11/21/14 |
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8900.1 CHG 368 |
NOTE: Title 14 of the Code of Federal Regulations (14 CFR) part 119, § 119.39(b) and (b)(1) states, “An application for a certificate may be denied if the Administrator finds that the applicant is not properly or adequately equipped or is not able to conduct safe operations under this subchapter.” In addition, the applicant must maintain an active status of the project. The certificate‑holding district office (CHDO) must evaluate an inactive period exceeding 90 days. Inactivity may result in the CHDO terminating the certification process or when it is clear that continuation would not result in approval or acceptance (i.e., multiple failures of the applicant submissions).
NOTE: Observe all guidance in this order regarding Program Tracking and Reporting Subsystem (PTRS) requirements.
Figure 10‑61. Certification Process Document
PHASE 1 APPLICATION.
1.1 Request for Formal Application Meeting.
1.1.1 Applicant—The applicant contacts the certificate‑holding district office (CHDO) to schedule a formal application meeting date. This request must be at least 45 calendar‑days before the proposed formal application meeting to allow the Federal Aviation Administration (FAA) to prepare resources. The request must contain the items listed on the Preapplication Checklist (PAC) (see Figure 10‑62, Preapplication Checklist) when the application meeting date is requested.
1.1.2 CHDO Manager—Advise the Flight Standards National Field Office (AFS‑900) that an applicant has requested a formal application meeting, and email a copy of the submitted documents to the AFS‑900 Management Team at AFS‑900‑Management‑Team@faa.gov. Ensure the CHDO has assigned a certification project manager (CPM).
1.1.3 CPM—Ensure the regional Flight Standards division (RFSD) obtains a precertification/designator number by contacting the Regulatory Support Division, Aviation Data Systems Branch (AFS‑620) via email at 9‑AMC‑AFS620‑CertInfo@faa.gov (see Volume 2, Chapter 2, Section 2, paragraph 2‑133). Upon issuance of a precertification/designator number by AFS‑620, the new designator will automatically be entered into the enhanced Vital Information Database (eVID).
1.1.4 CPM—Begin the Web‑based Operations Safety System (WebOPSS) process by making an email request for access to AFS‑620 at AFS‑WebOPSS@faa.gov.
1.2 Establish Certification Project Team (CPT).
1.2.1 AFS‑900 Certification and Evaluation Program Office Manager—Assign the AFS‑900 Assistant Manager and team, then forward submitted documents from the CHDO Manager.
1.2.2 Certification Team Leader (CTL)—Provides documents and reviews the applicant’s submissions to become familiar with the applicant’s operation with team members.
1.2.3 CHDO Manager, CPM, and CTL—Identify CPT members. Ensure that the CPT members have completed the baseline training requirements (see Volume 10, Chapter 2, Section 3, paragraph 10‑144). If a data evaluation program manager (DEPM) is not assigned to the project, the CPM reviews the data collected by CPT members. CPM must take FAA Course FAA27100118, ATOS 1.2 for Data Evaluation Program Managers and Data Reviewers, before reviewing any data. Participants who completed the original course, FAA27022, Data Evaluation Program Managers (DEPM), do not have to take the new course.
1.2.4 CTL—Create a Project Management Tool (PMT) record.
1.3 Formal Application Preparation.
1.3.1 CPM—Verify a tentative date for the formal application meeting with the applicant.
1.3.2 CTL—Conduct CHDO briefing (refer to the AFS‑900 Certification and Evaluation Program Office SharePoint site for the appropriate presentation materials).
1.3.3 CPM and CTL—Identify team resources to complete the initial review.
1.3.4 CHDO Manager—Coordinate with AFS‑900 Safety Management System (SMS) Program Office to schedule an SMS CHDO/Applicant briefing.
1.4 CPT Automation Preparation.
1.4.1 CHDO Team Members—Complete the Air Transportation Oversight System (ATOS)/PMT Automation Access Worksheet (see Figure 10‑64, Automation Access Information Worksheet).
1.4.2 CTL—Create a team member roster in the PMT using the completed ATOS/PMT Automation Access Information Worksheet. Include all Front Line Managers (FLM).
1.4.3 Principal Inspectors (PI)—Begin entering data in the eVID.
1.4.4 CPM—Ensure the PIs open the appropriate PTRS codes.
1.4.5 CPM—Ensure the PIs coordinate with the applicant in drafting all proposed operations specifications (OpSpecs) and associated paragraphs in WebOPSS. (See Volume 3, Chapter 18.)
NOTE: Any element(s) that is selected for initial review which requires an OpSpec and associated paragraph(s) to be completed for appropriate review accomplishment, will have that accomplished and saved as Draft, prior to the review.
1.5 Submission of Certification Documents Prior to Formal Application Meeting.
1.5.1 Applicant—The CPM must ensure the applicant submits all additional PAC documents to the CHDO at a minimum of 15 business days prior to the requested formal application meeting (see Figure 10‑62). The CPT has a minimum of 15 working‑days to review documents after acceptance of the PAC submission.
1.5.2 CPM/CTL—Notify applicant in writing of the acceptance/rejection of the certification documents.
1.5.3 CPM—Contact the Department of Transportation (DOT) Office of the Secretary of Transportation (OST), Air Carrier Fitness Division at 202‑366‑9721, to confirm receipt of application (Office of Aviation Analysis). (See Volume 2, Chapter 2, Section 2 for detailed information on DOT requirements.)
