VOLUME 2 AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION
PROCESS
CHAPTER 11 CERTIFICATION OF A PART
145 REPAIR STATION
Section 2 Safety Assurance System: Phase 2—Formal Application (SAS
Business Process Modules 1 and 2)
2-1198 RECEIPT OF FORMAL APPLICATION. After receiving the
formal application package, the Federal Aviation Administration (FAA) will
inform the applicant that it will take 15 business-days to review the
submission.
2-1199 INITIAL REVIEW OF THE APPLICATION PACKAGE. Upon receipt
of a formal application, the certification team must initially review it and
make a determination of its acceptability within 15 business-days. The
certification project manager (CPM) will provide written notification of
acceptance or rejection of the formal application. The CPM shall upload this
notification with the applicant in the Safety Assurance System (SAS)
database. The initial review serves two purposes:
A. Purpose One. It verifies the items required for formal
application have been submitted. The required items to pass Gate II are as
follows:
1) The application must contain the FAA Form
8310-3,
Application for Repair Station Certificate and/or Rating, which includes the
information described in
Volume 2, Chapter 11, Section 1, paragraph 2-1188, Preapplication
Meeting.
2) The application must contain the required formal
attachments described in
Volume 2, Chapter 11, Section 1, paragraph 2-1190, Formal Application
Attachments. These requirements are also listed in the certification job
aids (see
Volume 2, Chapter 11, Section 1, Figure 2-87, Schedule of Events Job Aid
for Part 145
Repair Stations).
NOTE: If any of the items required for the formal
application are missing or are incomplete, the entire formal application
must be rejected. It should be returned to the applicant with a letter
stating the reasons for its rejection following completion of the initial
review. See Figure 2-88, Rejection of Formal Application—Missing or
Incomplete Documents, for an example of a rejection letter.
B. Purpose Two. The initial review also permits a
determination of whether the submitted material represents a feasible
proposal and is of sufficient quality to allow for a productive formal
application meeting and to proceed with the certification process. The
following paragraphs are provided as direction and guidance for this initial
review.
2-1200 PREAPPLICATION CONTENTS FOR REVIEW.
A. Updated Preapplication Statement of Intent (PASI). The CPM
must review FAA Form 8400-6,
Preapplication Statement of Intent, for any changes in scope from the
initial submission.
B. FAA Form
8310-3
Attachment.
The CPM must review all Preapplication Checklist (PAC) items for
completeness and accuracy, and also review block 1e repair station
management qualification.
C. Compliance Statement Attachment. The CPM must review the
compliance statement within 15 business-days to determine that it complies
with the form and content prescribed in
Volume 2, Chapter 11, Section 1, paragraph 2-1190. The compliance
statement must then be given a detailed review and be accepted before the
applicant may pass to Gate II.
D. A List by Type, Make, or Model of Each Article. The CPM
must review the list for compliance with the applicant’s other documents.
E. Description of Housing and Facility Attachments. The CPM
must review these documents to determine that they include the types of
information described in
Volume 2, Chapter 11, Section 1, paragraph 2-1190.
F. Compliance Letter. The CPM must review the compliance
letter for hazardous materials (hazmat), as required by Title 14 of the Code
of Federal Regulations (14 CFR) part
145, §
145.53(c) and
(d).
G. Schedule of Events (SOE) Attachment. The SOE is a list of
each major item, activity, program, aircraft, and/or facility acquisition.
It also sets milestones for accomplishment or submission of the listed
items. The SOE, when accepted, becomes the basis for agreement between the
applicant and the certification team to accomplish the certification
project. When reviewing the SOE, the certification team must carefully
consider the feasibility of the proposed schedule with respect to the
following criteria:
1) Logic of Sequence. Many activities and events listed in the
schedule must occur before other activities and events. The team should use
the certification job aid as a tool to ensure that the applicant’s proposed
SOE is logical in terms of event sequence.
2) Timeliness of Events. The SOE must be reasonable and
realistically provide sufficient time for the certification team to review
the applicant’s various documents, manuals, and proposals.
