5/31/17

 

8900.1 CHG 529

VOLUME 2  AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS

CHAPTER 7  The Certification process—Title 14 CFR part 133

Section 1  The Certification Process—Part 133

2-931    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODE. 1341.

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2-932    OBJECTIVE. Determine an applicant’s ability to conduct operations under Title 14 of the Code of Federal Regulations (14 CFR) part 133. Successful completion of this task results in the issuance of a Rotorcraft External-Load Operating Certificate or a denial of a certificate.

2-933    GENERAL. This chapter provides guidelines for certification and renewal of rotorcraft external-load operators. Part 133 prescribes rules governing the operation of rotorcraft in operations involving loads carried or that extend outside the rotorcraft fuselage.

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NOTE:  A 14 CFR part 137 agricultural aircraft operator may, if he or she complies with part 137, conduct agricultural aircraft operations with a rotorcraft with external dispensing equipment in place without a part 133 Rotorcraft External-Load Operating Certificate. The holder of a Rotorcraft External-Load Operating Certificate under part 133 need not comply with part 137 subpart B certification rules when conducting an agricultural aircraft operation involving only the dispensing of water on forest fires by rotorcraft external-load means. However, part 137 subparts A, C, and D apply.

A.    Certification Process. The generic certification process outlined in Volume 2, Chapter 1, Section 1 consists of five phases. The part 133 certification process combines the Preapplication and Application Phases. At the end of each phase, gates list the completion requirements to proceed to the next phase and target timelines for each phase. The Flight Standards District Office (FSDO)-selected Certificate Management Team (CMT) should track each phase to ensure progress within the specified timeline. This timeline is a goal for tracking efficiency of the certification process, not a deadline or reason to overlook safety requirements. It is the responsibility of the applicant to meet the requirements of each gate within the specified timeline (see Figure 2-36, Certification Process Flowchart).

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B.    Renewal Process. A Rotorcraft External-Load Operating Certificate expires at the end of the 24th month after the month issued or renewed. The certificate holder must submit Federal Aviation Administration (FAA) Form 8710-4, Rotorcraft External-Load Operator Certificate Application (see Figure 2-35 for a sample application), to the certificate-holding district office (CHDO) to apply for renewal of a Rotorcraft External-Load Operating Certificate. Operators should submit a renewal application at least 30 days before the expiration of the certificate.

1)    Process the application for renewal of a certificate in the same manner as for original issuance.
2)    The inspector will compare the renewal application with the expiring certificate. If no substantial changes are noted and the operator has a satisfactory record of compliance, the inspector may issue a new certificate without conducting a comprehensive inspection.

2-934    APPLICATION PHASE OVERVIEW. Based on the applicant’s prior experience with rotorcraft external‑load operations, the inspector has some discretion over which issues to discuss with the applicant prior to submission of the application package. The inspector may decide to brief an applicant by phone call or other correspondence. Conduct the required application meeting after the inspector receives and reviews the application package. If the application needs revision, the inspector must be prepared to discuss all items requiring correction or revision during this meeting.

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A.    Basic Eligibility Requirements. During initial contact with an applicant seeking a Rotorcraft External‑Load Operating Certificate, determine if the proposed operation is applicable to part 133. In making this determination, ensure that the applicant meets the following eligibility requirements.

1)    The applicant must have the exclusive use of at least one rotorcraft that meets the requirements of part 133, § 133.19.
2)    The applicant must hold, or have available the services of at least one person who holds, a current commercial or Airline Transport Pilot Certificate (ATPC) with a rating appropriate for the rotorcraft prescribed in § 133.19, issued by the Administrator.

B.    Canadian-Registered Rotorcraft. U.S. operators may add Canadian-registered rotorcraft to a Rotorcraft External-Load Operating Certificate in accordance with the following conditions.

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1)    Operators and new applicants for a part 133 Rotorcraft External-Load Operating Certificate must have and maintain the exclusive use of at least one rotorcraft that is U.S. registered and meets the requirements of § 133.19.
2)    Any Canadian-registered rotorcraft added to a part 133 Rotorcraft External-Load Operating Certificate and used in part 133 operations must:
a)    Be type certificated (TC) under 14 CFR part 27 or 29, the regulations preceding those parts, or 14 CFR part 21, § 21.25.
b)    Hold a U.S. TC in the normal or restricted category.
c)    Meet the original type design or properly altered condition.
d)    Have records showing maintenance in accordance with the manufacturer’s instructions for continued airworthiness (ICA) and the regulations of the country of registry.
e)    Undergo an airworthiness inspection prior to addition to a part 133 certificate.

C.    North American Free Trade Agreement (NAFTA). Certain Specialty Air Services (SAS) authorized by NAFTA require use of rotorcraft external loads. NAFTA operators do not require part 133 certification because they hold equivalent authorization from their respective NAFTA Civil Aviation Authority (CAA). However, the rotorcraft authorized by a NAFTA Certificate of Authority (COA) must have an original FAA or Transport Canada Civil Aviation (TCCA) civil TC. Ex-military aircraft that have restricted category certification based on military experience only are not eligible. For more information, see Volume 12, Chapter 1, Section 4.

D.    FSDO Certification (Office) File. This file becomes the office file if certification is successful or retains records justifying denial of certificate issuance. Include in the file any correspondence and copies of documents processed before, during, and after certification.

2-935    DOCUMENT COMPLIANCE PHASE OVERVIEW.

A.    Document Review. After accepting the application, conduct an indepth review of the following documents during the Document Compliance Phase:

    Rotorcraft lease(s), if applicable;

    Two copies of the Rotorcraft-Load Combination Flight Manual (RLCFM);

    Documentation that the Chief Pilot meets the requirements of § 133.21;

    Documentation that pilots meet instrument qualifications and currency for instrument flight rules (IFR) operations, if applicable; and

    The Class D training programs, including initial and recurrent training, if applicable.

