7/15/16

 

8900.1 CHG 471

VOLUME 2  AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS

CHAPTER 5  THE APPLICATION PROCESS—TITLE 14 CFR PART 91, SUBPART K

Section 2  Phase 1—Preapplication

2-556    INITIAL INQUIRIES OR REQUESTS.

A.    Initial Inquiries. Initial application inquiries or requests may come in various formats from individuals or organizations. These inquiries may be in writing or in the form of meetings with Flight Standards District Office (FSDO) personnel.

Indicates new/changed information.

B.    Applicant Orientation. Upon initial contact, FSDO personnel should direct the applicant to review the current edition of Advisory Circular (AC) 91-84, Fractional Ownership Programs, and ask the applicant to schedule an appointment for an initial contact meeting. While the regulation does not require specific management personnel or qualifications (unless the program manager is requesting a Continuous Airworthiness Maintenance Program (CAMP)), the program manager should identify management personnel, points of contact (POC) within the company, and persons authorized to sign the management specifications (MSpecs). These key personnel should attend the initial contact meeting and be prepared to discuss, in general terms, the plans of the proposed operation.

2-557    INITIAL CONTACT MEETING.

Indicates new/changed information.

A.    General. The applicant should be prepared to discuss, in general terms, specific aspects of the applicant’s proposed operation. FSDO personnel should discuss the application process in depth. Emphasis should be placed on the expectations of the Federal Aviation Administration (FAA), what the applicant should expect from the FAA, the Certification Services Oversight Process (CSOP), and the sequence of events. The five phases of application and the requirements of the gate system (see Figure 2-19, Five Phases of Certification and Requirements of the Gate System) should receive emphasis, and the applicant should be encouraged to ask questions during the discussion. Applicants should be thoroughly familiar with the gate system requirements before continuing with the process.

B.    Preapplication Information. The initial contact meeting between the FSDO and the applicant sets the tone for the rest of the application process. Therefore, it is important that the FAA personnel be thoroughly prepared to conduct the meeting. The FSDO should provide an application package to the applicant containing the following documents:

·    Guidance documents, including applicable sections of this order;

·    Fractional ownership rule and preamble;

·    Preapplication Statement of Intent (PASI) for fractional ownership programs (see Figure 2-18, Statement of Intent for Fractional Ownership Programs);

·    Title 14 of the Code of Federal Regulations (14 CFR) parts 91, 119, and 135, as applicable; and

·    A Schedule of Events (SOE) that outlines the approval process (see Figure 2-14, Sample Schedule of Events).

Indicates new/changed information.

C.    Applicant Submission of Completed Statement of Intent (SOI). The applicant’s SOI is entered into CSOP and the applicant is notified of their application status.

2-558    SECOND CONTACT MEETING.

A.    Applicant Submission of Completed SOI. The first item for discussion should be verification of the information on the SOI, such as the type of operation, types of aircraft, geographic areas of operation, and location of facilities. When changes to this information occur, the applicant must annotate the changes on the SOI. If the changes significantly affect the anticipated scope and/or type of operation, a copy of the revised SOI will be forwarded to the regional Flight Standards division (RFSD). If the changes indicate the need for reassignment of application responsibilities to another FSDO, the RFSD will notify, without delay, the affected FSDOs so that the application project can be reassigned. In this situation, it may be appropriate to terminate the preapplication meeting.

B.    Additional Items Submitted by Applicant. At the second meeting the applicant should submit to the FSDO a proposed application SOE and documentation to substantiate a fractional ownership program or business plan. In addition, the applicant will identify locations for training, maintenance, and a principal base of operations.

C.    Phase I Completion. Once the FSDO has accepted everything in the preapplication phase, the applicant may advance to Phase II—Formal Application.

2-559    SOI FOR FRACTIONAL OWNERSHIP PROGRAMS. See Figure 2-18.

