Phase 4: Administrative Functions

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General

The certificate and approved operations specifications are issued to you after you have corrected all significant unsatisfactory items. This action completes the certification process. You shall not be certificated under any circumstance until the certification project manager (CPM) has determined that you are fully capable of fulfilling the responsibilities as charged by Title 49 of the United States Code (49 U.S.C.) and that you will comply with Title 14 of the Code of Federal Regulations (14 CFR) in an appropriate manner.

• FAA Form 8430-18, Air Carrier Certificate, shall be used for an air carrier certificate.
• FAA Form 8430-21, Operating Certificate, shall be used for an operating certificate.

Issuance of Operations Specifications and Certificate

When it is determined that you have met all regulatory requirements, the appropriate certificate and operations specifications will be presented to you. The operations specifications are prepared in accordance with the procedures in FAA Order 8900.1, Volume 3, Chapter 18.

Department of Transportation (DOT) Economic Authority

Applicants for an air carrier certificate will not for any reason be issued operations specifications or a certificate until they have presented a copy of the DOT economic authority (a certificate, commuter air carrier authorization, or air taxi registration [Form 4507]) to the CPM.

An applicant for an operating certificate engaged in intrastate common carriage is not required to have DOT economic authority or submit any financial statement as a condition of certification.

Before issuance, the operations specifications will be signed by the applicant and the appropriate principal inspectors. The original certificate and operations specifications will then be given to the new certificate holder.

Certification Report

When the new operator is certificated, the CPM is responsible for assembling a certification report. This report must be signed by the CPM and include the name and title of each certification team member who assisted in the certification project. The report is maintained in the permanent file relating to the new operator during the business life of the operator. The report shall consist of the following sections:

• Pre-application Statement of Intent (PASI)
• Certification Job Aid and Schedule of Events
• The Formal Application Letter
• The Compliance Statement
• Proving/Validation Test Evaluation Report
• A copy of the operations specifications issued
• A copy of the issued certificate

A summary of major difficulties experienced during the certification process and/or any recommendations that may enhance the process must be noted by phase and specialty.

Certification Report Retention

The FAA district office shall retain the original of the certification report in the operator file as long as the certificate holder remains active.

When you have successfully completed the first three phases, the Regional Flight Standards Division Manager will issue an air carrier certificate for you and send it to the Certificate Holding District Office Manager (CHDO).

The CHDO Manager will issue your operations specifications and present you with your air carrier certificate.