B.    Establish Exclusive Use of at Least One Rotorcraft. A registration certificate or information from the aircraft registration data bank is acceptable as proof of ownership for the purpose of § 133.19. A lease agreement is required when the certificate holder does not own at least one rotorcraft certificated for external‑load operations. Occasionally, the person who owns the rotorcraft also owns the corporation that is applying for the Operating Certificate. In such cases, the applicant and the person owning the rotorcraft are separate legal entities, and a lease agreement is necessary.

1)    Any lease agreement furnished must identify the rotorcraft by type, registration number, and manufacturer’s identification number (serial number). The wording of the agreement must show that the certificate holder has sole possession, control, and use of the rotorcraft for flight. The agreement must also indicate the person or entity responsible for ensuring performance of required maintenance.
2)    The agreement must provide for at least 6 consecutive months of exclusive use with no escape clause. However, there is no requirement that the lease have 6 months remaining at the time of certificate issuance or renewal. If unable to determine exclusive use of the rotorcraft, obtain a copy of the lease and send it to the appropriate Regional Counsel through the regional Flight Standards division (RFSD) for evaluation.

NOTE:  An external-load operator certificate is considered an airworthiness certificate for operations conducted under part 133 (refer to § 133.51) and cannot be issued to a rotorcraft unless it was TC’d under part 27 or 29, the regulations preceding those parts, or § 21.25.

C.    RLCFM. The applicant is required to prepare a manual that describes characteristics of the rotorcraft used to achieve the maximum safe working conditions during an external-load operation. Volume 3, Chapter 51, Section 3 describes the requirements of part 133 and part 27 subpart G or part 29 subpart G.

D.    Testing, Currency, and Training Requirements.

1)    Conduct knowledge and skill tests during the Demonstration and Inspection Phase if the applicant cannot produce evidence that all pilots meet the appropriate regulatory requirements. Logbook entries, including those showing external-load operating experience, and previous letters of endorsement are acceptable forms of evidence to indicate compliance with 14 CFR part 61, § 61.57 and §§ 133.21, 133.23, and 133.37. For a Chief Pilot designation, the Administrator must find that the applicant’s previous experience, safety record, knowledge, and skill meet the requirements of §§ 133.21 and 133.23.
2)    Section 133.37 states that operators may not use crewmembers or other operations personnel for Class D external-load operations unless they have successfully completed either an approved initial or recurrent training program. Applicants must submit the training program for FAA approval during initial certification or when adding a Class D authorization. Although possibly self-trained, the Chief Pilot must also complete the operator’s approved Class D training program.
3)    A person who has performed a Class D external-load operation in a rotorcraft of the same type within the past 12 calendar-months does not need to undergo recurrent training.

E.    Airworthiness. Airworthiness inspectors must examine the following documents:

    Rotorcraft maintenance records;

    Records showing FAA approval of the attaching means;

    Airworthiness and registration certificates;

    Approved Rotorcraft Flight Manual (RFM); and

    For Class D authorizations, records showing engineering approval of the personnel lifting device.

2-936    DEMONSTRATION AND INSPECTION PHASE OVERVIEW.

A.    Knowledge and Skill Test. The applicant-designated Chief Pilot must pass an FAA inspector‑administered knowledge and skill test. The test must cover the subjects prescribed in § 133.23. Volume 5, Chapter 10, Section 1 contains a detailed description of the Chief Pilot tests. The Chief Pilot or Chief Pilot designee usually administers subsequent knowledge and skill tests to other operator-employed pilots, but an FAA inspector may give the tests.

B.    Operational Flight Check. If the external-load operator cannot provide a reliable record of having transported a similar load previously, § 133.33 requires the operator to demonstrate, by an operational flight check, the ability to transport an external load in a safe manner. The inspector defines the term “differs substantially from any previously carried” using the following examples as a guide:

1)    Examples of Class B loads that do not differ substantially from each other include an air conditioner versus an electrical transformer. Both these loads are non-aerodynamic and not considered substantially different.
2)    Examples of loads that could differ substantially include an air conditioner versus a large pane of glass or other lightweight loads. These loads are substantially different because the pane of glass can be aerodynamic under certain conditions. Follow § 133.41 to the extent necessary for a particular load combination.

NOTE:  Conduct this flight check while the inspector observes from the ground, unless the inspector determines observation from aboard the rotorcraft is absolutely necessary.

C.    Single-Pilot Operation from an Approved Pilot Station Seat. Most rotorcraft require the pilot to fly from the right pilot station seat. Some operators prefer to fly from the left pilot station during external-load operations and have modified their rotorcraft to permit such operation. Regardless of the pilot station location, the pilot must have an adequate field of view (FOV) and access to the controls and cockpit displays required for safe operation. The pilot also must have access to load release mechanisms and be able to perform emergency procedures as described in the RLCFM. The operator must obtain FAA approval of these modifications from an Aircraft Certification Office (ACO) through the Supplemental Type Certificate (STC) process, or from a FSDO through the field approval process. Either process requires both an FAA evaluation of the modified rotorcraft and ACO approval of the Rotorcraft Flight Manual Supplement (RFMS).

2-937    CERTIFICATION PHASE OVERVIEW.

A.    Certification. After successful completion of the part 133 certification process, issue a Rotorcraft External-Load Operating Certificate and applicable authorizations to the applicant. In accordance with §§ 133.27(b) and 133.51, a copy of the Operating Certificate and aircraft authorization must be carried aboard each rotorcraft when the rotorcraft is being used in operations conducted under this part.

B.    Restricted Category Rotorcraft. Rotorcraft certificated in the restricted category for special purpose of external-load operations under § 21.25(b)(7) receive restricted category airworthiness certificates for conducting external-load operations. List these rotorcraft in the Web-based Operations Safety System (WebOPSS) authorizations to ensure the operator is working within the limitations of the certificate.

2-938    PREREQUISITES AND COORDINATION REQUIREMENTS.

