9/13/07

 

8900.1 CHG 0

VOLUME 2 AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS

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

Section 4 Phase 3—Document Compliance

2-596.   GENERAL. The document compliance phase is that part of the application process when the applicant’s manuals and other documents are reviewed in depth to ensure compliance with applicable regulations and conformity to safe operating practices.

NOTE: These documents may include paper representation of data intended for display on the airplane; for example, electronic checklists or approved flight manuals. Guidance on the use of electronic checklists is provided in Advisory Circular (AC) 120‑64, “Operational Use and Modification of Electronic Checklists.” Operators’ use of electronic checklists should be consistent with the provisions of AC 120‑64 (as amended).

A.    Schedule of Events and Compliance Statement. An important responsibility of the project manager is to organize the application team’s efforts to promptly review the applicant’s manuals and other documents. Two key elements useful in planning activities in the document compliance phase are the schedule of events and the compliance statement. The schedule of events determines what will be examined and when. The previously agreed upon schedule of events will determine the priority of items to be reviewed and any additional inspector support or other Federal Aviation Administration (FAA) resources that will be needed beyond the composition of the basic application team. The document compliance phase is an intensive process and will most likely require additional resources to accomplish necessary tasks in a timely manner.

B.    Documents. The plan for review should ensure that each of the required manuals or documents submitted by the applicant will be reviewed in accordance with procedures and criteria outlined in other volumes of this handbook. The compliance statement directs the inspector to the location in the applicant’s manuals where a compliance procedure is described. The schedule of events (Figure 2-14) is designed as a tracking tool for the completion of individual events/document reviews.

2-597.   REVIEW OF APPLICANT’S SUBMISSIONS. During this phase, members of the application team evaluate and approve or accept the applicant’s manuals and any other required documents. Review of the applicant’s submissions should be accomplished by simultaneous reference to Title 14 of the Code of Federal Regulations (14 CFR), the compliance statement, and the appropriate manual or document. After final revisions have been approved by the application team, a formal meeting should be conducted with the applicant to review the plans for proving and validation tests, as required.

2-598.   DOCUMENT DEFICIENCIES. If an inspector’s review reveals deficiencies in the applicant’s submissions, the project manager should negotiate resolution of the deficiencies. The team should be ready to offer suggestions on how to improve the product, but avoid “writing” the applicant’s manual. The application team should remember that it is the applicant’s responsibility to develop manuals and procedures that ensure safe operating practices and compliance with the rules. Proving tests will not be conducted until the application team is satisfied, through its review of the compliance statement and formal application package, that all regulatory requirements have been adequately addressed. The applicant’s methods of compliance will be evaluated throughout the demonstration and inspection phase.

RESERVED. Paragraphs 2-599 through 2-615.

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

 

 

 

 

 

 

 

Phase II—Formal Application:

1. Formal Application Meeting Date:________________

2. Formal Application

 

 

 

3. Formal Application Attachments (as required or if applicable):

 

 

 

a. Management Personnel/Points of Contact

 

 

 

b. Program Operating Manual (POM)

 

 

 

c. Requests for Deviations

 

 

 

d. General Maintenance Manual (GOM)

 

 

 

e. Weight & Balance Procedures/Program

 

 

 

f. Training Programs

 

 

 

g. Aircraft Flight Manual (AFM)

 

 

 

h. Aircraft Operations Manual

 

 

 

i. Minimum Equipment List

 

 

 

j. Schedule of Events

 

 

 

k. Other Programs, Manuals, Material,

 

 

 

(1) Cockpit Checklists (Normal, Abnormal, Emergency)

 

 

 

(2) Passenger Briefing Cards

 

 

 

(3) Environmental Impact Statements

 

 

 

(4) Destination Airport Analysis

 

 

 

(5) Flight & Rest Scheduling Program

 

 

 

(6) HAZMAT Recognition Program

 

 

 

(7) Security Program

 

 

 

(8) Flight Attendant Manual

 

 

 

(9) Flight Locating Procedures

 

 

 

(10) Maintenance Reliability Program

 

 

 

(11) Proving and/or Validation Test Plan

 

 

 

(12) Continuous Analysis & Surveillance System (CAMP)

 

 

 

(13) Compliance Statement

 

 

 

(14) Owner Acknowledgement/Contract Certification Statement

 

 

 

(15) List of Aircraft

 

 

 

(16) Internal Safety Reporting Procedures

 

 

 

(17) Incident/Accident Reporting Procedures

 

 

 

(18) Pilot Safety Background Checks & Procedures

 

 

 

(19) Location of the Records Repository

 

 

 

(20) Drug & Alcohol Misuse Education Program

 

 

 

(21) Other Requested Authorizations

 

 

 

 

 

 

 

Phase III—Document Compliance:

1. Training Curriculums:

 

 

 

a. Pilots

 

 

 

b. Flight Attendants (if utilized)

 

 

 

c. Instructors/Check Pilots

 

 

 

d. HAZMAT

 

 

 

e. Maintenance Personnel

 

 

 

f. Inspection Personnel

 

 

 

g. Ground Handling/Service

 

 

 

h. Dug/Alcohol Education

 

 

 

 

 

 

 

2. Contracts/Agreements/Requests:

 

 

 

a. Owner Contract Certification Statement

 

 

 

b. Training Contracts

 

 

 

c. Maintenance Contracts

 

 

 

d. Servicing Contracts

 

 

 

e. Exemptions/Deviations

 

 

 

 

 

 

 

3. Other Items:

 

 

 

a. Final Compliance Statement

 

 

 

b. Final Proving and/or Validation Test Plan

 

 

 

c. Management Specifications (MSpecs) Worksheet

 

 

 

d. Training Schedules

 

 

 

 

 

 

 

Phase IV—Demonstration & Inspection:

1. Monitor Training:

 

 

 

a. Flight Crewmembers—Proficiency Checks

 

 

 

b. Check Pilots

 

 

 

c. Maintenance Training

 

 

 

d. Flight Attendant—Competency Checks

 

 

 

2. Aircraft Conformity Inspections

 

 

 

3. Principal Base of Operations Inspection

 

 

 

4. Maintenance Base Inspection

 

 

 

5. Proving/Validation Testing

 

 

 

a. Table-Top Demonstrations

 

 

 

b. Operational Control Inspection

 

 

 

c. Maintenance Procedures Inspection

 

 

 

d. Passenger Handling Inspection

 

 

 

e. Record Keeping Inspection

 

 

 

 

 

 

 

Phase V—Documentation:

1. Issuance of Management Specifications (MSpecs)

 

 

 

2. PTRS Completion

 

 

 

3. File Appropriate Documents