1.6 Initial Review.
1.6.1 CTL—Upload the applicant’s documents to the PMT.
1.6.2 CPT—Complete the initial review process (see paragraph 10‑436, Initial Review Instructions).
1.6.3 CPM and CTL—Provide input to FLMs to help them identify team resources needed to complete each Safety Attribute Inspection (SAI) selected for the initial review.
1.6.4 CTL—Complete the “Assign Initial Work Review” document in PMT.
1.6.5 CHDO and AFS‑900 FLMs—Determine resource availability and assign team coordinators (TC) and team members to support the initial review. CHDO and AFS‑900 FLMs will assign the SAIs selected for this review to the CHDO and AFS‑900 team members.
1.6.6 CPT—Accomplish the assigned SAIs and verify the applicant has completed the self‑audited SAI data (see paragraph 10‑436, Initial Review Instructions).
1.6.7 CPM/CTL—If the current submission is sufficient, proceed to step 1.7.
1.6.8 CPM/CTL—If additional data is necessary or if the current submission is not of sufficient quality to proceed (see paragraph 10‑437), notify the applicant with a written explanation of concerns.
1.6.9 CTL—Post a copy of the correspondence to the PMT.
1.6.10 CPT—Upon receipt of the revised submission, complete Design Assessments (DA) of the originally selected SAIs and three additional SAIs (see paragraph 10‑436).
NOTE: Repeat step 1.6 until submission is sufficient. For each submission, an additional three SAIs will be added.
1.7 Plan Formal Application Meeting.
1.7.1 CPM/CTL—If the initial review finds that the formal application package is of sufficient quality, continue planning the formal application meeting (see paragraph 10‑438).
1.7.2 CPM/CTL—Confirm that Title 14 of the Code of Federal Regulations (14 CFR) part 119, § 119.65(a) required management personnel will attend. Reschedule the meeting if any required management personnel cannot attend.
1.7.3 CPM and CTL—Determine which CPT members will attend the formal application meeting.
1.8 Notify/Coordinate with Applicable Offices.
1.8.1 CPM—Advise the RFSD of the formal application meeting date.
1.9 Conduct Formal Application Meeting.
1.9.1 CPM/CTL—Circulate the attendance roster (see Figure 10‑65, Attendance Roster).
1.9.2 CPM/CTL—Ensure the accomplishment of meeting agenda items (see paragraph 10‑438).
1.9.3 Applicant—CPM must verify that all required management and personnel with process change authority will be available throughout the certification process.
1.9.4 CPM/CTL—Conclude the formal application meeting.
1.9.5 CPM/CTL—Inform the applicant that they will receive notification within 5 working‑days of acceptance or rejection.
1.10 Accept or Reject the Formal Application Meeting or the Entire Formal Application Package.
1.10.1 CPT—Determine that the applicant’s required management personnel are knowledgeable of their air carrier systems and applicable rules and guidance.
1.10.2 CPT—Discuss areas of concern found during the formal application meeting.
1.10.3 CPM/CTL—Determine whether to accept the application or not.
NOTE: An unsuccessful evaluation of any or all individuals does not always require a rejection of the application. The CPM will conduct a follow‑up evaluation of the appropriate individual(s). The CPM must complete this follow‑up evaluation with satisfactory results before finishing phase 1. During the certification process, if there is a change to any part 119 required management personnel, the CPT member(s) will conduct an evaluation of that person to ensure the person is knowledgeable of his or her systems and applicable rules and guidance. If there is a change to aircraft make and model, the project can be restarted or terminated.
1.11 Notification to Applicant.
1.11.1 CPM/CTL—Provide either a letter of acceptance or a letter of rejection to the applicant within 5 working‑days of completing the formal application meeting. A letter of rejection will state the reason for rejection of the formal application meeting or the application package. The CHDO manager will determine at which step the applicant will reenter the Certification Process Document (CPD), or whether to terminate the project.
1.12 Phase 1 Review.
1.12.1 CPM/CTL—Verify that the applicant has met all Gate I requirements (see Figure 10‑66, Phases and Gates for Initial Certification).
1.12.2 CTL—Solicit applicant and CPT feedback. Refer to Flight Standards Service (AFS) Stakeholder Feedback. The CTL can also accomplish this by interviewing the CHDO and applicant.
1.12.3 CTL—Make appropriate entries into the PMT Project Summary.
PHASE 2 Design Assessment (DA).
2.1 DA—ATOS Business Process (Modules 1 and 2).
2.1.1 CTL—Ensure that a new air carrier account is generated in the ATOS database.
2.1.2 CPM/CTL—Completes the Air Carrier Oversight Profile (ACOP) (Module 1) by deselecting the non‑applicable elements based on the requested scope of operation. Do not deselect any question at this time.
2.1.3 CPM/CTL—Assemble and review a planning data package from the Safety Performance Analysis System (SPAS) and other sources (Module 2).