A.    Prerequisites. This task requires knowledge of part 133 regulatory requirements and FAA policies, qualification as an aviation safety inspector (ASI) (Operations), and experience as a rotorcraft external-load pilot.

B.    Coordination. This task requires coordination with the FSDO’s airworthiness unit and the Aviation Data Systems Branch (AFS-620).

2-939    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

    Title 14 CFR parts 1, 21, 27, 29, 61, 91, and 133.

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    Advisory Circular (AC) 133-1, Rotorcraft External-Load Operations.

B.    Forms:

    FAA Form 1360-33, Record of Visit, Conference, or Telephone Call.

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    FAA Form 8430-21, Operating Certificate (see Figure 2-9 for a sample).

    FAA Form 8710-4, Rotorcraft External-Load Operator Certificate Application (see Figure 2-35 for a sample).

C.    Job Aids:

    Certification Process Flowchart (Figure 2-36).

    Part 133 Certification Job Aid (Figure 2-37).

    Sample letters.

2-940    APPLICATION PHASE PROCEDURES.

A.    Applicant Resources. When an applicant initially inquires about certification, determine the location of the proposed principal base of operations. If the principal base of operations is in the service area of another FSDO, provide the applicant with the location and telephone number of that office. Direct the applicant to the Flight Standards Service (AFS) Web site at http://www.faa.gov for applicable regulations, ACs, FAA orders, notices, bulletins, and other pertinent information. Make sure the applicant is aware of the certification and operating requirements of part 133 and answer any questions on the following:

    The general applicability and definition of terms;

    The certification requirements;

    The operating rules;

    Part 133 recordkeeping requirements; and

    The requirement to comply with other Federal, State, and local regulations.

B.    Special Considerations for Part 133:

    Load class authorizations (A, B, C, or D);

    IFR authorization requirements;

    Qualifications and experience required for Chief Pilot;

    RLCFM requirement;

    Training program requirements for Class D operations; and

    Hazardous materials (hazmat) training program (if applicable).

C.    FAA Form 8400-6, Preapplication Statement of Intent. Instruct the applicant to complete the Preapplication Statement of Intent (PASI) found at http://www.faa.gov/forms and submit it to the FSDO. Complete the Application Phase within 90 days following receipt of this form.

1)    Upon receipt of a signed PASI, review the form to ensure that there is sufficient information to further process the preapplication and that the proposed operation is consistent with part 133. The PASI must contain the following:
a)    The company legal name, including any doing business as (DBA) names, the principal base of operations address, the mailing address, phone numbers, and the planned date when operations will begin.
b)    Names of management personnel and Chief Pilot.
c)    Type, make, model, and quantity of rotorcraft operated.
d)    In block 10 of the form, direct the applicant to list all desired authorizations (e.g., Class A, B, C, D, or IFR).
2)    If the PASI is unacceptable, describe the reasons why it is unacceptable in section 2 of the form and return to the applicant. Notify the applicant, either verbally or by letter, that the PASI is unacceptable for the reasons detailed in section 2 of the form and that a new PASI is required. It is mandatory to retain a copy of the rejected PASI in the FSDO files.
3)    When the PASI is acceptable, the FSDO manager initiates the Certification Service Oversight Process (CSOP) in accordance with Volume 11, Chapter 13, Section 1.

D.    Certification Project Manager (CPM) and Certification Project Team (CPT).

1)    The FSDO designated as the CHDO will select a CPT for the certification project. At a minimum, the team must consist of an Operations, Maintenance, and Avionics inspector. Generally, these inspectors will be the principal inspectors (PI) assigned to the applicant once the certification process is completed. Once the CSOP is completed and a FSDO is designated as the CHDO for the certification project, the CHDO may request a precertification number from AFS-620. (See Volume 2, Chapter 1, Section 3.)
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2)    The manager of the CHDO will designate one member of the CPT to serve as the CPM. This person should have completed appropriate training and, if possible, should have previous experience in the certification of an air operator under part 133. It is desirable to designate a person with PI experience; however, depending on the situation, other inspectors may be acceptable. The CPT must conduct himself or herself in a professional and responsive manner with the applicant. The CPM will:
a)    Serve as the primary spokesperson for the FAA throughout certification and maintain the Certification File.
b)    Coordinate all certification matters with assigned certification specialists.
c)    Ensure that all certification job functions are completed.
d)    Coordinate all correspondence.
e)    Notify the FSDO manager of any information that may significantly affect or delay the certification project.
f)    Keep individuals involved with the certification project and the FSDO manager fully informed of the current status of the certification.
g)    Maintain a record of any difficulties encountered during any phase of the certification or recommendations for future surveillance (Certification Report) to include in the Certification File.

E.    PTRS. Open the PTRS file.

F.    Application Package.

1)    Provide the applicant with the following materials or refer him or her to the current online resource:
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    FAA Form 8710-4 (see Figure 2-35 for a sample);

    Part 133 Certification Job Aid (Figure 2-37);

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    Letter of Nomination for Designation as a Chief Pilot (see Figure 2-39 for a sample); and

    Sample Rotorcraft-Load Combination Flight Manual (see Volume 3, Chapter 51, Section 3, Figure 3-133).

2)    Discuss how to complete the forms and advise the applicant to submit the forms with original signatures.
3)    Use the following factors to determine if the inspector needs to discuss additional items with the applicant:

    Previous experience in part 133 external-load operations;

    Size, scope, and safety aspects of the operation;

    Area of operation;

    Class D or IFR authorization, if requested; and

    Ability to comply with the certification requirements.

4)    If necessary, discuss the following with the applicant and answer any questions about the certification process:
a)    The time and gate requirements for the completion of each phase;
b)    Areas of operation (local or outside FSDO service area), including the principal base of operations and any proposed satellite bases;
c)    Load class authorization(s) the operator is seeking;
d)    Operator’s previous experience with part 133 operations;
e)    Qualifications and experience of the designated Chief Pilot;
f)    Applicability of parts 91 and 133;
g)    AC 133-1;
h)    Previous or pending enforcement action against the applicant or pilot(s);
i)    Purpose of the certification job aid;
j)    Contents of the RLCFM;
k)    Training program requirements for Class D operations; and
l)    Requirements to carry hazmat.

