VOLUME 2 AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS
CHAPTER 3 THE CERTIFICATION PROCESSTITLE 14 CFR PART
Section 5 Safety Assurance System: Phase 5Administrative Functions
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 5Administrative 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.
2-331 PHASE 5: ADMINISTRATIVE FUNCTIONS.
A. Administrative Requirements.
1) Certificate Management Office (CMO) Manager. Confirm the
Certificate Management Team (CMT) is staffed and operational.
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).
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.
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
• 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.
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.
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.