2.1.4 CPM/CTL—Ensure the Air Carrier Assessment Tool (ACAT) is completed.
2.1.5 CPM/CTL—Ensure the Comprehensive Assessment Plan (CAP) has been developed to complete all elements. PI instructions for each DA will include at least the following:
· “Name of Inspector” conducting the inspection and indicate “team coordinator” or “team member”;
· Elements identified as “R” in Figure 10‑6, ATOS System/Subsystem Element Chart—Airworthiness Elements and Figure 10‑7, ATOS System/Subsystem Element Chart—Operations and Cabin Safety Elements, in Volume 10, Chapter 1, Section 2; and Figure 10‑66, Phases and Gates for Initial Certification, in this section. The PI instructions should direct the team member to complete sections 1 through 5 of that element;
· For all remaining SAIs that are not identified with an “R,” the PI instructions should state, complete sections 1 and any other Systems Requirements Review (SRR)‑related questions in sections 2 through 5. The CPT can add any other sections as deemed appropriate;
· Proposed completion date;
· The “National/Local/Field” block should read “Initial Cert”; and
· The TC, who will be a CHDO aviation safety inspector (ASI)/PI, on all elements completed by AFS‑900.
2.1.6 CPM—Adjust the DA completion due dates to the quarter that Modules 7 and 8 are scheduled for completion.
NOTE: The CPT may request additional attribute questions (sections 2 through 5) be completed at any time during the DA phase.
2.1.7 CPM/PIs—Save CAP to final.
2.2 Resource Management (Module 3).
2.2.1 CPM and CTL—Provide input to FLMs to help them identify team resources needed to complete each SAI.
2.2.2 CHDO and AFS‑900 FLMs—Determine resource availability and assign TCs and team members to support the DA plan.
2.2.3 CHDO Manager—Concur with the CAP.
2.3 Initial Cadre Training.
2.3.1 CPT—Review the Initial Cadre Check Airman (ICCA) plan to verify compliance with guidance (see Volume 3, Chapter 20). Accomplish the appropriate ATOS element for this ICCA training, and review all courseware provided by the applicant to ensure it is acceptable.
2.3.2 CPM/CTL—Notify the applicant in writing of the approval of the plan. Include in the letter that additional training may be required if deficiencies are found during the certification process.
2.3.3 CPM/CTL—Retarget the CAP utilizing appropriate Performance Assessments (PA) to assess the performance of ICCA training.
2.3.4 CTL—Upload a copy of the approval letter to the PMT.
2.4 Other Initial Training.
2.4.1 CPT—Review any other initial training requested by the applicant to begin prior to the completion of phase 2. Accomplish the appropriate ATOS element for this training, and review all courseware provided by the applicant to ensure it is acceptable.
2.4.2 CPM/CTL—Coordinate with the responsible CHDO inspector to provide initial approval for selected training programs.
2.4.3 CPM/CTL—Notify the applicant in writing of approval. Include in the letter that additional training may be required if any deficiencies are found during the certification process.
2.4.4 CPM/CTL—Retarget the CAP utilizing appropriate PAs to assess the performance of training.
2.4.5 CTL—Upload a copy of the approval letter to the PMT.
2.5 Data Collection—ATOS Business Process (Module 4).
2.5.1 CPT—Accomplish data collection by using Microsoft Word‑formatted SAIs in lieu of the ATOS database entries.
NOTE: Use the SAI review document that is located on the Certification SharePoint site.
2.5.2 CPT—Complete the assigned SAIs using work instructions provided by the PIs.
2.5.3 CPT—Verify accuracy of the applicant’s self‑audited SAIs.
2.5.4 CPT—Collect and analyze the data by conducting a data analysis meeting (see paragraph 10‑437, Data Analysis Meeting). If data is of sufficient quality, continue to step 2.6.
2.5.5 CPM/CTL—If the current submission is not of sufficient quality and/or when additional data is necessary, notify the applicant with a written explanation of concerns.
2.5.6 CPM/CTL—If a subsequent submission contains minimal concerns that the PI could approve or accept with the program as is, schedule and conduct a meeting with the CPT and applicant to discuss and correct the remaining discrepancies.
NOTE: If an ASI observes any unresolved finding(s) not related to his or her assigned element, or he or she cannot capture it in his or her assigned element, document the finding(s) in a Dynamic Observation Report (DOR), and notify the ASI(s) working that element. Element DOR is the preferred choice, when applicable. The “Other” DOR is selected if the finding cannot be addressed in an element DOR.
2.6 Data Reporting—ATOS Business Process (Module 5).
2.6.1 CPT—Once the submission is of sufficient quality, the CPT will start entering data into the database.
2.6.2 CPT—Enter the applicant’s self‑audited SAI data by selecting “Begin New Activity.” Enter “Initial Cert” in the “Local/Regional/National” field on the “Common Data” screen. Begin data reporting by entering the applicant’s self‑audited SAI data for the questions and sections not assigned to the CPT for assessment. Identify this data as “Air Carrier Provided Data.” Save activity 1 to “Final” after entering all of the applicant’s self‑audited SAI data.
2.6.3 CPT—Each team member will then enter their responses into ATOS automation by selecting “Begin New Activity.” Enter “Initial Cert” in the “Local/Regional/National” field on the “Common Data” screen. Save activity 2 to “Final” after completing data entry.
2.6.4 TC—Ensure SAI and DOR data meet the Data Quality Guidelines (DQG) (see Volume 10, Chapter 2, Section 6, Table 10‑1, Data Quality Guidelines—Specific Data Requirements Table, and Table 10‑2, Data Quality Guidelines—Data Dimensions Table).