G.    FSDO Office File. Establish a file to include correspondence and copies of documents developed before, during, and after certification.

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H.    Application Overview. Review the application package and determine if it is complete. If the package is not complete, notify the applicant in writing (see Figure 2-43, Sample Part 133 Letter Rejecting Application Package) of the changes needed before certification can continue. Figure 2-35 shows an example of a properly completed application form. Conduct an indepth review of the package during the Document Compliance Phase.

I.    Enforcement History Check. Determine the applicant and pilot’s enforcement history using the Enforcement Information System (EIS). Print out the EIS query results, even if no history exists, and place in the FSDO office file.

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1)    If a certificate action indicates that the applicant cannot be certificated while an order is in effect, inform the applicant in writing (see Figure 2-41, Sample Letter Indicating Applicant Not Eligible for Certification Because of Pending Enforcement Action) that he or she is not eligible for certification until the terms of the enforcement action have been satisfied.
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2)    If a certificate action is in effect for the Chief Pilot designee, inform the applicant in writing (see Figure 2-42, Sample Letter Indicating Chief Pilot Designee Not Eligible Because of Pending Enforcement Action) that the pilot is not eligible to be Chief Pilot until the terms of the enforcement action have been satisfied. Continue with the certification process only after designation and checking of another Chief Pilot designee through the EIS.
3)    If a certificate action is in effect for any of the other applicant-employed pilots (other than Chief Pilot), continue with the certification process. Inform the applicant that the pilot(s) in question will not be eligible to conduct external-load operations until the terms of the enforcement action have been satisfied.

J.    Coordinate with Airworthiness Unit. Notify the airworthiness unit that a Maintenance inspector must review the maintenance records during the Document Compliance Phase. Coordinate with the airworthiness unit during the Demonstration and Inspection Phase for inspection of the installation and operation of the external‑load attaching means. For Class D load operations, this may include approval of the personnel lifting device if not previously approved.

K.    Application Meeting (Required). Schedule the application meeting after completing the application review process.

1)    Review a schedule for certification and make any necessary adjustments.
2)    Review the requirements for each load class authorization.
3)    Discuss the requirements for the RLCFM.
4)    Discuss the rotorcraft ownership or lease agreement.
5)    Review the applicant’s previous experience in external-load operations.
6)    Review the experience and qualifications of the designated Chief Pilot.
7)    Review the requirements for an IFR authorization, if applicable.
8)    Review the requirements for a Class D training program, if applicable.

L.    Gate Complete. Verify that all steps in the Application Phase are complete before continuing to the Document Compliance Phase (see Figure 2-36). If this phase is not complete within 90 days of the receipt of the PASI, notify the applicant that the inspector may need to end the certification process. Completion of this gate triggers a new 90-day completion timeline for the Document Compliance Phase.

2-941    DOCUMENT COMPLIANCE PHASE PROCEDURES. After receiving the application package, evaluate the information in the following documents.

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A.    The Application Form, FAA Form 8710-4 (see Figure 2-35 for a sample).

1)    In block 1, the applicant indicates the following:
a)    “Original Issuance” if the application is for initial certification;
b)    “Amendment” if the application is for a change to an existing certificate;
c)    “Renewal” if the application is for renewal of an existing certificate;
d)    Certificate number if the application is for amendment or renewal; and
e)    Check the appropriate block(s) to indicate the load classes requested.
2)    In block 2, the applicant indicates the name (including DBAs), mailing address, and telephone number of the operator.
3)    In block 3, the applicant indicates the address and telephone number of the principal or local base of operations. Verify the applicant has listed a physical address in this block; a post office box is not acceptable.
4)    In block 4, the applicant indicates the name of the Chief Pilot or designee and that pilot’s Airman Certificate grade (e.g., private, commercial, airline transport pilot (ATP)) and certificate number.
5)    In block 5, the applicant indicates all rotorcraft used by registration number, make, and model. The applicant also indicates the requested load classes and whether the FAA previously approved the attaching device for each rotorcraft. The applicant may use the “Remarks” column to indicate rotorcraft for which he or she is requesting IFR authorization.
6)    At the bottom of the form, the applicant or authorized officer must date and sign the application. The person signing the application must also include their title (e.g., Director of Operations, President).
7)    The inspector will complete the reverse side of the form during the Certification Phase.

B.    Evaluate Rotorcraft Lease(s). See Volume 3, Chapter 51, Section 5.

C.    Evaluate RLCFM. See Volume 3, Chapter 51, Section 3.

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D.    Letter of Nomination for Designation as a Chief Pilot (see Figure 2-39 for a sample). Verify the nomination of and acceptance by the Chief Pilot. Both the operator and Chief Pilot must sign the letter.

E.    Qualifications of Chief Pilot. Determine if the Chief Pilot nominee meets the requirements of § 133.21 and has:

1)    Previous experience in external-load operations;
2)    A satisfactory safety record; and
3)    Passed the knowledge and skill test for external-load operations.

NOTE:  If it is necessary to administer a knowledge and skill test for the Chief Pilot, conduct it during the Demonstration and Inspection Phase.

F.    Review Rotorcraft and Equipment Maintenance Records (Airworthiness). See Volume 3, Chapter 51, Sections 2 and 4.

G.    Class D Training Program (if applicable). Examine Class D initial and recurrent training programs for the following elements.

