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Completing the Pre-Application Checklist

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, the Airline Certification website will assist them 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 and submit the completed PASI. This is done either thru the Safety Assurance Systems External Portal using region C4 and Office 410 or directly to 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:

  • Helps you identify the complexity of the certification project.
  • Prepares you for the formal application process.
  • Helps 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: (Section 1, Section 2, Section 3, Section 4, Section 5). This guidance provides definitions and work instructions for each phase of the certification process (application, design assessment, performance assessment, administrative functions). It also provides a description of what is expected during the formal certification process. You will verify on the Pre-Application Checklist that persons involved in the process have reviewed the phases, gates and other activities associated with the Certification Process.
  • Pre-Application Checklist (PAC) is described in FAA Order 8900.1, Figure 2-92, Volume 2, Chapter 3 Section 1. The Formal Application Check list is described in FAA Order 8900.1, Figure 2-94 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 which 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.

When the CEPO is notified of your pending PASI, they will ensure that there is sufficient information to further process the pre-application. The completed PASI will be submitted to the FAA either by the Safety Assurance System (SAS) External Portal of via traditional paper.

When the PASI is acceptable, the CEPO manager will initiate the Certification Services Oversight Process (CSOP) found in FAA Order 8000.92, to determine the availability of resources to support the certification project. The CSOP assures that sufficient FAA resources are available to support you during the certification process. FAA Order 8900.1 Volume 10 Chapter 12 Section 1.

Complete the Pre-Application and Formal Application Checklist

After you submit your PASI to the FAA and the FAA has allocated resources you will complete and submitted the documents listed on the PAC in Order 8900.1, Figure 2-92 of Volume 2, Chapter 3, Section 1 and the Formal Application Checklist in FAA Order 8900.1, Figure 2-94 of 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.

The PAC items and the request for the formal application meeting should be made more than 60 Calendar days prior to the date you wish to schedule your formal application meeting, submit the Formal Application Letter (PDF) to the CHDO and include at a minimum:

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

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

Coordination needs to start with the Transportation Security Administration (TSA) for the Security Program approval. The CPT will not review the Security Program, but they will need to know that the approval process has been started and coordination is occurring. The Security program will need to be approved and confirmation of approval will be needed by the CPT before proving runs begin.

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.

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