9/13/16

 

8900.1 CHG 479

VOLUME 10  SAFETY ASSURANCE SYSTEM POLICY AND PROCEDURES

CHAPTER 10  THE CERTIFICATE TRANSFER PROCESS

Section 1  Safety Assurance System: Certificate Transfer Process

10-10-1-1    GENERAL.

A.    Purpose. This section provides procedures to transfer the oversight responsibility of an existing Title 14 of the Code of Federal Regulations (14 CFR) part 121, 135, or 145 certificate holder’s operating certificate from one certificate-holding district office (CHDO) to another. The Federal Aviation Administration (FAA) considers available resources and oversight requirements before transferring a certificate. If you are a participant in a certificate transfer, this section applies to you.

B.    Scope. Participants in a certificate transfer must follow this process to complete a certificate transfer when the transfer is not the result of a merger or acquisition. For more information on mergers or acquisitions, see Volume 3, Chapter 34, Section 1.

10-10-1-3    RESERVED.

10-10-1-5    BACKGROUND. This section describes the process of a certificate transfer from one CHDO to another.

10-10-1-7    CERTIFICATE TRANSFER PROCESS.

Figure 10-10-1A.  Certificate Transfer Process Flowchart

Figure 10-10-1A, Certificate Transfer Process Flowchart. Flowchart depicting six phases, and related tasks, for completing the Certificate Transfer Process.

10-10-1-9    PROCEDURES.

Indicates new/changed information.

A.    How to Proceed If a Certificate Holder Requests a Transfer. A certificate holder requests a certificate transfer by submitting a written request to the CHDO. The request must outline a plan and include the proposed timeframe and justification for the transfer. The CHDO immediately notifies its regional Flight Standards division (RFSD) and forwards a copy of the request and plan to the RFSD.

B.    How the FAA Initiates a Certificate Transfer. The FAA may decide to transfer a certificate because conditions indicate that better service and surveillance would occur if the certificate moves to another CHDO. Budget and personnel considerations would also be factors in the decision to transfer.

1)    National Level. The Office of the Director, Flight Standards Service (AFS-1), may identify a certificate to transfer within a region or from one region to another. Managers may identify conditions that indicate the FAA could provide better service and/or surveillance to a certificate holder if the certificate moved to another CHDO. AFS-1 notifies the appropriate RFSD manager(s) and the CHDO manager(s) of the certificate selected for transfer.
Indicates new/changed information.
2)    Regional Level. The RFSD responsible for the certificate holder’s oversight may identify a certificate for transfer within its region. The RFSD notifies AFS-1 and the CHDO managers of the certificate selected for transfer. An RFSD manager may also request AFS-1 to transfer a certificate from within its region to another region.
3)    Office Level. The Office Manager (OM) who is responsible for the oversight of a certificate holder may identify a certificate for transfer. The OM initiates the request for a transfer through the RFSD.

C.    Assistance from the Flight Standards National Field Office (FSNFO) (AFS-900). Contact AFS‑900 for assistance in the following areas:

·    The Field Support Program Office (FSPO) supports adjustments to the Comprehensive Assessment Plan (CAP) and closing open assessments;

·    The Certification and Evaluation Program Office supports the National Certificate Holder Evaluation Process (CHEP) for part 121 CHEPs; and

·    The Continual Improvement Program Office (CIPO) supports questions about Safety Assurance System (SAS) policy, automation, and Data Collection Tools (DCT).

D.    Phase 1—Releasing RFSD Office Initial Tasks. The RFSD steps may overlap with the releasing CHDO steps, and steps in different phases may occur simultaneously. In general, the releasing RFSD office is responsible for:

1)    Coordinating with the Director or Deputy Director of the Flight Standards Service (AFS) if the transfer significantly affects the FAA.
2)    Reviewing the certificate holder’s transfer plan.
3)    Scheduling an initial briefing with the acquiring RFSD office and both CHDO OMs to discuss the transfer details and identify when the transfer of oversight responsibility will occur.
4)    Contacting AFS-900 for support during the transfer process, as necessary.
5)    Contacting the AFS-900 Certification and Evaluation Program Office to coordinate a date for a National CHEP evaluation if one has not been accomplished within the last 24 months or as needed, involving part 121 certificate transfers.