1)    Ground training for pilots should include:
a)    Reviewing the contents of the Class D authorization;
b)    Calculating the longitudinal and lateral Weight and Balance (W&B);
c)    Determining single-engine hovering out-of-ground effect performance, considering weight and environmental conditions (refer to § 133.45(e)(1));
d)    Reviewing normal and emergency communications procedures, including hand signals;
e)    Reviewing crew coordination procedures;
f)    Reviewing preflight procedures for all equipment;
g)    Reviewing congested area plan (CAP) requirements;
h)    Briefing all persons involved with the external-load operation;
i)    Using approved personnel lifting devices;
j)    Operating the winch, including weight, longitudinal and lateral center of gravity (CG), operational limitations, preflight, normal, and emergency procedures;
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k)    Night operation considerations, limitations, and risk mitigation procedures (if applicable);
l)    Avoiding collisions and obstacles; and
m)    Reviewing other information necessary to ensure pilot competence. For example, for each rotorcraft make and model used, examine the training program for information about the following:

    Major rotorcraft systems;

    Limitations of the rotorcraft make and model;

    Performance characteristics;

    Fuel consumption and management;

    Approved RFM, approved RLCFM, and approved supplements;

    Procedures for normal and emergency situations;

    Explanations of the causes of loss of tail rotor effectiveness and procedures to recover; and

    Avoidance of potentially hazardous meteorological conditions.

2)    Flight training for pilots while carrying a simulated load (ballast) on the personnel lifting device should include:
a)    Computing longitudinal and lateral W&B and performance planning;
b)    Performing takeoffs and landings;
c)    Maintaining directional control while hovering;
d)    Accelerating from a hover;
e)    Performing approaches to landing or work areas;
f)    Operating the winch, if so equipped;
g)    Using safety devices that prevent inadvertent release of the load;
h)    Releasing the load in an emergency;
i)    Single-engine hovering and maneuvering for landing;
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j)    Night flight training (if applicable); and
k)    Avoiding collisions and obstacles.
3)    Ground training for flightcrew members (e.g., winch operators) should include:
a)    Reviewing normal and emergency communications procedures, including hand signals;
b)    Operating the winch, including weight and operational limitations, preflight, normal, and emergency procedures;
c)    The appropriate portions of the RLCFM;
d)    Reviewing crew coordination procedures;
e)    Conducting a preflight inspection of lifting equipment;
f)    Using the approved personnel lifting devices;
g)    Using personal safety equipment (e.g., harnesses, clothing, and gloves);
h)    Recognizing the onset of hazardous load oscillations;
i)    Recognizing other dangerous situations;
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j)    Night operation considerations, limitations, and risk mitigation procedures. (if applicable); and
k)    Avoiding collisions and obstacles.
4)    Flight training for flightcrew members (e.g., winch operators) while carrying a simulated load (ballast) should include:
a)    Operating the winch, if so equipped;
b)    Communicating among crewmembers, including hand signals as well as normal and emergency communications procedures;
c)    Using safety devices that prevent inadvertent release of the load;
d)    Releasing the load in an emergency;
e)    Using an approved personnel lifting device;
f)    Using personal safety equipment (e.g., harnesses, clothing, and gloves);
g)    Stabilizing oscillating winch loads; and
h)    Avoiding collisions and obstacles.
5)    Ground and flight training for ground crew personnel while carrying a simulated load (ballast) should include:
a)    Reviewing normal and emergency communications procedures, including hand signals;
b)    Reviewing crew coordination procedures;
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c)    Performing a preflight inspection of the lifting equipment;
d)    Using an approved personnel lifting device;
e)    Operating the winch, including limitations and normal and emergency procedures;
f)    The appropriate portions of the RLCFM;
g)    Recognizing dangerous situations;
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h)    Night flight training (if applicable);
i)    Recognizing the onset of hazardous oscillation of the load; and
j)    Using personal safety equipment (e.g., helmets, gloves, and goggles).
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6)    If there are any unsatisfactory items, notify the applicant. The inspector may make minor corrections in the office without returning the entire package. For substantial corrections, notify the applicant in writing and place a reasonable time limit on when the corrections should be completed (see Figure 2-45, Sample Letter Explaining Document Deficiencies). Place a copy of the letter in the Certification File.

H.    Gate Complete. Verify that all steps in the Document Compliance Phase are complete before continuing to the next phase (see Figure 2-36). Notify the applicant that the inspector may need to take steps to end the certification process if this phase takes longer than 90 days. The completion of this gate triggers a new 90‑day completion timeline for the Demonstration and Inspection Phase.

2-942    DEMONSTRATION AND INSPECTION PHASE PROCEDURES.

A.    Conduct Knowledge and Skill Tests. See Volume 5, Chapter 10.

B.    Conduct Rotorcraft and Equipment Inspection (Airworthiness). See Volume 3, Chapter 51, Sections 2 and 4.

C.    Conduct Operational Flight Checks (if required). Conduct operational flight checks (as required by § 133.33). Conduct this flight check while the inspector observes from the ground, unless the inspector determines observation from aboard the rotorcraft is absolutely necessary.

1)    Have the operator ensure the gross weight and CG location of the rotorcraft-load combination (RLC) is within approved limits. They should also verify the secure fastening of the external load and that the load does not interfere with devices provided for its emergency release.
2)    Observe an initial lift-off to verify that controllability is satisfactory.
3)    Have the pilot execute a 360-degree pedal turn (to the right or left, as appropriate) to verify that directional control is satisfactory while the rotorcraft is hovering.
4)    Verify that no attitude encountered in forward flight results in the rotorcraft becoming uncontrollable or the occurrence of dynamic turbulence. Check that hazardous oscillations of the external load do not occur. Other crewmembers or ground personnel may verify this if the load is not visible to the ASI when conducting a check in the rotorcraft.
5)    Have the pilot increase forward speed to determine the maintenance of directional stability as both the rotorcraft and external load accelerate.
6)    If appropriate, have the pilot maintain horizontal flight at the maximum speed for which authorization is requested; observe whether load oscillations occur that would interfere with rotorcraft stability.
7)    For load Classes B, C, and D, observe normal operation of the lifting device during flight or hovering to ensure that it does not interfere with flight control.
8)    Have the pilot maneuver the external load into its release position and demonstrate the release. Note any difficulties or discrepancies in the proper positioning of the load and the rotorcraft exit from the site.
9)    Make notes during and immediately after the operational flight check for reference when debriefing the applicant and for later placement in the office file.