A.    Purposes of the SOI. Often, a program manager for a fractional ownership operation may not be fully aware of the regulatory and policy requirements and resources necessary for the issuance of MSpecs. The principal inspectors (PI) should make the program manager aware of the following:

Indicates new/changed information.
1)     Volume 3, Chapter 18, Section 2, provides general guidance in regard to the Web-based Operations Safety System (WebOPSS) and the issuance of MSpec authorizations.
Indicates new/changed information.
2)    All program managers operating under part 91 subpart K (part 91K) are required to be on WebOPSS at the beginning of operations.
3)    The completed SOI denotes intent by the program manager to continue the application process. It also allows the FAA to plan activities and prepare to commit resources.

B.    Processing the SOI. The FSDO manager uses the SOI to evaluate the complexity of the proposed fractional ownership operation and to determine whether appropriately trained and experienced inspectors are available in the FSDO to conduct the proper surveillance of the anticipated fractional ownership operation and its program manager. The FSDO uses the SOI to initiate files such as the Program Tracking and Reporting Subsystem (PTRS).

C.    District Office Review of the SOI.

Indicates new/changed information.
1)    Review Upon Receipt. Upon receipt of a signed SOI, the FSDO will enter the application information into CSOP and review the form to ensure that there is sufficient information to further process the preapplication. The FSDO will ascertain that the proposed fractional ownership operation is consistent with part 91K, under which the program manager will be required to operate.
2)    Unacceptable SOI. If the SOI is unacceptable, the reasons why it is unacceptable must be described in section 2 of the worksheet and returned to the future program manager. The FSDO will notify the program manager, either verbally or by letter, that the SOI is unacceptable for the reasons detailed in section 2 of the worksheet and that a new SOI is required. A copy of the rejected SOI will be retained in the FSDO files for 3 years.
3)    Acceptance of the SOI. When the SOI is acceptable, the FSDO will check the “Action” box and complete section 2 of the form.
Indicates new/changed information.
a)    The FSDO contacts the Aviation Data Systems Branch (AFS-620) via email at 9‑AMC‑AFS‑620-Team@faa.gov stating, “The purpose of the contact is to request a precertification/designator number,” and provides the following information:

·    The full official name of the company;

·    The location address of the proposed principal base of operations or the location where the business will be conducted;

·    The names of proposed management personnel (last, first, and middle initial);

·    The proposed type of certificate (e.g., Air Carrier Certificate, Operating Certificate, or Air Agency Certificate) and applicable 14 CFR part (e.g., part 121, 125, 135, 142, 145, 147, or 91K MSpec);

·    The proposed startup date;

·    Any current or previous certificates held by the applicant; and

·    The designator of the FSDO assigned responsibility.

b)    AFS-620 will respond with a precertification/designator number. The alpha suffix of the precertification/identification number will always be the letter “P.”

Figure 2-14.  Sample Schedule of Events

Company Name:                                                                 

Phase I—Preapplication:

1. Initial Contact Meeting Date:_____________

Date Submitted/‌Received

Date Returned

Date Approved/Accepted

2. Second Contact Meeting Date:______________

a. Statement of Intent (SOI).

 

 

 

b. Proposed Schedule of Events (SOE).

 

 

 

c. Management Specifications (MSpec) Worksheet.

 

 

 

Phase II—Formal Application:

1. Formal Application Meeting Date:________________

2. Formal Application.

 

 

 

3. Formal Application Attachments:

 

 

 

·   Management Personnel Documentation.

 

 

 

·   Compliance Statement.

 

 

 

·   Program Operating Manual (POM).
Refer to 14 CFR part 91, § 91.1025.

 

 

 

·   Requests for Deviations.

 

 

 

·   Approved Inspection Program/General Maintenance Manual (GMM), as required.

 

 

 

·   Weight and Balance (W&B) Procedures/Program.

 

 

 

·   Internal Safety Reporting Procedures and Incident/Accident Response Procedures.
Refer to § 91.1021.

 

 

 

·   Training Programs.

 

 

 

·   Aircraft Flight Manual (AFM) or Aircraft Operations Manual.

 

 

 

·   Minimum Equipment List (MEL).

