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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.

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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 Flight Standards office 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.

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

10-10-1-7    CERTIFICATE TRANSFER PROCESS.

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

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

10-10-1-9    PROCEDURES.

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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 Flight Standards office currently responsible for the certificate holder. The request must outline a plan and include the proposed timeframe and justification for the transfer. The Flight Standards office forwards a copy of the request and plan to the appropriate Flight Standards division.

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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 Flight Standards office. Budget and personnel considerations would also be factors in the decision to transfer.

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1)    National Level. The Office of the Executive Director, Flight Standards Service and/or division 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 Flight Standards office. The Office of the Executive Director, Flight Standards Service notifies the appropriate division manager(s) and the Flight Standards Office Manager(s) (OM) of the certificate selected for transfer.
2)    Office Level. The Flight Standards 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 appropriate Flight Standards division.

C.    Assistance from the National Program Office Branch. Contact the National Program Office Branch 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 (CEPO) 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).

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D.    Phase 1—Releasing Flight Standards Office Initial Tasks. The releasing Flight Standards office is responsible for:

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

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

1)    Addresses unresolved issues associated with the certificate holder.
2)    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.
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3)    Reviews the certificate holder’s Flight Standards office files and information in FAA databases. Include the files listed on the Flight Standards office’s official files list applicable to the certificate holder (refer to FAA Order 1350.14, Records Management, for a complete list of files).
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4)    Coordinates with the acquiring Flight Standards office to:

    Transfer the Flight Standards office files;

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

    Transfer the certificate.

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5)    Completes and closes all of the open work assignments prior to the certificate transfer. Otherwise, the releasing Flight Standards OM must ensure that the open work assignments are unassigned or unresourced before transferring the certificate. The acquiring Flight Standards office then assigns or resources the SAS work assignments that were not previously completed.
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6)    Uses the CAP to document critical planned surveillance.
7)    Meets with the acquiring Flight Standards office 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).
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8)    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.
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9)    Reviews the certificate holder’s current “vitals” for accuracy in SAS. Contacts the Aviation Data Branch (as necessary).
10)    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.

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11)    Forwards the certificate holder’s Flight Standards office files and the completed sections of the Certificate Transfer Process Job Aid (see Figure 10‑10‑1B) to the acquiring Flight Standards office. Forwards the files, along with other information maintained outside FAA computer databases, with the transfer documents.
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F.    Phase 3—Acquiring Flight Standards Office Tasks. The acquiring Flight Standards office:

1)    Contacts the National Program Office Branch 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 releasing Flight Standards office.
3)    Verifies the resolution of all open items and discrepancies.
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4)    Ensures Flight Standards office positions are staffed as necessary.
5)    Completes training. For training requirements, refer to the SAS Resource Guide (SRG).
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6)    Updates the certificate holder’s or applicant’s team roster in SAS automation. Upon request, the National Program Office Branch can assist the Data Quality Reviewer (DQR) (or assigned Flight Standards office member) with populating the initial SAS tables for the new Flight Standards office.
7)    Meets with the releasing Flight Standards office to discuss the SAS work program. Reviews the CHAT risk indicators and the AAA.
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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 Flight Standards office 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 the Web‑based Operations Safety System (WebOPSS);
c)         Transferring “Open” and “Planned” Program Tracking and Reporting Subsystem (PTRS) records;
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d)    Updating Master Minimum Equipment List (MMEL) user data (see Volume 4, Chapter 4); and
e)    Ensuring the enhanced Vital Information Database (eVID) is current.
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10)    Forwards a copy of the completed Certificate Transfer Process Job Aid, the certificate transfer plan, and related documents to the appropriate Flight Standards division.
11)    Holds an introductory meeting with the certificate holder, the new Flight Standards OM, and the Flight Standards office.