2.6.5 TC—Save SAI to master record.
2.7 Data Reviewing—ATOS Business Process (Module 6).
2.7.1 CPM/DEPM—Ensure the data meets DQGs (see Volume 10, Chapter 2, Section 6, Tables 10‑1 and 10‑2).
2.7.2 CPM/DEPM—Ensure that all data is saved to the ATOS database.
2.8 Design Analysis and Assessment—ATOS Business Process (Module 7).
2.8.1 CPM/CTL—Conduct a DA meeting with identified members of the CPT to analyze collected data by element.
2.8.2 CPM/CTL—Make a bottom‑line assessment for each element and document on the Assessment Determination and Implementation (ADI) tool.
2.9 Design Action Determination and Implementation—ATOS Business Process (Module 8).
2.9.1 CPM/CTL—Follows the Module 8 business process (see Volume 10, Chapter 2, Section 9) to determine the appropriate course of action for each element.
2.9.2 CPM/CTL—If the entire air carrier system design meets requirements for acceptance or approval without mitigation, accept or approve manuals and programs as applicable.
2.9.3 CPM/CTL—If the FAA accepts the air carrier’s system design with mitigation, accept or approve manuals and programs as applicable, and document the need for additional data collection, monitoring, or mitigation.
2.9.4 CPM/CTL—Notify the applicant that the FAA has approved/accepted all manuals and programs.
2.9.5 CPM/CTL—If the system does not meet design requirements, notify the applicant in writing and repeat steps as necessary.
2.10 Check Status of the Following:
2.10.1 CPM/CTL—Environmental Assessment (EA).
2.10.2 CPM/CTL—Drug and alcohol abatement program.
2.10.3 CPM/CTL—Hazardous materials (hazmat) program.
2.10.4 CPM/CTL—Security program.
2.10.5 CPM/CTL—All required training.
2.10.6 CPM/CTL—Progress of economic authority.
2.10.7 CHDO Manager—Certificate Management Team (CMT) baseline staffing and baseline training requirements (see Volume 10, Chapter 2, Section 3, paragraph 10‑144).
2.11 OpSpecs.
2.11.1 CPM/CTL—Spot-check to verify that the draft OpSpecs match the proposed operation.
2.12 Phase 2 Review.
2.12.1 CPM/CTL—Verify that the applicant submits an updated Schedule of Events (SOE).
2.12.2 CPM and CTL—Verify that the applicant has met all Gate II requirements (see Figure 10‑66).
2.12.3 CTL—Make appropriate entries into the PMT Project Summary.
2.12.4 CTL—Solicit applicant and CPT feedback (refer to AFS Stakeholder Feedback). The CTL can also complete this by interviewing the CHDO and applicant.
PHASE 3 Performance Assessment (PA).
3.1 Confirm Operational Readiness.
3.1.1 CPM/CTL—Ensure the applicant conducts an internal safety assessment of operating systems using company audit procedures and documentation. Submit results to the CPM.
3.1.2 CPM/CTL—Ensure that the applicant has properly addressed all concerns found during the internal safety assessment.
3.2 PA Planning Meeting—ATOS Business Process Module 2.
3.2.1 CPM/CTL—Ensure that the ACAT is up to date using information from the DA.
3.2.2 CPM/CTL—Ensure that the CAP is adjusted and plan PAs that can be observed during the demonstration phase. Include elements that were identified as high priority/risk in the CAP.
NOTE: To prevent a large number of “not observable” answers, the CPT may use a Constructed Dynamic Observation Report (ConDOR) Data Collection Tool(s) (DCT) in lieu of an Element Performance Inspection(s) (EPI) to target specific element questions.
3.2.3 CPM/CTL—Adjust the PA completion due dates to the quarter that Modules 7 and 8 are scheduled to be completed.
3.2.4 CPM/CTL—Ensure that the work instructions for assigned EPI(s) and/or ConDOR(s) include at least the name of the team member recommended and any other work instructions needed.
3.2.5 CPM/CTL—Ensure data collection requirements for each PA are determined.
3.3 Resource Management—ATOS Business Process Module 3.
3.3.1 CPM and CTL—Provide input to FLMs to help them identify team resources to complete the PA plan.
3.3.2 CHDO and AFS‑900 FLMs—Review the SOE to ensure the availability of resources (e.g., travel funds, passports, and country clearance requests).
3.3.3 CHDO and AFS‑900 FLMs—Determine resource availability and assign team members to support the PA plan.
3.3.4 CHDO Manager—Concur with the CAP.
NOTE: Keep all EPI records in draft until the end of phase 3.
3.4 Aircraft Conformity Evaluation.
3.4.1 Applicant—CPM ensures the applicant notifies the CHDO of aircraft availability at least 10 business days before the proposed aircraft evaluation and forwards the completed Aircraft Configuration Control Document (ACCD) (or applicant’s equivalent) and aircraft information form to the CPM for the aircraft conformity evaluation (see Volume 10, Chapter 6, Section 3).
3.4.2 CPM/CTL—Provide the applicant a copy of the Aircraft Document Request List (see Volume 10, Chapter 6, Section 3, Figure 10‑70, and for more information see Volume 10, Chapter 6, Section 3).
3.4.3 CPM/CTL—Complete an initial review of the applicant’s conformity submissions to confirm all required records are present and of sufficient quality to continue to the next step.
3.4.4 CPT—Evaluate the applicant’s aircraft conformity process using the ACCD, documentation provided by the applicant, and applicable EPI(s).
3.4.5 CPM/CTL—Notify the applicant in writing of discrepancies identified during the aircraft conformity evaluation.
3.4.6 Applicant—CPM ensures the applicant submits a letter containing the required corrections to the CPM. Update the SOE, if required.