3) Completeness of Events. The number and kinds of submissions
made by the applicant for evaluation and acceptance or approval varies
according to the complexity of the proposed operation. Specific manuals and
other documents that are required for a particular type of applicant are
annotated in the SOE and the certification job aid. The CPM should use the
job aid to ensure that all required manuals and documents have been included
in the SOE.
4) Inspector or Other Resource Availability. Availability and
capability of personnel resources is another element of concern when
determining whether a SOE can be met. The CPM must determine, for example,
that appropriately qualified inspectors are available for the conduct of
extensive manual reviews consistent with the proposed SOE.
H. Company Manual System Attachments. The CPM must give the
manual’s (i.e., Repair Station Manual (RSM)) attachments a cursory review;
first, to determine that the type of information described in
Volume 2, Chapter 11, Section 1, paragraph 2-1190 has been submitted.
Second, the CPM must determine that the overall content and scope of the
manual’s material indicates that the applicant is proceeding in an
appropriate manner and in compliance with the regulations. These completed
manual submissions provide early indications of the quality of the
applicant’s manual program. An indepth review and evaluation and the
acceptance, approval, or rejection of the manual will be accomplished in the
Design Assessment (DA) phase.
I. Company Training Program Attachments. The CPM must review
the training program attachments to determine that each of the segments
listed in
Volume 6, Chapter 9, Section 14 are complied with.
J. Initial Evaluation of Applicant Submitted Element Design Data
Collection Tools (ED DCT). The CPM will verify that all applicable ED
DCTs or a Custom DCT (C DCT) were submitted. The CPM will then select a
sample of ED DCTs for review. These ED DCTs or C DCT will be reviewed for
obvious omissions or significant discrepancies within the applicant’s
system. The ED DCTs selected should be a sampling of the programs that
require approval or are related to operations specifications (OpSpecs).
K. Supervisory Personnel Attachments. Supervisory
qualifications must be reviewed by the CPM. For more information, see
Volume 2, Chapter 11, Section 1, paragraph 2-1190.
L. Management Organizational Chart. The CPM must review the
organizational chart for accuracy.
M. Submission of Proposed OpSpecs. The CPM must review the
proposed OpSpecs for accuracy.
N. List of Contract Maintenance Functions. The CPM must review
the contract maintenance functions for accuracy, as required by §
145.217.
O. Drug and Alcohol Program (if applicable). The CPM must
review the drug and alcohol program for applicability using the guidance in
Volume 3, Chapter 18, Section 10, OpSpec/MSpec/LOA A449, Antidrug and
Alcohol Misuse Prevention Program.
P. Exemption Requests (if applicable). The CPM must review any
exemption requests.
Q. Capability List (CL) (if applicable). The CPM must review
the applicant’s CL for accuracy.
R. Applications for a Repairman Certification. The CPM must
review FAA Form
8610-2,
Airman Certificate and/or Rating Application, and letter of recommendation
for the applicant’s repairman requests.
2-1201 INITIAL DETERMINATION OF FORMAL APPLICATION ACCEPTABILITY.
A. Prior to Formal Application Meeting. The decision whether
or not to accept the formal application before the formal application
meeting, and then to proceed with the certification process by scheduling a
meeting with the applicant, must be tempered with good judgment and a
reasonably flexible attitude. Results of informal meetings, reviews, and
observations of the applicant’s capabilities during the preapplication phase
should supplement the decision-making process. Other factors such as working
relationships and understanding established during the preapplication phase
should also be considered. However, the decision must be based primarily on
the results of the initial review of the formal application and attachments.
The decision to proceed is predicated on receipt of all required documents
in the formal application and an initial acceptance of the contents.
B. Scheduling the Formal Application Meeting. If the CPM and
the certification team decide to proceed with the certification process, the
CPM must contact the applicant and schedule the formal application meeting.
The applicant must be informed that attendance of key management personnel
is required.
C. During the Formal Application Meeting. Normally, if an
applicant has been thoroughly briefed and has acquired a good understanding
of the requirements during the preapplication phase, the formal application
should be of sufficient quality that any discrepancies, omissions, and/or
“open” questions can be resolved during the formal application meeting. For
example, if the chronology of the SOE needs to be adjusted for logic of
sequence, timeliness, or to accommodate inspector resource requirements,
such adjustments can normally be accomplished during the meeting. Often
minor, and occasionally some significant, discrepancies or omissions in
manual material, training program, and/or the compliance statement can be
resolved during the formal application meeting. Questions about management
qualifications can often be answered during this meeting.