 

 

 

·   Cockpit Checklists (Normal, Abnormal, Emergency).
Refer to § 91.1033.

 

 

 

·   Passenger Briefing Cards.
Refer to § 91.1035.

 

 

 

·   Flight and Rest Scheduling Program.

 

 

 

·   Hazardous Materials (Hazmat) Recognition Program.
Refer to § 91.1085.

 

 

 

·   Certification and Execution of Agreements and Acknowledgement of Owners’ Operational Control Responsibilities.

 

 

 

·   Pilot Safety Background Checks and Procedures (Pilot Records Improvement Act of 1996 (PRIA)).
Refer to § 91.1051.

 

 

 

 

·   Drug and Alcohol Misuse Education Program.
Refer to § 91.1047.

 

 

 

·   List of Owners and Associated Aircraft.
Refer to § 91.1027.

 

 

 

·   Configuration Deviation List (CDL).

 

 

 

·   Environmental Review.
See Volume 11, Chapter 6, Section 3.

 

 

 

·   Destination Airport Analysis Program (DAAP).
Refer to § 91.1037.

 

 

 

·   Proving and/or Validation Test Plan.
Refer to § 91.1041.

 

 

 

·   Continuous Airworthiness Maintenance Program (CAMP), if required.
Refer to § 91.1411.

 

 

 

·   Security Program.

 

 

 

·   Flight Locating Procedures.

 

 

 

·   Other Requested Authorizations.

 

 

 

Phase III—Document Compliance:

·   Management Personnel Documentation.

 

 

 

·   Compliance Statement.

 

 

 

·   POM.
Refer to § 91.1025.

 

 

 

·   Requests for Deviations.

 

 

 

·   Approved Inspection Program/GMM, as required.

 

 

 

·   W&B Procedures/Program.

 

 

 

·   Internal Safety Reporting Procedures and Incident/Accident Response Procedures.
Refer to § 91.1021.

 

 

 

·   Training Programs.

 

 

 

·   AFM or Aircraft Operations Manual.

 

 

 

·   MEL.

 

 

 

·   Cockpit Checklists (Normal, Abnormal, Emergency).
Refer to § 91.1033.

 

 

 

·   Passenger Briefing Cards.
Refer to § 91.1035.

 

 

 

·   Flight and Rest Scheduling Program.

 

 

 

·   Hazmat Recognition Program.
Refer to § 91.1085.

 

 

 

·   Certification and Execution of Agreements and Acknowledgement of Owners’ Operational Control Responsibilities.

 

 

 

 

·   Pilot Safety Background Checks and Procedures (PRIA).
Refer to § 91.1051.

 

 

 

·   Drug and Alcohol Misuse Education Program.
Refer to § 91.1047.

 

 

 

·   Load Manifest.
Refer to § 91.1027.

 

 

 

·   List of Owners and Associated Aircraft.
Refer to § 91.1027.

 

 

 

·   CDL.

 

 

 

·   Environmental Review.
See Volume 11, Chapter 6, Section 3.

 

 

 

·   DAAP.
Refer to § 91.1037.

 

 

 

·   Flight Attendant (F/A) Manual.

 

 

 

·   Proving and/or Validation Test Plan.
Refer to § 91.1041.

 

 

 

·   CAMP, if required.
Refer to § 91.1411.

 

 

 

·   Security Program.

 

 

 

·   Flight Locating Procedures.

 

 

 

·   Other Requested Authorizations.

 

 

 

Phase IV—Demonstration and Inspection:

·   Monitor Training.

 

 

 

·   Flightcrew Members—Proficiency Checks.

 

 

 

·   Check Pilots.

 

 

 

·   Maintenance Training.

 

 

 

·   F/A—Competency Checks.

 

 

 

·   Aircraft Conformity Inspections.

 

 

 

·   Principal Base of Operations Inspection.

 

 

 

·   Maintenance Base Inspection.

 

 

 

·   Proving/Validation Testing.

 

 

 

·   Tabletop Demonstrations.