3.4.7 CPM/CTL—Confirm that the applicant corrected the discrepancies prior to beginning proving tests.
3.4.8 CTL—Post the correspondence in the PMT.
3.5 Demonstration Plans.
3.5.1 Applicant—CPM ensures the applicant submits the following plans, as appropriate, for the proposed operation:
· Emergency evacuation plan,
· Ditching plan, and
· Proving test plan.
3.5.2 CPT—Review and accept submitted plans.
· Emergency evacuation plan and ditching plan (see Volume 3, Chapter 30), and
· Proving test plan (see paragraph 10‑440 and Volume 3, Chapter 29).
3.5.3 CPM/CTL—If applicable, respond to the applicant request for a reduction of proving test hours (see Volume 3, Chapter 29, Section 7).
3.5.4 Applicant—CPM ensures the applicant submits a request for a letter of authorization (LOA) in accordance with § 119.33(c), for demonstrating appropriate operations under 14 CFR part 121. Make this request at least 10 business days before any aircraft flight demonstration (see paragraph 10‑440 and Volume 3, Chapter 29, Section 7).
3.5.5 CPM—Ensure the draft OpSpecs are completed and match the proposed operation.
3.5.6 CPM/CTL—Issue an LOA in accordance with Volume 3, Chapter 29, Section 4; Volume 3, Chapter 29, Section 7; and § 119.33(c).
3.6 Tabletop Exercise.
3.6.1 CPT—Develop scenarios to assess performance during tabletop exercises (see paragraph 10‑439, Tabletop Exercise).
3.6.2 CPT/Applicant—Conduct tabletop exercises and discuss results of each scenario.
3.6.3 CPM/CTL—If the CPM finds any scenario to be unsatisfactory, he or she should confirm that the applicant has made corrections to its system design or has corrected personnel performance issues before beginning proving tests.
3.7 Evacuation/Ditching Demonstrations (as required).
3.7.1 Aviation Safety Inspector—Cabin Safety (ASI‑CS)—Discuss the demonstration plan with the CPT.
3.7.2 CPM/ASI‑CS—Brief applicant on plan and expectations.
3.7.3 CPT/Applicant—Conduct evacuation/ditching demonstrations.
3.7.4 CPT—Document results of each demonstration on FAA Form 8430‑1, Emergency Evacuation Demonstration Report, applicable EPI(s), and/or ConDORs (see Volume 3, Chapter 30, Section 8).
3.7.5 CPM—Forward each completed FAA Form 8430‑1 to the RFSD.
3.7.6 CPM—Save a copy of each completed FAA Form 8430‑1 to be part of the certification report (step 4.4.1).
3.8 Assess Applicant’s Facilities.
3.8.1 CPT—Assess the following facilities, as applicable, using EPIs:
· Station facilities (EPI 5.1.5),
· Maintenance facility/main maintenance base (EPI 1.3.3),
· Line station facilities (EPI 5.1.1), and
· Maintenance providers (EPI 1.3.7).
NOTE: EPI records will remain in draft until proving tests are complete.
NOTE: The CPT may accomplish these assessments prior to or during proving tests by observing the applicant conduct their own internal safety assessment (step 3.1).
3.9 Prepare for Proving Tests.
3.9.1 CPM—Confirm the “show cause” order has been issued.
3.9.2 CPM/CTL—Verify that the applicant has met all other Gate III requirements (see Figure 10‑66).
3.9.3 CPM/CTL—Conduct pre‑demonstration test meeting with CPT (see Volume 3, Chapter 29).
3.9.4 CPM—Schedule the CPT for proving tests.
3.9.5 CPT—Develop proving test scenarios that will facilitate the collection of data the CPT will use to complete the PA (see paragraph 10‑440 and Volume 3, Chapter 29).
3.10 CPT and Applicant Conduct Proving Tests.
3.10.1 CPT and Applicant—Meet to discuss the proving test protocols and the proposed flight schedule (see paragraph 10‑440 and Volume 3, Chapter 29).
3.10.2 CPT—Prior to each day’s proving tests, conduct an FAA meeting to review the day’s plan.
3.10.3 CPT and Applicant—Prior to each day’s proving tests, conduct a briefing with the applicant to review the day’s plan.
3.10.4 CPT and Applicant—Conduct proving tests.
3.10.5 CPT—Collect data for assigned EPIs or ConDORs.
3.10.6 CPT and Applicant—Debrief results after each flight.
3.10.7 CPT—Document results of each scenario on the appropriate worksheet (see Figure 10‑69, Proving‑Flight Test Scenario Worksheet).
3.10.8 CPM/CTL—When the applicant has met all test objectives and repeatedly demonstrated their ability to conduct line operations in compliance with regulations and safe operating practices, recommend that the proving tests conclude (see Volume 3, Chapter 29).
3.10.9 CPM/CTL—If the applicant has not completed all test objectives or not demonstrated their ability to conduct line operations in compliance with regulations and/or safe operating practices, evaluate the need for an extension or termination of the proving tests (see Volume 3, Chapter 29).
3.10.10 CHDO Manager—Notify the RFSD of the normal completion of proving tests or of proving tests terminated due to unsatisfactory performance. Early completion of proving tests requires RFSD approval (see Volume 3, Chapter 29).
3.10.11 CTL—Upload completed scenarios worksheets to the PMT.
3.11 Data Reporting—ATOS Business Process (Module 5).
3.11.1 CPT—Enter EPI, ConDOR, and DOR data in accordance with DQGs and save activities to final (see Volume 10, Chapter 2, Section 6, Tables 10‑1 and 10‑2).
