Presented to: AWP Managers Conference By: Chuck Hicks, Manager, AWP-230 Prepared By: Brad Howard, AWP-230 Date: November 2, 2005 Federal Aviation Administration Notice Certification Services Oversight Process (CSOP)

Federal Aviation Administration 2 Certification Services Oversight Process (CSOP) November 2, 2005 Purpose of the Notice This notice provides specific guidance for determining when adequate resources are available to begin original organizational certification activities. It provides Aviation Safety Inspectors (ASI) and FAA field office management personnel with policy and guidance concerning the Certification Services Oversight Process (CSOP) Original Organizational Certification Process.

Federal Aviation Administration 3 Certification Services Oversight Process (CSOP) November 2, 2005 Background The continuous stream of new applicants, coupled with FAA resource limitations, has heightened the importance of ensuring we have sufficient resources available to complete certification activities, and provide oversight of new organizations once certificated. When resource evaluations indicate that a field office cannot conduct an original organizational certification without compromising the offices ability to adequately oversee the new certification, or its existing certificated organizations, the new certification activity must be deferred or assigned to a different field office.

Federal Aviation Administration 4 Certification Services Oversight Process (CSOP) November 2, 2005 What is CSOP? CSOP is an internal Flight Standards (AFS) process for all field managers to use and serves as the single authorized methodology for accepting, sequencing, and reporting original organizational certification activities. It provides a standard set of tools for communication, resource evaluation, and certification workload weighing. The process allows AFS management at all levels the ability to see original organizational certification activities and supports the conservation of valuable resources, shifting of resources, and sequencing of certification activities.

Federal Aviation Administration 5 Certification Services Oversight Process (CSOP) November 2, 2005 Who Is Affected? Organizational certification activities covered by this notice include all applicants seeking to accomplish original certification as an Air Operator or Air Agency in accordance with parts 121, 125, 133, 135, 137, 141, 142, 145, and 147. Flight Standards managers must follow this process for all original organization certification applications they receive.

Federal Aviation Administration 6 Certification Services Oversight Process (CSOP) November 2, 2005 Field Office Responsibilities Aviation Safety Inspectors (ASI) are responsible for keeping management informed of all potential Air Operator and/or Air Agency certification activities. Additionally, it is the responsibility of the ASI to gather and document the information concerning these potential and/or actual original organization certification activities and provide management with the information. Appendix 2 and 3 of Notice outlines the information that must be provided to field office managers concerning all original organizational certifications.

Federal Aviation Administration 7 Certification Services Oversight Process (CSOP) November 2, 2005 Field offices managers are responsible for capturing the PASI information and creating an Organizational Air Operator/Air Agency or Repair Station PASI Summary, performing a resource analysis, completing the workload index, and dash boarding the activity. Additionally, the field office will communicate with the applicant using standard letters that have been created as part of the CSOP tools: CSOP PASI Receipt Letter CSOP Applicant Wait List Letter These letters are located in the Notice

Federal Aviation Administration 8 Certification Services Oversight Process (CSOP) November 2, 2005 Field Office Resource Analysis The resource analysis is part of the electronic PASI Summary located on the CSOP SharePoint web site. It is the means by which field office managers determine if adequate resources exist in the field office to accomplish an original certification activity. In conducting the resource analysis required by the CSOP process, field office managers shall consider all limitations and factors identified in Paragraph 7 of Notice

Federal Aviation Administration 9 Certification Services Oversight Process (CSOP) November 2, 2005 Limitations Part 125, 133, 135, 137, 141, 142, 145, and 147 Certifications: Adequate resources do not exist if the new certificate, based on an applicants two year post-certification business plans, would result in any inspectors complexity point total rising to 2,500 or more points, 3,500 points if a full assistant is available for assignment, or; Rising at all in the case of an inspector already assigned 2,500 or more complexity points, 3,500 points with a full assistant assigned.

Federal Aviation Administration 10 Certification Services Oversight Process (CSOP) November 2, 2005 Limitations Part 121 Certifications: Existing part 121 principal inspectors may not be used for new certification activities. Assistant principal inspectors, aircrew program managers, assistant aircrew program managers, partial program managers, and assistant partial program managers currently assigned to a part 121 certificate management team may be used for a new certification activity only to the extent that existing operator oversight is not compromised.

Federal Aviation Administration 11 Certification Services Oversight Process (CSOP) November 2, 2005 Limitations Part 121 Certifications Continued: Available staffing for post-certification dedicated principal inspectors, not assigned other complexity must exist, or is reasonably projected to be available through reassignments or merit promotion selections. Only inspectors in an air carrier position description will be used for part 121.

Federal Aviation Administration 12 Certification Services Oversight Process (CSOP) November 2, 2005 Factors Considered for All Certifications Office staffing in inspector specialties required for certification activities. Office performance issues (e.g., ability to address current workload). Office challenges (e.g., non-compliant operators requiring additional resources). Office technical expertise vs. complexity of the proposed operation. Extended leaves of absence affecting the office. National/regional resource demands upon the office.

Federal Aviation Administration 13 Certification Services Oversight Process (CSOP) November 2, 2005 Field Office Decision Tree for Accepting Original Certifications

Federal Aviation Administration 14 Certification Services Oversight Process (CSOP) November 2, 2005 The CSOP Process The CSOP process is triggered when a field office receives a PASI or other documents required to make application for an Air Carrier, Air Agency, or Operating Certificate. In the case of an applicant seeking certification in accordance with parts 125, 133, 137, 141, and 142, a PASI is not required. However, the information regarding these certification activities is applicable to the CSOP process. This information must be entered into an electronic PASI Summary and a resource analysis completed.

