION REPORT RETENTION. The district office will retain
the original of the certification report in the operator file as long as the certificate holder remains active.
Figure 2-6. FAA Form 8430-18, Air Carrier Operating Certificate
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
RESERVED. Paragraphs 2-441 through 2-455.