3.11.2 CPT—Save the EPI to the master record when it is complete.
3.12 Data Review—ATOS Business Process (Module 6).
3.12.1 CPM/DEPM/Data Reviewer—Ensure data meets DQGs and save records to the ATOS database. (see Volume 10, Chapter 2, Section 6, Tables 10‑1 and 10‑2.)
3.13 Performance Analysis and Assessment—ATOS Business Process (Module 7).
3.13.1 CPM/CTL—Along with identified members of the CPT, conduct a PA meeting to analyze EPI collected data by element.
3.13.2 CPM/CTL—Make a bottom‑line assessment and document it on the ADI Tool.
3.14 Performance Action Determination and Implementation—ATOS Business Process (Module 8).
3.14.1 CPM/CTL—Follow the ATOS Module 8 business process (see Volume 10, Chapter 2, Section 11) to determine the appropriate course of action for each element.
NOTE: The CPM will affirm the air carrier’s system if it meets all performance standards.
3.14.2 CPM/CTL—If the air carrier’s system meets performance standards, but with minor problems, determine whether additional data collection, monitoring, or action is necessary.
3.15 Phase 3 Review.
3.15.1 CTL—Send an email to the Field Support Program Office (FSPO) manager notifying him or her that the certification project is close to completion.
3.15.2 CTL—Make entries into the PMT Project Summary.
3.15.3 CTL—Solicit applicant and CPT feedback (refer to AFS Stakeholder Feedback). The CTL can also complete this by interviewing the CHDO and applicant.
PHASE 4 ADMINISTRATIVE FUNCTIONS.
4.1 Accomplish Administrative Requirements.
4.1.1 CHDO Manager—Confirm the CMT is in place.
4.1.2 CPM—Obtain the final certificate number and to make the air carrier “Active” send an email to AFS-620 at 9‑AMC‑AFS620‑Certinfo@faa.gov (see Volume 2, Chapter 2, Section 2, paragraph 2‑133).
4.1.3 CHDO Manager—Schedule the first annual planning meeting with the CMT, the AFS‑900 FSPO, and appropriate members of the CPT.
4.1.4 CPM—Verify that PIs close all PTRS records in step 1.4.4 with proper entries in the “Miscellaneous” and “Comments” sections.
4.1.5 CTL—Send an email to the AFS-900 FSPO manager notifying him or her of the proposed date for the annual planning meeting.
4.2 Approve OpSpecs.
4.2.1 CPM—Verify the accomplishment of final changes to the eVID and draft OpSpecs. Coordinate with PIs on approval/disapproval of the applicant’s OpSpecs.
4.2.2 PIs—Review any OST/DOT limitations before signing the OpSpecs.
4.2.3 PIs—Sign OpSpecs.
4.3 Issue OpSpecs and Air Carrier Certificate.
4.3.1 CHDO Manager—Review and forward the Air Carrier Certificate and copy of OpSpecs to the RFSD manager.
4.3.2 RFSD Manager—Sign the Air Carrier Certificate and return to the CHDO.
4.3.3 CHDO Manager—Issue the Air Carrier Certificate.
4.4 Certification Report.
4.4.1 CPM—Assemble the certification report, to include:
· Preapplication Statement of Intent (PASI),
· Formal letter of application,
· Proving test report,
· Emergency Evacuation Demonstration Report (FAA Form 8430‑1),
· Ditching report,
· Copy of the Air Carrier Certificate,
· Final compliance statement, and
· A copy of the OpSpecs issued.
4.4.2 CPM—Sign and retain the certification report.
4.4.3 CHDO Manager—Forward a copy of the certification report to the RFSD.
4.4.4 CMT/CPT/AFS‑900 FSPO—Conduct annual planning meeting.
4.5 Phase 4 Review.
4.5.1 CPM/CTL—Verify the completion of all steps in phase 4 (see Figure 10‑66).
4.5.2 CPM—Solicit applicant and CPT feedback (refer to AFS Stakeholder Feedback). The CTL can also complete this by interviewing the CHDO and applicant.
4.5.3 CTL—Make entries into the PMT Project Summary.
4.5.4 CTL—Comment in the PMT Project Summary verifying that required PMT records are in the supporting documents. Include the CTL’s name.
4.5.5 CTL—Send a message to AFS‑900 Certification and Evaluation Program Office team members to remove company manuals from their computers and request each team member send a message back to the CTL when the team members complete this.