Federal Aviation Administration 15 Certification Services Oversight Process (CSOP) November 2, 2005 Upon receipt of a PASI or other documents conveying an original certification request, the field office manager will send the applicant a CSOP PASI Receipt Letter. A member of the field offices management team will then enter the information into the electronic PASI Summary located on the CSOP SharePoint web site at: Note: There are 2 PASI Summaries located on the CSOP SharePoint web site. It is important to select either the Organizational Air Operator/Agency PASI Summary or the Air Agency-Repair Station PASI Summary as applicable. The Steps

Federal Aviation Administration 16 Certification Services Oversight Process (CSOP) November 2, 2005 A member of the field office management team will then perform a resource analysis The resource analysis process is located within the electronic PASI Summary. All limitations and factors identified in paragraph 7 of Notice must be considered. The field office manager then reviews the resource analysis and determines if the field office has the available resources to conduct the certification activity. The field office manager is responsible for making the final decision at the field office level.

Federal Aviation Administration 17 Certification Services Oversight Process (CSOP) November 2, 2005 If the field office manager determines that the office has the available resources to conduct the certification activity, the office manager selects a Green dashboard color in the PASI Summary. (Yes decision). If the field office manager determines that the office does not have the available resources to conduct the certification activity, the office manager selects a Yellow or Red dashboard color in the PASI Summary. (No decision.) Note: The selection of Yellow or Red is subjective. Use Yellow when the possibility of needed resources can be worked out before the completion of the certification. Use Red when there is no possibility of obtaining the resources needed to initiate the certification during the current fiscal year.

Federal Aviation Administration 18 Certification Services Oversight Process (CSOP) November 2, 2005 The field office managers decision is now available for Division Managers review. The Division Manager reviews all field office PASI Summaries on a weekly basis, preferably before the Regional telecon with AFS-1 held each Tuesday at 10:00 PST. The Division Manager either concurs or non-concurs with the field offices resource analysis.

Federal Aviation Administration 19 Certification Services Oversight Process (CSOP) November 2, 2005 Division Manager Concurs with Yes Decision When the Division Manager concurs with the field offices resource evaluation for a Yes decision, the Division Manager will contact the field office manager and assign the certification to the originating field office. If the original organizational certification is for a part 121 Air Carrier, the field office manager must contact the ATOS CMO in accordance with the Certification Process Document. If the original organizational certification is other than a part 121 Air Carrier, the field office manager will assign a Certification Project Manager and additional ASIs in accordance with the applicable handbook guidance.

Federal Aviation Administration 20 Certification Services Oversight Process (CSOP) November 2, 2005 The field office manager now decides if the certification can begin at a time that meets the offices workload capabilities and is agreeable to the applicant. If the field office manager decides that the certification can begin, he/she will send the applicant a letter acknowledging the field office has the resources to accomplish the requested certification. If the field office manager decides that the certification needs to be placed on a wait list and sequenced into the offices workload capabilities, i.e. the Division Manager concurred with a field evaluation of yellow or red but was unable to assign the certification to another office in the region, then the field office manager will send the applicant the CSOP Wait List Letter.

Federal Aviation Administration 21 Certification Services Oversight Process (CSOP) November 2, 2005 Applicant Wait Lists It is important to stress that should the applicant be placed on a wait list, the field office shall develop a system that can be used to establish a wait list identification number that can be communicated to the applicant. The applicant needs to know where they stand in the certification process. It is advisable to communicate with the applicant on a regularly scheduled basis, as this will minimize the applicants desires to constantly communicate with your office. It is also advisable not to provide dates for when the certification might begin. This is due to the fact that in order for their certification to begin, generally a certification that is already in process needs to be completed.

Federal Aviation Administration 22 Certification Services Oversight Process (CSOP) November 2, 2005 If the Division Manager concurs with the field offices resource evaluation for a No decision, i.e., the office does not have the available resources to conduct the certification activity, the Division Manager will begin the regional division process for wait listing the applicant and/or reassignment of certification resources in accordance with Notice Following completion of the regional division CSOP process, the field office manager will receive additional guidance concerning the disposition of the certification activity from the Division Manager. Division Manager Concurs with No Decision

Federal Aviation Administration 23 Certification Services Oversight Process (CSOP) November 2, 2005 Division Manager Non-Concurs with a Field Office Managers Resource Analysis If the Division Manager non-concurs with the field offices resource evaluation for a Yes or No decision concerning any certification activity, the Division Manager will begin the regional division process for wait listing the applicant and/or assignment of certification resources in accordance with Notice Following completion of the regional division CSOP process, the field office manager will receive additional guidance concerning the disposition of the certification activity from the Division Manager.

Federal Aviation Administration 24 Certification Services Oversight Process (CSOP) November 2, 2005 SharePoint CSOP Web Site Access By Headquarters directive, access to the CSOP SharePoint web site is restricted to management personnel only! AWP-230 is submitting a list of those individuals which will require access to the site. Please ensure you provide the regional POCs with the names. Should you require assistance with inputting data to the electronic PASI Summary or the CSOP process, please contact the following: AWP-230 CSOP points of contact: Brad Howard, Operations Specialists, David Ibarra, Airworthiness Specialists,