G.    Phase 4—Acquiring Flight Standards Office Final Tasks. The acquiring Flight Standards 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.
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b)    Transfer of all files from the releasing Flight Standards office to the acquiring Flight Standards office.
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.
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3)    Notifies national, divisional, and office‑level Flight Standards personnel when the acquiring Flight Standards office 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

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    Acquisition of the Flight Standards office’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.

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

Job Aid Start Date:                Certificate Holder:

Phase 1—Releasing Flight Standards Office Initial Tasks

Item

Initials/Date or N/A

Details

1

 

Coordinate with the Executive Director or Deputy Executive Director of the Flight Standards Service 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.

Person Contacted:

Phone Number:

Office Address:

4

 

Initiate certificate transfer file.

5

 

Contact the acquiring Flight Standards Office Manager (OM).

Person Contacted:

Phone Number:

Office Address:

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

Name:

6

 

Review certificate holder’s transfer plan.

Date the acquiring Flight Standards OM received the plan:

Requested Timeframe for Completion of Transfer:

7

 

Schedule an initial briefing with the acquiring Flight Standards office and establish a corresponding FAA plan to support the releasing and the acquiring Flight Standards office.

Releasing Flight Standards Office:

Manager’s Name and Phone:

Office Address:

Acquiring Flight Standards Office:

Manager’s Name and Phone:

Point of Contact (POC):

8

 

Contact the National Program Office Branch for support during the certificate transfer process (as necessary).

National Program Office Branch POC:

9

 

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

Completion Date of National CHEP:

Notes:

Phase 2—Releasing Flight Standards Office Tasks

Item

Initials/Date or N/A

Details

1

 

Coordinate with the acquiring Flight Standards office on how unresolved issues with the certificate holder are resolved.

2

 

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.

3

 

Review the certificate holder’s FAA Flight Standards office files.

4

 

Verify that the manuals in the certificate holder’s manual system are present. Coordinate access of electronic manuals from the releasing Flight Standards office to the acquiring Flight Standards office. 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:

5

 

Coordinate with the acquiring Flight Standards office to:

1) Transfer the certificate holder’s Flight Standards office files,

2) Meet with the certificate holder, and

3) Transfer the certificate.

6

 

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

7

 

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

8

 

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

9

 

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

10

 

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

11

 

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.

12

 

Review the certificate holder’s current “vitals” for accuracy in SAS. If necessary, contact the Aviation Data Branch.

13

 

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

14

 

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

15

 

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

16

 

Coordinate with the acquiring Flight Standards office to complete transfer of certificate.

Notes:

Phase 3—Acquiring Flight Standards Office Tasks

Item

Initials/Date or N/A

Details

1

 

Contact the National Program Office Branch 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 releasing Flight Standards office.

3

 

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

4

 

Fill required Flight Standards office positions for the certificate being acquired.

5

 

Complete required training.

6

 

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

7

 

Meet with the releasing Flight Standards office and discuss the SAS work program. Review the CHAT risk indicators and the AAA.

8

 

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 enhanced Vital Information Database (eVID) has been updated (refer to the Vital Information Subsystem Procedures Manual (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 related documents to the appropriate Flight Standards division.

16

 

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

Notes:

Phase 4—Acquiring Flight Standards 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 Flight Standards office.

☐ Entry of required PTRS records.

☐ Update the eVID (refer to the VPM).

☐ Issue new operating certificate.

☐ Revise and reissue OpSpecs.

☐ Revise office roster in the SAS automation.

☐ Reviewed and revised the CAP, as appropriate.

3

 

Notify appropriate Flight Standards division personnel.

4

 

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 Flight Standards office being briefed on the transfer).

☐ Record (the acquiring Flight Standards office being briefed on the transfer).

☐ Discrepancies.

☐ Discrepancy resolution.

☐ Acquiring Flight Standards office PI’s SAS training completion.

☐ Completed Certificate Transfer Process Job Aid.

☐ Completed Certificate Transfer Process.

☐ Acquiring Flight Standards office’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.