Figure 10‑61A. Schedule of Events
Name of Applicant: |
Date: |
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Events |
Date Proposed |
Date Accomplished |
Phase 1—Application |
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Submit Application Package |
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Formal Application Meeting |
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Phase 2—Design Assessment (DA) |
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Receive Initial Approval for Initial Cadre Check Airman (ICCA) Training |
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Begin ICCA Training |
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All Manuals Approved/Accepted |
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Pilot Training |
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Begin Instructor Training |
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Begin Basic Indoctrination |
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Begin Emergency Training |
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Begin Aircraft Ground School |
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Begin Simulator/Aircraft Training |
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Begin Check Airmen Training |
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Flight Attendant (F/A) Training |
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Begin Instructor Training |
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Begin Basic Indoctrination |
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Begin Emergency Training |
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Begin Aircraft Ground Training |
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Begin Competency Check Supervisor Training |
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Flight Follower/Dispatcher Initial Cadre Training |
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Begin Instructor Training |
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Begin Basic Indoctrination |
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Begin Aircraft Ground Training |
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Begin Competency Check Air Transportation Supervisor (ATS)/Check Dispatcher Training |
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Begin FAA‑Administered Competency Checks to ATS/Check Dispatcher Note: An Aviation Safety Inspector‑Aircraft Dispatch (ASI‑AD) must administer the check. The ASI‑AD must complete the FAA‑Observed Comp Check administered by ATS/check dispatcher. Operating Familiarization to be completed within 90 days of the initial introduction of the aircraft. |
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Figure 10‑61A. Schedule of Events (Continued)
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Date Accomplished |
Maintenance Training |
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Begin Instructor Training |
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Begin Basic Indoctrination |
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Begin Aircraft Ground Training |
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Begin Maintenance Inspector Training (Required Inspection Items (RII)) |
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Training Completed for Phase 3 Participants |
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Phase 3—Performance Assessment (PA) |
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Submit Operational Readiness Results |
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Submit Completed Aircraft Conformity Documentation |
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Aircraft Ready for FAA Conformity Evaluation |
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Submit Emergency Evacuation and Ditching Plan (As Required) |
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Submit Proving Test Plan |
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Tabletop Exercise |
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Evacuation/Ditching Demonstration |
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Generate Proving Test OpSpecs |
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Proving Runs Start Date |
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Finish Proving Runs |
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Proposed Operation Start Date |
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Figure 10‑62. Preapplication Checklist
Management Preparation |
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Key Company Personnel View the Following: |
Verified by: |
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System Safety Video |
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Review Certification Process Document (CPD) (Refer to FAA Order 8900.1 Volume 10, Chapter 6, Section 2). |
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Documentation Required at Formal Application Step 1.1.1 (45 days) |
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Document/Manual |
Verified by: |
Date |
Formal Application Letter |
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Preapplication Statement of Intent (PASI), FAA Form 8400‑6 |
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List of Proposed Operations Specifications (OpSpecs) Paragraphs |
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Proposed Schedule of Events (SOE) |
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Required Management Personnel Résumé, Qualification Summary, and Quality Audit Forms |
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Management Position |
Verified by: |
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Director of Maintenance (DOM) QS QAF |
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Director of Operations (DO) QS QAF |
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Chief Pilot QS QAF |
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Chief Inspector QS QAF |
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Director of Safety (DOS) QS QAF |
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Applicant QS |
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Documentation Required at Formal Application Step 1.5.1 (15 days) |
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Document/Manual |
Verified by: |
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Updated PASI, FAA Form 8400‑6 |
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Updated Proposed SOE |
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Evidence of Economic Authority Request |
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Corporate Documents |
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Deviation and/or Exemption Requests |
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Safety Attribute Inspections (SAI) Self-Audit NOTE: The completed
SAI version must be current within 90 days of the first submission.
The requirement for using a current Data Collection Tool (DCT) revision
will be optional for any additional SAI self-audit submissions.
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Compliance
Statement
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Company Manuals and Programs |
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Initial Cadre Check Airman (ICCA) Training Plan |
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Facility Lease Agreements or Proof of Ownership |
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Outsourcing Contractual Agreements |
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Aircraft Lease or Proof of Ownership |
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Current Aircraft Equipment List |
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Layout of Passenger Accommodations |
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Aircraft Information Form |
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Status of Drug and Alcohol Program |
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Status of Security Program |
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Status of Environmental Assessment (EA) |
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Status of Hazardous Materials (Hazmat) Program and Hazmat Training Program. |
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Figure 10‑62. Preapplication Checklist (Continued)
· An updated Federal Aviation Administration (FAA) Form 8400‑6, Preapplication Statement of Intent (only if you have made changes to the original PASI).
· The completed proposed Schedule of Events (SOE) (Figure 10‑61A). Indicate whether it is the original or an updated version.
· The completed Required Management Personnel Qualification Summary and Quality Audit Forms.
· The completed list of proposed operations specifications (OpSpecs).
NOTE: For further information on the PAC items refer to the following Web page: http://www.faa.gov/about/initiatives/atos/air_carrier/pre_app_checklist/.
· An updated PASI FAA Form 8400‑6 only if you have made changes to the original PASI.
· An updated proposed SOE.
· Evidence of economic authority request.
· Corporate documents.
· Deviation or exemption requests.
· SAI self‑audit; the completed SAI version must be current within 90 days of the first submission. The requirement for using a current DCT revision will be optional for any additional SAI self-audit submissions.
· Compliance statement.
· Company manuals and programs necessary to conduct daily operations. This would include computer software program user manuals and engineering and program substantiation documents that support or justify the manual system or a program design (e.g., Weight and Balance (W&B) programs; aircraft modifications; aircraft manufacturer’s maintenance, flight, operating, and performance manuals; training programs and courseware; and user manuals for dispatch programs that the applicant purchased and contracted).
· ICCA training plan.
· Lease or proof of ownership and facility lease agreements.
· Outsourcing contractual agreement.
· Aircraft lease or proof of ownership.
· Current aircraft equipment list.
· Layout of passenger accommodations.
· Aircraft information form.
· Status of drug and alcohol program.
· Status of security program.
· Status of Environmental Assessment (EA).
· Status of hazmat program and hazmat training program.