D.    Conduct a Base Inspection. See Volume 6, Chapter 5, Section 1.

Indicates new/changed information.

E.    Results of Inspections and Testing. If all inspections are satisfactory, proceed with certification. Advise the applicant in writing (see Figure 2-46, Sample Letter Explaining Inspection Deficiencies) if any items are unsatisfactory. Reschedule the inspections or tests, as appropriate.

F.    Gate Complete. Verify that all steps in the Demonstration and Inspection Phase are complete before continuing to the next phase (see Figure 2-36). Notify the applicant that the inspector may need to take steps to end the certification process if this phase takes longer than 90 days. The completion of this gate triggers a 14‑day completion timeline for the Certification Phase.

2-943    CERTIFICATION PHASE PROCEDURES. When the applicant meets all certification requirements, review and complete the job aid (Figure 2-37) for verification purposes.

Indicates new/changed information.

A.    Prepare and Issue Operating Certificate. Use FAA Form 8430-21 for an Operating Certificate (see Figure 2-9 for a sample). Follow these steps to prepare the certificate:

Indicates new/changed information.
1)    Enter the full legal business name of the company below the words “This certifies that.” Use the same legal business name as indicated on Figure 2-47, Sample Part 133 Letter Listing DBAs. Place any additional business names on the certificate below the legal name.
a)    The acronym “DBA” precedes the additional business name.
b)    The certificate holder will provide evidence, as applicable, of the appropriate State or local government’s authorization of all business names.
c)    The CHDO should not restrict the number of DBAs used by a certificate holder. Should there be insufficient space on the certificate to accommodate all DBAs, the legal name and address should appear on the certificate with a notation to see an accompanying letter for a list of DBAs.
2)    Enter the address of the principal base of operations below the full legal name. This address must reflect the physical location of the principal base of operations.
3)    Do not modify the preprinted certification statement of authority. Complete the statement by typing “ROTORCRAFT EXTERNAL-LOAD OPERATIONS” in the space provided.
4)    Include the expiration date, which is the last day of the 24th calendar-month after the date of issue (refer to § 133.13).
5)    Enter the certificate number. Contact AFS-620 if the inspector did not already obtain a precertification number.
6)    Enter the date the applicant met all requirements for certification. Type the four-character alphanumeric designator and the city and State of the CHDO into the space provided (e.g., NM09, Portland, OR).
7)    Enter the full title of the person signing the certificate. Enter the acronym of the region and the FSDO acronym and number (e.g., Manager, ANM-FSDO-09).
8)    Submit the certificate for the FSDO manager to sign.
Indicates new/changed information. Indicates new/changed information.

B.    Issuing Authorizations in WebOPSS. The FAA uses WebOPSS to provide a national standardized method for issuing regulatory letters of authorization (LOA). Use of this system also puts the operator into the national database for receiving safety advisories and alerts. Enter all appropriate information in WebOPSS and issue the required paragraphs and any applicable optional paragraphs. In accordance with §§ 133.27(b) and 133.51, each rotorcraft must carry a copy of the Operating Certificate and aircraft authorization (LOA A003) when the rotorcraft is being used in operations conducted under this part.

Indicates new/changed information.

C.    Application Completion. Complete the inspection report on the reverse side of FAA Form 8710-4.

1)    Approve each suitable rotorcraft by the following:

    Make and model;

    Registration number;

    Approval date;

    Load classes (A, B, C, or D);

    Weight authorized;

    Limitations and remarks (IFR authorizations, if applicable); and

    The inspector’s signature.

2)    Include any pertinent remarks.
3)    Indicate how the Chief Pilot met the knowledge and skill requirements (i.e., actual test or previous logbook endorsement). In addition, indicate:
a)    The Chief Pilot’s name;
b)    The load classes the Chief Pilot is authorized for (insert in name block); and
c)    The date the Chief Pilot met the knowledge and skill requirements.
4)    Sign the application or have it signed by the inspector who tested or verified the Chief Pilot’s experience.
5)    Check the applicable boxes to indicate the operator’s authorized load classes.
6)    Include the certificate number obtained from AFS-620.
7)    Indicate the issue date of the certificate.
8)    Enter the FSDO acronym.
9)    Have the CPM approve and sign the application.
Indicates new/changed information.

D.    Certificate Denial. If the applicant does not meet certification requirements, issue a letter of denial (see Figure 2-49, Sample Part 133 Letter Denying Certification). Indicate disapproval on FAA Form 8710-4, make any necessary comments, and have the FSDO manager sign and date the application.

E.    FSDO Certification (Office) File. After issuing the certificate, verify that the office file contains copies or originals of the following:

1)    PASI form;
2)    FAA Form 8710-4;
3)    Certification job aid;
4)    Operating Certificate;
5)    Letter designating Chief Pilot;
6)    Summary of any difficulty encountered during certification and its resolution (Certification Report);
7)    RLCFM;
8)    Approved Class D training program, if applicable;
9)    WebOPSS authorizations;
10)    The EIS/Accident Incident Data System (AIDS) profile on the applicant and personnel;
11)    Knowledge and skills tests including results, or logbook endorsements, as appropriate;
12)    Approved CAP, if applicable;
13)    Amendment or revision authorization letter; and
14)    All general correspondence relevant to the operator.

F.    Operator Records. After certification, the operator must maintain records required by the regulations, including training and currency records for that operator’s pilots and Chief Pilot. For further details, see Volume 5, Chapter 10, Section 1 and Volume 6, Chapter 5, Section 1. Remind the operator of these requirements when the certificate is issued.

G.    Enhanced Vital Information Database (eVID). Enter all appropriate information into the eVID Air Operator Basic File and Air Operator Aircraft Auxiliary File.