NOTE:  National CHEPs are only conducted for a part 121 certificate holder that is transferring to a different region.

E.    Phase 2—Releasing CHDO Tasks. The releasing CHDO must remain fully staffed during the transfer. In general, the releasing CHDO:

1)    Contacts AFS-900 for support during the transfer process (as necessary).
2)    Addresses unresolved issues associated with the certificate holder.
3)    Ensures principal inspectors (PI) evaluate all SAS risk indicators by completing the Certificate Holder Assessment Tool (CHAT) in accordance with Volume 10, Chapter 3, Section 1.
4)    Reviews the certificate holder’s CHDO files and information in FAA databases. Include the files listed on the CHDO’s official files list applicable to the certificate holder (refer to the current edition of FAA Order 1350.14, Records Management, for a complete list of files).
5)    Coordinates with the acquiring RFSD office and acquiring CHDO to:

·    Transfer the CHDO files;

·    Hold a meeting with the certificate holder to review the certificate transfer process and certificate holder’s transfer plan; and

·    Transfer the certificate.

6)    Completes and closes all of the open work assignments prior to the certificate transfer. Otherwise, the releasing CHDO manager must ensure that the open work assignments are unassigned or unresourced before transferring the certificate. The acquiring CHDO then assigns or resources the SAS work assignments that were not previously completed.
7)    Uses the CAP to document critical planned surveillance.
8)    Meets with the acquiring CHDO and discusses the SAS work program. Reviews the CHAT risk indicators, System or Subsystem Performance Assessments (SPA), Element Performance Assessments (EPA), Element Design Assessments (EDA), and the Analysis, Assessment, and Action (AAA).
9)    Verifies requests are on file for authorizations, limitations, exemptions, and deviations, and that the information agrees with the information contained in the certificate holder’s operations specifications (OpSpecs). Verifies that all authorizations and limitations in OpSpec A004, and extensions and deviations in OpSpec A005 of the certificate holder’s OpSpecs, have the correct and current OpSpecs assigned.
10)    Reviews the certificate holder’s current “vitals” for accuracy in SAS. Contacts the Aviation Data Systems Branch (AFS-620) (as necessary).
11)    Completes enforcement actions, surveillance, or followup for:

·    Outstanding hotline complaints;

·    Congressional inquiries;

·    Safety Issues Reporting System (SIRS) issues;

·    Whistleblower complaints;

·    Voluntary disclosures; and

·    Incidents, occurrences, etc., as necessary.

12)    Forwards the certificate holder’s CHDO files and the completed sections of the Certificate Transfer Process Job Aid (see Figure 10-10-1B, Certificate Transfer Process Job Aid) to the releasing RFSD office. Forwards the files, along with other information maintained outside FAA computer databases, with the transfer documents.

F.    Phase 3—Releasing RFSD Office Final Tasks. The releasing RFSD office:

1)    Contacts AFS-900 for support during the transfer process (as necessary).
2)    Reviews the certificate holder’s CHDO files and provides continued support, direction, and procedures to the releasing CHDO.
3)    Coordinates with the acquiring RFSD office and CHDO for the transfer of signature authority in the Web-based Operations Safety System (WebOPSS).
4)    Coordinates with the acquiring RFSD office and the acquiring CHDO to complete the transfer of the certificate.

G.    Phase 4—Acquiring RFSD Office Initial Tasks. The acquiring RFSD office:

1)    Contacts AFS-900 for support during the transfer process (as necessary).
2)    Coordinates with the releasing RFSD office and acquiring CHDO to review the certificate holder’s transfer plan and adjust the plan (as necessary).
3)    Coordinates with the releasing RFSD office and the acquiring CHDO to review the certificate transfer process and Certificate Transfer Process Job Aid. Adjusts plans and schedules (as necessary).
4)    Ensures the acquiring CHDO has the necessary resources, staffing, and training.