Figure 10‑63. Formal Application, Management Questionnaire Worksheet
Formal Application Management Questionnaire Worksheet |
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Applicant: _________________________ |
Manager:_______________________________________
Name and Position:_______________________________ |
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Figure 10‑64. Automation Access Information Worksheet
First Name |
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Middle Initial (Leave Blank if None) |
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Last Name |
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AFS User ID (Enter as “AFS938XX”) |
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FAA Email Address |
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Technical Discipline |
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Office Code (e.g., NM21) |
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Office Routing Symbol (e.g., ANM‑RKM‑CMO‑21). Use FAA Directory to locate. |
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Office Address: |
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State |
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ZIP Code |
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![]() Telephone Contacts, Include Extension |
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Supervisor |
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Manager |
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Office Code: For Regional Office use RO and the 2‑letter Region Identifier, e.g., ROEA for Eastern Region. |
Job Classification: 1. APO—ATOS Program Office. 2. ASA—Aviation Safety Assistant. 3. AST—Aviation Safety Technician. 4. ASI—Aviation Safety Inspector. 5. PI‑PAI—Principal Avionics Inspector. 6. PI‑PMI—Principal Maintenance Inspector. 7. PI‑POI—Principal Operations Inspector. 8. ASI‑AD—Aircraft Dispatcher Inspector. 9. ASI‑CS—Cabin Safety Inspector. 10. DEPM—Data Evaluation Program Manager. 11. ORA—Operations Research Analyst. 12. MGR—Manager. 13. SPV—Supervisor. 14. HQ—Any classification not listed. |
Technical Discipline: 1. AV—Avionics. 2. CS—Cabin Safety. 3. AD—Aircraft Dispatcher. 4. MX—Maintenance. 5. OP—Operations. 6. OT—Other. |
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NOTE: In the case of a failed review, the CPM will require an additional three SAIs (not previously reviewed) to be reviewed by the CPT. Three rejections of the initial review can be cause for termination of the certification project.
· Introductions and circulate attendance roster (see Figure 10‑65, Attendance Roster),
· Applicant describes proposed air carrier systems,
· Review certification process,
· Explain conduct and criteria of this meeting,
· Conduct management questions,
· Resolve discrepancies and open items,
· Discuss SOE,
· Discuss proposed OpSpecs, and
· Review requests for exemption or deviation.
NOTE: This event is not an opportunity to reveal inadequacies in the applicant’s air carrier system design. The DA phase addresses deficiencies in the air carrier’s system design.
NOTE: Do not allow managers to locate manual references by using “word search” functions.
Figure 10‑65. Attendance Roster
Date: |
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Type of Meeting: |
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Applicant’s Name: |
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Location: |
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Title or Position |
Phone Number |
Email Address |
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Figure 10‑66. Phases and Gates for Initial Certification
NOTE: The CPT will not report tabletop exercise results in ATOS automation.
· Introductions and circulate attendance roster (see Figure 10‑65).
· Review certification process.
· Explain conduct and criteria of this meeting.
· Conduct the exercise.
· Resolve discrepancies and open items.
· Discuss SOEs.
Figure 10‑68. Tabletop Scenario Worksheet
Tabletop Scenario Worksheet |
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Applicant: |
Element: |
Scenario Number: |
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Scenario: |
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Scenario: |
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NOTE: Obtain concurrence from the RFSD before terminating proving tests with fewer hours than listed in the approved Proving Test Plan.
NOTE: It is not always practical to initiate a scenario by handing a note or giving verbal instructions to the applicant. The assigned ASI playing the role of the passenger can best initiate scenarios such as a passenger standing during taxi, appearing intoxicated, or using a cell phone before takeoff.
NOTE: The FAA may conduct scenarios simultaneously if each scenario is isolated to specific duty positions (e.g., F/As, pilots, mechanics, dispatchers) and disciplines. The FAA cannot present multiple scenarios to a specific discipline. The CPM must ensure that the applicant is not encumbered with so many simulated scenarios that a proper evaluation of its proposed routine operation is inhibited.
NOTE: The CPM/CTL may use discretion when determining schedules and should plan events within an 8‑hour workday, including briefings.
NOTE: Confine communications to company frequencies unless directed by the FAA ASI occupying the observer’s seat. The ASI occupying the observer’s seat or observing at ground facilities will coordinate as needed with air traffic control (ATC) and company personnel concerning the status. The simulated emergencies will not involve deactivating items such as constant speed drives (CSD), integrated drive generators (IDG), etc., nor will it involve engine in‑flight shut downs (IFSD). Follow the policies, practices, and procedures contained in your manual.
· In the event of multiple system failures (air carrier systems) or severe system deficiencies, the CPM/CTL may terminate proving tests to allow the applicant to redesign systems.
· In the event of a failure of an individual, or a minor system failure, the CPM/CTL may terminate that segment, but continue the proving tests.
· The FAA may repeat scenarios, but the CPM/CTL will modify them.
· If the FAA discontinues the proving tests, it will rescind the letter of approval.
Figure 10‑69. Proving‑Flight Test Scenario Worksheet
Proving‑Flight Test Scenario Worksheet |
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Applicant: |
Date: |
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Flight Number: |
Block Time (UTC): |
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Arrival: |
Block In: |
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Block Out: |
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PIC: |
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A/C Type: |
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Total Time: |
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Scenario Number: |
Scenario: |
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SAT
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RESERVED. Paragraphs 10‑441 through 10‑461.