The Federal Aviation Administration (FAA) Part 121 air carrier certification is a rigorous process designed to ensure that applicants possess the capability to design, document, implement, and audit safety-critical processes. This certification serves two primary objectives:
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Regulatory Compliance: Adherence to all applicable regulations and safety standards.
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Risk Management: Effective control of potential risks within the operational environment.
The Foundation of FAA Certification: Ensuring Aviation Safety
At its core, the certification process evaluates whether an applicant can conduct operations in compliance with all relevant regulations while effectively managing risks in their operational systems. The FAA maintains a strict stance: applicants unwilling or unable to meet these standards will be denied certification.
Detailed Certification Process: A Step-by-Step Approach
The FAA certification process, as outlined in Order 8900.1, involves a pre-application phase followed by five distinct stages and three critical gates that must be successfully navigated.
Pre-Application: Information Gathering and SMS Implementation
The initial phase focuses on information collection and emphasizes the importance of implementing a Safety Management System (SMS). This foundational step sets the stage for the subsequent certification stages.
Application Stages: From Formal Submission to Final Approval
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Stage 1: Pre-Application - Initiated when the applicant contacts the FAA through designated channels.
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Stage 2: Formal Application - Begins with the submission of a formal application package and concludes with the acceptance of this package by the Certification Project Team (CPT).
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Stage 3: Design Assessment - The FAA evaluates the applicant's operational system design for compliance with regulations and safety standards.
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Stage 4: Performance Assessment - Involves operational observations and verification testing to confirm system functionality.
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Stage 5: Administrative Functions - Culminates in the issuance of the air carrier or operating certificate upon successful completion of all requirements.
Safety First: Legal Obligations and Industry Responsibilities
Title 49 of the U.S. Code clearly establishes safety as both the primary responsibility and legal obligation of certificate holders. The FAA's role is to ensure applicants fully understand and accept this responsibility before certification is granted. Key legal authorities include:
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49 U.S.C. § 44702 (Certificate Issuance)
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49 U.S.C. § 44705 (Air Carrier Operating Certificates)
FAA's Certification Methodology: System Safety Approach
The FAA employs a system safety-based certification process, evaluating applicant documentation through this lens. The Safety Assurance System (SAS) serves as the FAA's framework for verifying compliance with regulations and safety standards while assessing an applicant's ability to manage system-related risks.
Roles and Responsibilities
FAA's Role:
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Verify operational capability and safety compliance
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Approve or accept carrier processes and plans
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Issue the air carrier certificate
Applicant's Role:
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Provide comprehensive documentation meeting FAA standards
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Design and document hazard identification and risk management processes
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Implement safety risk management procedures
Frequently Asked Questions
Are there new regulations requiring carriers to modify plans for SAS compliance?
No. SAS represents an FAA oversight methodology for certification and supervision, not a set of standards carriers must meet.
Why is SMS implementation required?
14 CFR Part 5 mandates that certificate holders under Part 119 maintain a safety management system that meets Part 5 requirements.
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