8900.1 CHG 742



Section 5  Safety Assurance System: Phase 5—Administrative Functions

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2-330    GENERAL. This section details the process for Title 14 of the Code of Federal Regulations (14 CFR) part 121 air carrier certification, Phase 5—Administrative Functions. The Safety Assurance System (SAS) contains “Certification Projects” on the menu, which is the entry point for creating and accessing data and documents related to the certification. Refer to the appropriate initial certification checklist in the SAS Resource Guide (SRG) for detailed instructions on using the SAS automation during the certification process.


A.    Administrative Requirements.

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1)    Certificate Management Office (CMO) Manager. Confirm the Certificate Management Team (CMT) is staffed and operational.
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2)    Certification Project Manager (CPM). Change the certificate status from “Precert” to “Active.”
a)    When changing the applicant’s certificate status from “Precert” to “Active”, it is essential to adhere to the specific procedural steps of changing a certificate’s status using SAS automation. (See the appropriate initial certification checklist located in the SRG.)
b)    Confirm the Certification Project Team (CPT) completed all assessments, approved/accepted all programs, and met all certification requirements.
c)    Send the request for activation to the Aviation Data Systems Branch.
d)    The Aviation Data Systems Branch will change the “Precert Designator” from “P” to “A” in the Federal Aviation Administration (FAA) Management Information System (FAAMIS) and will send an activation confirmation to the CPM.
e)    The SAS automation will remove all certification roles once the certification is “Active.”

NOTE:  After the status changes to “Active,” the CPM can no longer add folders or upload documents to the SAS Document Management. In addition, the applicant can no longer add documents to the “Formal Application” folder or the “Other Certification” folder.

B.    Approve Operations Specifications (OpSpecs).

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1)    Principal Inspectors (PI). Review any Office of the Secretary of Transportation (OST)/Department of Transportation (DOT) limitations before signing the OpSpecs.
2)    CPM. Coordinate with the PIs to verify the accomplishment of final changes to the Certificate Holder Operating Profile (CHOP) and proposed OpSpecs.
3)    PIs. Sign OpSpecs.

C.    Issue OpSpecs and Air Carrier Certificate.

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1)    CMO Manager. Review and forward the Air Carrier Certificate and copies of the OpSpecs to the Office of Air Carrier Safety Assurance (ACSA).
2)    ACSA. Sign the Air Carrier Certificate and return it to the CMO.
3)    CMO Manager. Issue the Air Carrier Certificate.

NOTE:  The CMO manager may elect to notify the applicant by letter that the Safety Management System (SMS) is accepted. However, the letter is not required, since the actual acceptance of the SMS is indicated by the issuance of the Air Carrier Certificate.

D.    Certification Report.

1)    CPM. Assemble the certification report, to include:

    A Preapplication Statement of Intent (PASI) (FAA Form 8400-6),

    A Schedule of Events (SOE) (final),

    A formal letter of application,

    A proving test report,

    An emergency evacuation demonstration report (FAA Form 8430-1),

    A ditching report,

    A copy of the Air Carrier Certificate,

    A final compliance statement, and

    A copy of the OpSpecs issued.

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2)    CMO Manager. Retain the original certification report in the CMO.
3)    CMO Manager. Forward a copy of the certification report to ACSA.
4)    CMT/CPT/Safety Analysis and Promotion Division’s Field Support Program Office (FSPO). Conduct an annual planning meeting to include the Safety Analysis and Promotion Division’s FSPO, if requested.

E.    Phase 5 Review.

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1)    CPM. Verify the completion of all steps listed above for Phase 5.
2)    CPM. Solicit the applicant’s and CPT’s feedback by interviewing them or by using the appropriate feedback form.
3)    CPM. Send an email to the Safety Analysis and Promotion Division’s Certification and Evaluation Program Office (CEPO) team members instructing them to remove applicant’s manuals from their computers and request that each team member reply by email when complete.

RESERVED. Paragraphs 2-332 through 2-340.