H.    Phase 5—Acquiring CHDO Tasks. The acquiring CHDO:

1)    Contacts AFS-900 for support during the transfer process (as necessary).
2)    Reviews the certificate transfer plan and Certificate Transfer Process Job Aid, and adjusts the plan (as necessary) in coordination with the acquiring RFSD office and the releasing CHDO.
3)    Verifies the resolution of all open items and discrepancies.
4)    Ensures the CHDO positions are staffed as necessary.
5)    Completes training. For training requirements, see Volume 10, Chapter 1, Section 3.
6)    Updates the certificate holder’s or applicant’s team roster in SAS automation. Upon request, AFS-900 can assist the Data Quality Reviewer (DQR) (or assigned CHDO member) with populating the initial SAS tables for the new CHDO.
7)    Meets with the releasing CHDO to discuss the SAS work program. Reviews the CHAT risk indicators and the AAA.
8)    Reviews and/or revises the Certificate Holder Operating Profile (CHOP), CHAT, and CAP after becoming primarily responsible for oversight. Ensures there are adequate resources for the initial quarter after the acquiring CHDO becomes responsible for the oversight of the certificate.
9)    Completes certificate management requirements that are independent of SAS to include:
a)    Issuing a new certificate, if applicable;
b)    Issuing applicable paragraphs in WebOPSS;
c)    Transferring “Open” and “Planned” Program Tracking and Reporting Subsystem (PTRS) records;
d)    Updating Master Minimum Equipment List (MMEL) user data (see Volume 4, Chapter 4, Section 9); and
e)    Ensuring the enhanced Vital Information Database (eVID) is current.
10)    Forwards a copy of the completed Certificate Transfer Process Job Aid, the certificate transfer plan, and the appropriate documents to the appropriate RFSD office.
11)    Holds an introductory meeting with the certificate holder, the new CHDO OM, and the CHDO.

I.    Phase 6—Acquiring RFSD Office Final Tasks. The acquiring RFSD office:

1)    Validates that the Certificate Transfer Process Job Aid (Figure 10-10-1B) is complete.
2)    Ensures that administrative functions are complete, including:
a)    Update to personnel actions, staffing, training, and assignments.
b)    Transfer of all files from the releasing CHDO to the acquiring CHDO.
c)    Entry of required PTRS records:

·    Operations: 1245;

·    Maintenance: 3240; and

·    Avionics: 5240.

d)    Update of eVID.
e)    Issue of a new operating or Air Agency Certificate.
f)    Revision and reissue of OpSpecs.
g)    Verification of the accuracy of the SAS roster.
3)    Notifies national-, regional-, and office-level AFS personnel when the acquiring CHDO is actively managing the certificate.
4)    Completes the certificate transfer documentation and provides a copy of the certificate transfer record to the releasing and acquiring offices, including:
a)    Transfer requests/notifications.
b)    Records of meetings and/or briefings.
c)    Discrepancies.
d)    Discrepancy resolutions.
e)    Confirmations of PI’s training, including:

·    Completed Certificate Transfer Process Job Aid;

·    Completed certificate transfer plan; and

·    Acquisition of the CHDO’s “N/A Report” from the Operations Research Analyst (ORA) and the CHAT/CAP report as of the official transfer date.

10-10-1-11 through 10-10-1-13 RESERVED.

10-10-1-15    JOB AIDS.

Figure 10-10-1B.  Certificate Transfer Process Job Aid

Indicates new/changed information.

Job Aid Start Date:                  Certificate Holder:           

Phase 1—Releasing Regional Flight Standards Division (RFSD) Office Initial Tasks

Item

Initials/Date or N/A

Details

1

 

Coordinate with the Director or Deputy Director of Flight Standards Service (AFS) if the transfer will significantly affect Federal Aviation Administration (FAA) resources.

2

 

If the request is for transfer from a corporate official, enter:

Name:          

Corporate Title:          

Reason for the Transfer:          

Proposed Location:          

Proposed Transfer Date:          

3

 

Notify appropriate division management of the transfer request.

