Task:

3.3.196 Pre-Application Phase - (Gate I)

Function:

Duty:

3.0 Certification

3.3 Air Operator Certification

Previous Task Analysis:

 

 

Difficulty:

Importance:

Frequency:

3

3

1

Criticality:

Time:

Job Aid:

Y

 

Y

PTRS Tracking

Specialty

1202

1211

1212

1213

1240

 

S

O

M

E

F

A

C

T

 

 

 

 

 

 

 

P

 

 

 

 

 

 

 

Legal References :

49 USC 40104 Promotion of Civil Aeronautics and Safety of Air Commerce

49 USC 40113 Administrative

49 USC 44702 Issuance of Certificates

49 USC 44705 Air Carrier Operating Certificates

 

Purpose : To certificate an Air Operator or Air Agency in accordance with the appropriate 14 CFR for Preapplication Phase I (Gate I)

 

Significant Interfaces :

Applicant

Regional Office

Headquarters

CSET

Aviation Data Systems Branch, AFS-620

Airworthiness Inspectors

Avionics Inspectors

Cabin Safety Inspector

 

Procedural Guidance :

14 CFR Part 91, General Operating and Flight Rules

14 CFR Part 119, Certification: Air Carriers & Commercial Operators

14 CFR Part 125, Certification & Operations: Airplanes Having a Seating Capacity of 20 or More Passengers or a Maximum Payload Capacity of 6,000 Pounds or More; and Rules Governing Persons on Board Such Aircraft

14 CFR Part 133, Rotorcraft External Load Operations

14 CFR Part 135, Operating Requirements: Commuter & on Demand Operations and Rules Governing Persons on Board Aircraft

14 CFR Part 137, Agricultural Aircraft Operations

14 CFR Part 141, Pilot Schools

14 CFR Part 142, Training Centers

Order 1380.51, Program Tracking and Reporting Subsystem

Order 8900.1, Flight Standards Information Management System (FSIMS)

AC 120-49, Certification of Air Carriers

AC 125-1, Operations of Large Airplanes Subject to Federal Aviation Regulations Part 125

AC 133-1 (as amended), Rotorcraft External Load Operations in Accordance with Federal Aviation Regulations Part 133

AC 137-1 (as amended), Agricultural Aircraft Operations

AC 141-1 (as amended), Pilot School Certification

 

NOTE: Ensure you are using the most current information. The Flight Standards Information Management System (FSIMS) may be used to obtain current guidance.

 

Forms:

FAA Form 8000-36, Program Tracking and Reporting System

FAA Form 8400-6, Preapplication Statement of Intent

FAA Form 8420-8, Application for Pilot School Certification

FAA Form 8710-3, Agricultural Aircraft Operator Certificate Application

FAA Form 8710-4, Rotorcraft External Load Operation Certificate Application

 


1. Receive initial inquiry

K: 14 CFR Part 119

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

1.1 Refer applicant to correct District Office

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

2. Conduct applicant orientation meeting.

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

K: 14 CFR Part 119

K: AC 120-49

 

2.1 Perform preliminary discussions

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

3. Receive Pre-Application Statement of Intent (PASI)

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))


 

3.1 Open PTRS records

K: Order 1380.51

 

3.2 Review and acceptance of PASI

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

4. Assignment of certification team

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

5. Assignment of certificate number

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

5.1 Initiate VIS file

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

 

6. Conduct pre-application meeting

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))


7. Provide package of pre-certification information

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1, Fig 2-12 and 2-13 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2, Fig. 2-14 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

8. Brief the applicant on certification process, pertinent regulations, and economic authority requirements

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

9. Verify information on the PASI

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

10. Explain the requirements of the formal application

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

10.1 Explain the formal application letter

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

10.2 Describe formal application attachments

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

11                                Conclude pre-application meeting

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

11.1 Termination of the pre-application phase

K: Order 8900.1, Vol. 2, Chap. 2, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 4, Sec. 1 (Part 135))

K: Order 8900.1, Vol. 2, Chap. 6, Sec. 2 (Part 125))

K: Order 8900.1, Vol. 2, Chap. 7, Sec. 1 (Part 133))

K: Order 8900.1, Vol. 2, Chap. 8, Sec. 1 (Part 137))

K: Order 8900.1, Vol. 2, Chap. 9, Sec. 1 (Part 141))

K: Order 8900.1, Vol. 3, Chap. 54, Sec. 1 (Part 142))

 

11.2                      Terminate the VIS file

 

11.3 Close PTRS records

K: Order 1380.51

 

12. Proceed to formal application phase of certification process