2-1202 THE FORMAL APPLICATION MEETING.
A. Purpose. The purpose of this meeting is to resolve any
questions on the part of either party and to establish a common resolve for
future proceedings of the application process. The CPM is responsible for
conducting the formal application meeting. Except for unanticipated
circumstances, all members of the certification team must be present.
Normally, the CPM should open the meeting with the applicant, all of the
applicant’s key management personnel, and the certification team present.
B. Topics. The CPM should encourage the applicant and the
applicant’s key management personnel to present any questions they may have
concerning the certification process. The CPM and Certification Team Members
(CTM) should provide candid answers and discuss freely all aspects of the
certification process. The detailed SOE should be discussed, and any needed
revisions should be negotiated prior to proceeding. Before concluding the
formal application meeting, the CPM must make certain that the applicant
clearly understands the following:
1) Notification of acceptance of the formal application
package does not in any way constitute acceptance or approval of the
separate attachments. The attachments will be reviewed further, and
additional corrective actions will be required, following which the
applicant will be expected to take such corrective action. Acceptance or
approval of each attachment will be indicated separately at a later date
during the certification process.
2) If the applicant is unable to meet the SOE, the FAA will
still need equivalent amounts of time, as agreed upon during the meeting, to
make the necessary reviews and inspections. Consequently, the proposed
start-up date could be delayed.
2-1203 DETERMINATION OF FORMAL APPLICATION ACCEPTABILITY. The
CPM will provide either a letter of acceptance or a letter of rejection to
the applicant within 5 business-days of completing the formal application
meeting. The CPM will inform the applicant in writing or in the SAS External
Portal; see Figure 2-89, Acceptance of Formal Application, for an example of
an acceptance letter, or Figure 2-88.
NOTE: The applicant must maintain an active project. The
certificate-holding district office (CHDO) must evaluate an inactive period
that exceeds 90 days. Inactivity of greater than 90 days may be cause to
terminate the certification process, or you may terminate the process when
it is clear that continuing the process will not result in approval or
acceptance (i.e., multiple failures of the applicant’s submissions).
Figure 2-88. Rejection of Formal Application—Missing or
Incomplete Documents
[FAA Letterhead]
[Date]
Mr. John J. Jones
President, TMS Repair Center
601 Sky Harbor Blvd.
Little Rock, Arkansas 72202
Dear Mr. Jones:
This office has reviewed your formal application for an air agency
certificate, dated ________. We find it necessary to return your application
because of deficiencies in the following areas:
1. The compliance statement is incomplete. For example, 14 CFR part
145, §
145.103 was not addressed. Methods of compliance with this regulatory
section are described in your company’s repair station manual and should be
appropriately referenced in the compliance statement. As previously
discussed, all applicable regulatory sections must be addressed in the
compliance statement.
2. The training program required by §
145.163 was not included in your formal application.
We are returning your letter of application with all attachments. It
will be necessary to submit a new formal application when you have corrected
all discrepancies noted above and any other omissions that exist. Please
contact us if we can be of any further assistance in clarifying the minimum
requirements for your formal application.
Sincerely,
William Board
Certification Project
Manager
Figure 2-89. Acceptance of Formal Application
[FAA Letterhead]
[Date]
Mr. John J. Jones
President, TMS Repair Center
601 Sky Harbor Blvd.
Little Rock, Arkansas 72202
Dear Mr. Jones:
Your formal application has been reviewed and found acceptable.
Acceptance of the application does not convey specific approval of the
attachments. Specific approvals or acceptance of the attachments will be
appropriately conveyed after a detailed evaluation by the Federal Aviation
Administration (FAA) certification team.
We look forward to working with your personnel in the continuation of
the certification process.
Sincerely,
William Board
Certification Project
Manager
RESERVED. Paragraphs 2-1204 through 2-1215.