H.    PTRS. Complete the PTRS record.

I.    Gate Complete. Verify that all steps in the Certification Phase are complete (see Figure 2-36). Complete this phase within 14 days.

2-944    TASK OUTCOMES. Completion of this task results in one or more of the following:

Indicates new/changed information.

    Issuance of a Rotorcraft External-Load Operating Certificate and the appropriate part 133 LOAs;

    Certification denial in writing (see Figure 2-49) and the return of all original documents to applicant;

    A letter to the applicant confirming termination of the certification process at the applicant’s request; and/or

    A letter to the applicant confirming termination of the certification process after exceeding the time limit for any phase.

2-945    FUTURE ACTIVITIES. Future activities include:

    Schedule and conduct surveillance according to national guidelines;

    Renew the certificate every 24 calendar-months;

    Review CAPs, if revised (see Volume 3, Chapter 51, Section 6);

    Amend the certificate, as required (see Volume 3, Chapter 51, Section 1); and

    Amend or add authorizations, as required.

Indicates new/changed information.

Figure 2-9.  Sample FAA Form 8430-21, Operating Certificate

Figure 2-9. Sample FAA Form 8430-21, Operating Certificate

Indicates new/changed information.

Figure 2-35.  Sample FAA Form 8710-4, Rotorcraft External-Load Operator Certificate Application

Indicates new/changed information.

Figure 2-35. Sample FAA Form 8710 4, Rotorcraft External Load Operator Certificate Application

Figure 2-36.  Certification Process Flowchart

Figure 2-36. Certification Process Flowchart

Figure 2-37.  Part 133 Certification Job Aid

14 CFR PART 133 CERTIFICATION JOB AID

CERTIFICATION TEAM

Name                                         Specialty

                                                                              

                                                                              

                                                                              

Name of Applicant

Remarks

Inspector’s

Initials

Date

S

U

N/A

APPLICATION PHASE

 

 

 

 

 

1. Initial contact with                .

 

 

 

 

 

2. Applicant provided with current references.

 

 

 

 

 

3. Answer initial certification questions.

 

 

 

 

 

4. Preapplication Statement of Intent (PASI) received.

 

 

 

 

 

5. PASI review.

 

 

 

 

 

6. Provide application package.

 

 

 

 

 

7. Application quality review.

 

 

 

 

 

8. Enforcement history check.

 

 

 

 

 

9. Application meeting.

 

 

 

 

 

10. Gate complete (within 90 days).

 

 

 

 

 

DOCUMENT COMPLIANCE PHASE

 

 

 

 

 

11. Application package review (indepth).

 

 

 

 

 

a. FAA Form 8710-4.

 

 

 

 

 

b. Rotorcraft ownership/lease.

 

 

 

 

 

c. Rotorcraft-Load Combination Flight Manual (RLCFM).

 

 

 

 

 

d. Letter of Designation of Chief Pilot.

 

 

 

 

 

e. Qualifications of Chief Pilot.

 

 

 

 

 

f. Review maintenance records (Airworthiness).

 

 

 

 

 

g. Class D training program.

 

 

 

 

 

h. Gate complete (within 90 days).

 

 

 

 

 

Figure 2-37.  Part 133 Certification Job Aid (Continued)

14 CFR PART 133 CERTIFICATION JOB AID

CERTIFICATION TEAM

Name                                         Specialty

                                                                              

                                                                              

                                                                              

Name of Applicant

Remarks

Inspector’s

Initials

Date

S

U

N/A

DEMONSTRATION AND INSPECTION PHASE

 

 

 

 

 

12. Knowledge and skill tests.

 

 

 

 

 

13. Rotorcraft and equipment inspection (Airworthiness).

 

 

 

 

 

a. Equipped for Class A loads.

 

 

 

 

 

b. Equipped for Class B loads.

 

 

 

 

 

c. Equipped for Class C loads.

 

 

 

 

 

d. Equipped for Class D loads.

 

 

 

 

 

e. Approved Class D personnel lifting device.

 

 

 

 

 

f. Section 133.49(a) placard (in cockpit or cabin).

 

 

 

 

 

g. Section 133.49(b) placard (next to load attaching means).

 

 

 

 

 

(1) States maximum load.

 

 

 

 

 

(2) Matches RLCFM.

 

 

 

 

 

h. Installation and function of load carrying/attaching device.

 

 

 

 

 

14. Operational flight checks.

 

 

 

 

 

15. Base inspection.

 

 

 

 

 

16. Gate complete (within 90 days).

 

 

 

 

 

Figure 2-37.  Part 133 Certification Job Aid (Continued)

14 CFR PART 133 CERTIFICATION JOB AID

CERTIFICATION TEAM

Name                                         Specialty

                                                                              

                                                                              

                                                                              

Name of Applicant

Remarks

Inspector’s

Initials

Date

S

U

N/A

CERTIFICATION PHASE

 

 

 

 

 

17. Certificate number obtained from Aviation Data Systems Branch (AFS-620).

 

 

 

 

 

18. Prepare Operating Certificate.

 

 

 

 

 

19. Prepare Web-based Operations Safety System (WebOPSS) authorizations.

 

 

 

 

 

20. Complete inspection report (reverse side of FAA Form 8710-4).

 

 

 

 

 

21. Complete the Flight Standards District Office (FSDO) certification (office) file.

 

 

 

 

 

22. Enhanced Vital Information Database (eVID) entry.

 

 

 

 

 

23. Program Tracking and Reporting Subsystem (PTRS) entry.

 

 

 

 

 

24. Certificate issuance.

 

 

 

 

 

25. Gate complete (within 14 days).

 

 

 

 

 

26. Surveillance plan established.

 

 

 

 

 

Indicates new/changed information.