Releasing RFSD Manager Person Contacted:          

Regional Coordinator’s Name:          

Phone Number:          

Office Address:          

4

 

Initiate certificate transfer file.

5

 

Contact the acquiring RFSD manager.

Person Contacted:          

Regional Coordinator’s Name:          

Phone Number:          

Office Address:        

Identify a transition team and team lead (if appointed).

Name:          

6

 

Review certificate holder’s transfer plan.

Date the RFSD office received the plan:          

Requested Timeframe for Completion of Transfer:          

7

 

Schedule an initial briefing with the acquiring RFSD office and both certificate-holding district office (CHDO) Office Managers (OM), and establish a corresponding FAA plan to support the releasing and the acquiring CHDOs.

Releasing CHDO:        

Manager’s Name and Phone:        

Office Address:        

Regional Coordinator’s Name:          

Phone:        

Point of Contact (POC):        

Acquiring CHDO:        

Manager’s Name and Phone:        

Regional Coordinator’s Name and Phone:        

POC:        

8

 

Contact the Flight Standards National Field Office (FSNFO) (AFS-900) for support during the certificate transfer process as necessary.

AFS-900 POC:        

9

 

If required, request a National Certificate Holder Evaluation Process (CHEP).

Completion Date of National CHEP:        

Notes:          

Phase 2—Releasing CHDO Tasks

Item

Initials/Date or N/A

Details

1

 

Contact AFS-900 for support during the transfer process (as necessary).

2

 

Coordinate with the RFSD office on how unresolved issues with the certificate holder are resolved.

3

 

Ensure principal inspectors (PI) include all appropriate risk indicators in the Certificate Holder Assessment Tool (CHAT) for the certificate holder, including Performance History (PH), Operational Stability (OS), Environmental Criticality (EC), and Certificate Holder Dynamics.

4

 

Review the certificate holder’s FAA CHDO files.

5

 

Verify that the manuals in the certificate holder’s manual system are present. Coordinate access of electronic manuals from the releasing CHDO to the acquiring CHDO. Typical manuals include, but are not limited to;

1) General Operations Manual (GOM),

2) General Maintenance Manual (GMM),

3) Training program manuals,

4) Minimum equipment lists (MEL),

5) Flight Attendant (F/A) Manual (Passenger or Cargo Passenger), and

6) Maintenance Reliability Program.

Discard any outdated files in accordance with the office file guide. Do not discard any original certification documentation.

List the certificate holder’s manuals here:          

6

 

Coordinate with the releasing RFSD office, acquiring RFSD office, and acquiring CHDO to:

1) Transfer the certificate holder’s CHDO files,

2) Meet with the certificate holder, and

3) Transfer the certificate.

7

 

Verify that PIs complete and close open Safety Assurance System (SAS) work assignments.

8

 

Verify that Frontline Managers (FLM) unassign any planned System/Subsystem Performance Assessments (SPA), Element Design Assessments (EDA), Element Performance Assessments (EPA) and Custom Data Collection Tools (C DCT).

9

 

Verify that PIs utilize Comprehensive Assessment Plan (CAP) to document critical planned surveillance.

10

 

Meet with the acquiring CHDO and discuss the SAS work program. Review the CHAT risk indicators and the Analysis, Assessment, and Action (AAA).

11

 

Confirm that the information contained in the certificate holder’s operations specifications (OpSpecs) agrees with requests on file.

12

 

Verify that all authorizations and limitations listed in OpSpec A004, and exemptions and deviations listed in OpSpec A005, have an associated Web-based Operations Safety System (WebOPSS) paragraph assigned. Ensure that all issued OpSpecs are based on current template revisions.

13

 

Review the certificate holder’s current “vitals” for accuracy in SAS. If necessary, contact the Aviation Data Systems Branch (AFS-620).

14

 

Complete enforcement actions and surveillance for outstanding hotline complaints, congressional inquiries, Safety Issues Reporting System (SIRS) issues, whistleblowers, voluntary disclosures, incidents, occurrences, etc.