 

 

 

·   Operational Control Inspection.

 

 

 

·   Maintenance Procedures Inspection.

 

 

 

·   Passenger Handling Inspection.

 

 

 

·   Recordkeeping Inspection.

 

 

 

 

Phase V—Documentation:

1. Issuance of MSpecs.

 

 

 

2. Program Tracking and Reporting Subsystem (PTRS) Completion.

 

 

 

3. Update enhanced Vital Information Database (eVID) Information.

 

 

 

4. File Appropriate Documents.

 

 

 


Figure 2-18.   Statement of Intent for Fractional Ownership Programs

STATEMENT OF INTENT FOR
FRACTIONAL OWNERSHIP PROGRAMS

Section 1.

1. Name and mailing address

2. Address of principal base where operations will be conducted

3. Proposed startup date

4. Requested three-letter company identifier in order of preference

1. __ __ __K 2. __ __ __ K 3. __ __ __K

5. Program Manager Representative

Name (last, first, middle)

Company Name

Telephone (including area code)

 

 

 

6. Type of operation

Other Certificate(s) Held:

¨   Part 125                             Certificate No:         ____ ____ ____ ____ ____ ____ ____ ____

¨   Part 121                             Certificate No:         ____ ____ ____ ____ ____ ____ ____ ____

¨   Part 135                             Certificate No:         ____ ____ ____ ____ ____ ____ ____ ____

¨   Other Affiliate Part 91K ID No               ____ ____ ____ ____ ____ ____ ____ ____

¨   Other Affiliate Part 91K ID No:             ____ ____ ____ ____ ____ ____ ____ ____

¨   Other Affiliate Part 91K ID No:             ____ ____ ____ ____ ____ ____ ____ ____

 

Indicates new/changed information.

 

7. Aircraft data.

8. Geographic area of intended operations.

Number and types of aircraft

(by make, model, and series)                 List may be attached

¨ U.S.

¨ U.S. and International

 

 

 

 

 

 

 

 

9. Additional information that provides a better understanding of the proposed fractional ownership.

10. The statements and information contained on this form denote an intent to apply for management specifications.

Signature

Date

Name and Title

 

 

 

Section 2. To Be Completed by the Flight Standards District Office (FSDO).

Received By (district office):

Date Scheduled for IOPSS

Date:

For:     ¨     Action         ¨       Information only

Has this program manager ever been assigned any 4-digit designator   ¨ yes ¨ no
¨     Unknown Designator Code:

Remarks:


Figure 2-19.  Five Phases of Certification and Requirements of the Gate System

Figure 2-19. Five Phases of Certification and Requirements of the Gate System
	Flow chart representing the five phases of certification:
	Phase I—Preapplication. Gate I: The applicant submits a statement of intent (SOI), schedule of events (SOE), and documentation; and identifies management representatives, work and maintenance sites, and principal base of operations. The Flight Standards District Office (FSDO) assigns an application project manager, provides the application package, reviews the SOI, advises the regional Flight Standards division, and initiates the Program Tracking and Reporting Subsystem (PTRS) record.
	Phase II—Formal Application. Gate II: The applicant formally submits a letter of application, SOE, and documentation. The FSDO accepts or rejects the application and obtains the company identifier through the Web-based Operations Safety System (WebOPSS). Successful applicants proceed to Phase III.
	Phase III—Document Compliance.
	Phase IV—Demonstration and Inspection. The FSDO monitors training and checking and conducts aircraft conformity and facility inspections. Phase IV may lead back to Phase III or on to Gate III.
	Gate III: The FSDO reviews and accepts or rejects all documents and evaluates all facilities. The applicant corrects documentation as needed, trains sufficient personnel, and submits a proving/validation test as required. The FSDO and applicant complete conformity checks.
	Proving/Validation Testing: The FSDO inspects and observes in-flight and tabletop demonstrations, operational control, maintenance procedures, passenger handling, documentation adequacy, and recordkeeping.
	Phase V—Documentation.

RESERVED. Paragraphs 2-560 through 2-575.