Figure 2-39.  Sample Letter of Nomination for Designation as a Chief Pilot

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

[Date]

Federal Aviation Administration (FAA)

Flight Standards District Office (FSDO)

[FSDO address]

[FSDO city, State, and ZIP Code]

Dear Inspectors:

I am writing to inform you that, as part of our application for a Rotorcraft External-Load Operating Certificate, I wish to designate the following person as Chief Pilot, with your approval:

[Name, certificate grade and number]

[Name] has accumulated over [XXXX] hours as pilot in command (PIC) of rotorcraft and most recently was employed as an external-load pilot for [name of other operator]. In this capacity, [name] flew [make and model]. [Name] completed the FAA knowledge and skill tests on [date].

All records of experience and training are available for the inspector’s review.

Sincerely,

[Signature of operator]

[Name]

[Title]

I accept this nomination for designation as Chief Pilot.

[Signature of Chief Pilot]

[Name of Chief Pilot]

Indicates new/changed information.

Figure 2-41.  Sample Letter Indicating Applicant Not Eligible for Certification Because of Pending Enforcement Action

[FAA Letterhead]

[Date]

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

Dear [name of applicant]:

This letter is to inform you that you are ineligible for certification as a rotorcraft external-load operator.

During our precertification review of your enforcement history, we determined that [type of enforcement action and justification for discontinuing certification process].

If you have any questions concerning this matter or desire to reapply after completion of the enforcement sanction, please contact this office at [telephone number].

Sincerely,

[Flight Standards District Office (FSDO) manager’s signature]

Indicates new/changed information.

Figure 2-42.  Sample Letter Indicating Chief Pilot Designee Not Eligible Because of Pending Enforcement Action

[FAA Letterhead]

[Date]

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

Dear [name of applicant]:

This letter is to inform you that your nominee for Chief Pilot, [name of Chief Pilot], is not eligible for the position.

During our precertification review, we determined that an enforcement action is in effect against [name of Chief Pilot]’s Airman Certificate.

Please submit a new Chief Pilot nominee within 30 days from receipt of this letter.

If you have any questions concerning this matter or desire to submit another nominee for Chief Pilot, please contact this office at [telephone number].

Sincerely,

[Flight Standards District Office (FSDO) manager’s signature]

Indicates new/changed information.

Figure 2-43.  Sample Part 133 Letter Rejecting Application Package

[FAA Letterhead]

[Date]

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

Dear [name of applicant]:

This letter is to inform you that the application package you submitted to become a rotorcraft external-load operator is not acceptable. The following is a list of discrepancies noted:

[List the specific discrepancies found in each document.]

[List any missing items or documents.]

Indicates new/changed information.

We have returned all items in your application package with this letter. We have enclosed blank forms for you to submit a corrected application package. If you intend to terminate the certification process or if you have any questions, please contact this office at [telephone number].

Sincerely,

[Flight Standards District Office (FSDO) manager’s signature]

Indicates new/changed information.

Figure 2-44.  Sample Part 133 Letter Accepting Formal Application Package

[FAA Letterhead]

[Date]

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

Dear [name of applicant]:

Indicates new/changed information.

This letter is to inform you that we have accepted your application for a Rotorcraft External-Load Operating Certificate for review.

The next step in the certification process is to review the following:

[List the documents, as appropriate to the applicant. For example:

FAA Form 8710-4, Rotorcraft External-Load Operator Certificate Application.

Lease Agreements.

Rotorcraft-Load Combination Flight Manual (RLCFM).

Letter of Designation of Chief Pilot.

Qualifications of Chief Pilot.

Rotorcraft and Equipment Maintenance Records.

Class D Training Programs.]

We will notify the inspector of the results of this review and any further actions required.

Sincerely,

[Certification project manager’s (CPM) signature]

Indicates new/changed information.

Figure 2-45.  Sample Letter Explaining Document Deficiencies

[FAA Letterhead]

[Date]

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

Dear [name of applicant]:

During the Document Compliance Phase of certification, we found the following items deficient and are returning them for correction:

[List the specific items and discrepancy, for example:

1. FAA Form 8710-4, Rotorcraft External-Load Operator Certificate Application, should indicate the registration numbers of the rotorcraft used.

2. The Class D training program does not include any training on appropriate hand signals used by ground personnel in the event of radio communication failure.]

Please correct and resubmit the items listed above by [date] in order to continue the certification process. If you have any questions concerning this matter, please contact this office at [telephone number].

Sincerely,

[Certification project manager’s (CPM) signature]

Indicates new/changed information.

Figure 2-46.  Sample Letter Explaining Inspection Deficiencies

[FAA Letterhead]

[Date]

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

Dear [name of applicant]:

During the [type of inspection; e.g., rotorcraft equipment, operational flight check, base inspection] we noted the following deficiencies:

[List specific deficiencies.]

You must correct these items before the certification process can continue. Inform this office of when you anticipate completing these corrections so that the schedule for certification may be adjusted.

Sincerely,

[Certification project manager’s (CPM) signature]

Indicates new/changed information.

Figure 2-47.  Sample Part 133 Letter Listing DBAs

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

[Date]

Federal Aviation Administration (FAA)

Flight Standards District Office (FSDO)

[FSDO address]

[FSDO city, State, and ZIP Code]

Dear Inspectors:

The following corporate names (doing business as (DBA)) may be associated with rotorcraft external-load operations authorized upon certification of [legal business name]:

[List all business names and addresses.]

Sincerely,

[Name of applicant]

Indicates new/changed information.

Figure 2-49.  Sample Part 133 Letter Denying Certification

[FAA Letterhead]

[Date]

[Operator’s name]

[Operator’s address]

[Operator’s city, State, and ZIP Code]

Dear [name of applicant]:

Indicates new/changed information.

This letter is to inform you that we have denied your application for a Rotorcraft External-Load Operating Certificate.

The reasons for denial are as follows:

[List specific reasons in detail and cite Title 14 of the Code of Federal Regulations (14 CFR) sections where possible.]

If you have any questions concerning the above, please contact this office at [telephone number].

Sincerely,

[Flight Standards District Office (FSDO) manager’s signature]

RESERVED. Paragraphs 2-946 through 2-965.