15

 

Forward the certificate holder’s CHDO files and the completed sections of the Certificate Transfer Process Job Aid to the releasing RFSD office. Forward the files and information maintained outside FAA databases, along with the transfer documents.

Notes:          

Phase 3—Releasing RFSD Office Final Tasks

Item

Initials/Date or N/A

Details

1

 

Contact AFS-900 for support during the transfer process (as necessary).

2

 

Receive and review the certificate holder’s CHDO files and provide continued support, direction, and procedures during transfer process.

3

 

Coordinate with the acquiring RFSD office for transfer of signature authority in WebOPSS (coordinate with the National Service Desk).

4

 

Coordinate with the acquiring RFSD office and CHDO to complete transfer of certificate.

Notes:          

Phase 4—Acquiring RFSD Initial Tasks

Item

Initials/Date or N/A

Details

1

 

Contact AFS-900 for support during the transfer process (as necessary).

2

 

Review the certificate holder’s or applicant’s transfer plan and adjust (as necessary) in coordination with the releasing RFSD office and the acquiring CHDO.

3

 

Identify and allocate resources, staffing, and training for the acquiring CHDO.

Notes:          

Phase 5—Acquiring CHDO Tasks

Item

Initials/Date or N/A

Details

1

 

Contact AFS-900 for support during the transfer process (as necessary).

2

 

Review the certificate transfer plan and Certificate Transfer Process Job Aid and adjust (as necessary) in coordination with the acquiring RFSD office and the releasing CHDO.

3

 

Verify that all open items and/or discrepancies were resolved.

4

 

Fill required positions for the CHDO.

5

 

Complete required training.

6

 

Update the certificate holder’s or applicant’s team roster in SAS.

7

 

Meet with the releasing CHDO and discuss the SAS work program. Review the CHAT risk indicators and the AAA.

8

 

After the CHDO is primarily responsible for oversight, review and revise the Certificate Holder Operating Profile (CHOP), CHAT, and CAP, and amend as appropriate (ensure adequate resources for the initial quarter).

9

 

Issue a new certificate holder certificate.

10

 

Transfer the new certificate in WebOPSS.

11

 

Verify that the eVID has been updated (refer to VPM).

12

 

Verify that all “Open” and “Planned” Program Tracking and Reporting Subsystem (PTRS) records are transferred.

13

 

Review all applicable OpSpecs.

14

 

Update Master Minimum Equipment List (MMEL) user data.

15

 

Forward a copy of completed Certificate Transfer Process Job Aid, certificate transfer plan, and appropriate documents to the acquiring RFSD office.

16

 

Hold an introductory meeting with the certificate holder, the new CHDO OM, and office personnel.

Notes:          

Phase 6—Acquiring RFSD Office Final Tasks

Item

Initials/Date or N/A

Details

1

 

Validate that all items on the Certificate Transfer Process Job Aid are complete.

2

 

Ensure administrative functions are completed including:

☐ Personnel action, staffing, training, and assignments are complete.

☐ Transfer of files from the releasing to the acquiring CHDO.

☐ Entry of required PTRS records.

☐ Update the eVID (refer to VPM).

☐ Issue new operating certificate.

☐ Revise and re-issue OpSpecs.

☐ Revise office roster in the SAS automation.

☐ Reviewed and revised the CAP, as appropriate.

4

 

Notify appropriate AFS personnel.

5

 

Complete certificate transfer documentation and provide a copy of the certificate transfer record to releasing and acquiring offices to include copies of the following:

☐ Transfer Request/Notification.

☐ Record (the releasing CHDO being briefed on the transfer).

☐ Record (the acquiring CHDO being briefed on the transfer).

☐ Discrepancies.

☐ Discrepancy resolution.

☐ Acquiring CHDO PI’s SAS training completion.

☐ Completed Certificate Transfer Process Job Aid.

☐ Completed Certificate Transfer Process.

☐ Acquiring CHDO’s “N/A Report” from the Operations Research Analyst (ORA) and the CHAT/CAP report as of the official transfer date.

Notes:          

10-10-1-17 through 10-10-1-29 RESERVED.