Introduction to Pre-Application

Initial Inquiries

Initial inquiries about the certification may come in various formats from individuals or organizations. These inquiries may be in writing or be the result of meetings with personnel from a local Flight Standards office. The local Flight Standards office should also notify the Certification and Evaluation Program Office CEPO) and the Air Carrier Safety Assurance (ACSA) division.

Applicant Orientation and Preliminary Discussion

Upon initial contact, FAA personnel should direct you to the Flight Standards Service website at faa.gov for applicable regulations, Advisory Circulars (AC, FAA orders, notices, bulletins; and other pertinent information. In addition, 14 CFR Part 121 Air Carrier Certification website will assist you during the certification process; providing examples of letters, application forms, and other types of information you will need to complete the certification process.

FAA Form 8400-6, Pre-application Statement of Intent (PASI)

CEPO personnel will instruct you on how to complete the PASI. You may submit the completed PASI either thru the Safety Assurance Systems External Portal using region C4 and Office 410 or via email to the CEPO. After receiving the completed PASI, the CEPO will do the following:

• Upon notification of a pending PASI, the CEPO will ensure that there is sufficient information to further process the pre-application.
• When the PASI is acceptable, the CEPO manager will initiate the Certification Services Oversight Process (CSOP), found in Order 8900.1, Volume 10, Chapter 12.
• CEPO and ACSA will determine the availability of resources to support the certification project.

During pre-application, you will identify logistical requirements, design your safety critical processes, develop your system documentation, and apply for DOT economic authority. Items you complete in the Pre-Application process become attachments to the Formal Application Package.

Planning and executing a complete pre-application package will:

• Help you identify the complexity of the certification project.
• Prepare you for the formal application process.
• Help the FAA identify the size and scope of the project so that the FAA can allocate resources to complete each phase of the certification process for you in a timely manner.

Plan Your Strategy

Having a successful certification strategy depends on having a realistic and comprehensive plan for completing the tasks and documentation required for certification. Reviewing the following documents will give you a good idea of the relative complexity of the certification process and help you to identify a workable plan.

• Certification Process is described in FAA Order 8900.1 Volume 2, Chapter 3 Section 1 - 5. This guidance provides definitions and work instructions for each phase of the certification process (pre-application, formal application, design assessment, performance assessment, administrative functions). It also provides a description of what is expected from an applicant during the formal certification process.
• Pre-Application Checklist (PAC) is described in FAA Order 8900.1, Figure 2-91, Volume 2, Chapter 3 Section 1. The Formal Application Checklist is described in FAA Order 8900.1, Figure 2-93 Volume2, Chapter 3 Section 2. Both the PAC and the Formal Application Checklist lists the activities and documents that you must complete for your formal application package. As you review the checklists, identify those activities that will require the most time and resources to complete. For example, allow sufficient time to design safety-critical systems and processes to meet FAA’s expectations. The FAA will need access to all documents and/or links listed on the PAC and Formal Application Checklist to complete the certification process.

Signal Your Intent to Apply for Certification

You should complete the Pre-application Statement of Intent (PASI) form and submit it to the FAA once your business plan becomes viable. Provide enough information in Box 10 of the PASI for the FAA to assess size and scope of your proposed operation.

Submit the completed PASI to the FAA either through the Safety Assurance System (SAS) External Portal or via email to the CEPO. When the CEPO receives your PASI, they will ensure that there is sufficient information to further process the pre-application.

When the PASI is acceptable, the CEPO manager will initiate the Certification Services Oversight Process (CSOP) found in FAA Order 8900.1 Volume 10, Chapter 12, to determine the availability of resources. The CSOP assures that sufficient FAA resources are available to support you during the certification process.

Complete the Pre-Application and Formal Application Checklists

After the FAA has allocated resources for the certification project, you will complete and submit the documents listed on the PAC, located in FAA Order 8900.1, Figure 2-91, Volume 2, Chapter 3, Section 1 and the Formal Application Checklist in FAA Order 8900.1, Figure 2-93, Volume 2, Chapter 3 Section 2. Therefore, you should invest the time and resources in developing the PAC and Formal Application items before you submit your PASI.

You must submit the PAC items and request the formal application meeting at least 60 Calendar days prior to the date you wish to schedule the formal application meeting. Submit the Formal Application Letter (PDF) to the CPM and include at a minimum:

• An updated Pre-application Statement of Intent (PASI) FAA Form 8400-6 (PDF).
• Your completed proposed Schedule of Events (PDF).
• An application letter for the 14 CFR §119.65 Required Management Personnel (PDF).
• SMS Accountable Executive designation letter. (PDF)

At least 30 Calendar days prior to the date of your formal application meeting, you must submit all Formal Application Checklist items as listed below:

• An updated Pre-application Statement of Intent (PASI) FAA Form 8400-6 (PDF) only if you have made changes to the original PASI
• Evidence of Economic Authority Request (PDF)
• Deviation or Exemption Requests (PDF) if applicable
• Initial Letter of Compliance (PDF) (to include Title 14 of the Code of Federal Regulations (14 AC) parts 5, 117, 119, and 121).
• Company Manuals and Programs (PDF)
• Initial Cadre Check Pilot (ICCP) Training Plan (PDF)
• Outsourcing Contractual Agreement (PDF) if applicable
• Status of Drug and Alcohol Testing Program (PDF)
• Documents of Purchase, Contracts, and Leases (PDF)
• Aircraft Lease or proof of ownership or letter of intent

If Unavailable at the time of submission, the applicant must submit the following items before proceeding to Phase 3:

• Current Aircraft Equipment List (PDF)
• Aircraft Interior Configuration Document (PDF) (commonly referred to as LOPA)
• Aircraft Information Form (PDF)

In addition to the required Formal Application Checklist items listed above, the applicant may on a volunteer bases in support of their application, submit self-audited ED DCTs (PDF) (ED DCT version must be current within 90 days of submission).

NOTE: During phase 3 of the certification process, the FAA certification project manager (CPM) will notify the Transportation Security Administration (TSA) that the initial certification project is in progress and provide your company’s contact information. TSA personnel will work directly with you to coordinate the submission, review, and approval of the security program.

Submit the Formal Application Letter and Required Documents

When the formal application is received, the Federal Aviation Administration (FAA) will need 30 calendar days prior to the formal application meeting to review the formal application checklist submission.

The decision whether to proceed with the formal application meeting must be based on the results of the initial review of the formal application and attachments. The decision to conduct the formal application meeting is predicated on receipt of all manuals and programs necessary to complete the initial review. The applicant must submit all applicable manuals and programs, as listed on the Formal Application Checklist before proceeding to Phase 3.