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1. GENERAL

A. Generic Process. The general process for approval

or acceptance is an orderly method used by Flight Standards Aviation Safety Inspectors (ASIs) to ensure the regulatory compliance and aviation safety for the following: 

• Facility operations

• Aircarrier operations

• Programs 

• Documents

• Procedures or methods

• Systems

B. This generic process generally consists of five

related “phases.” The process can result in approving or not

approving, or accepting or not accepting a proposal. It is

important to understand that the process described in this

section is not all-inclusive, but rather a tool to be used with

good judgment in conducting day-to-day activities and

responsibilities.

3. PHASE ONE, PREAPPLICATION PHASE. The first

phase is initiated when an applicant for a certificate, certificate holder, operator, aviation interest, individual, or the

FAA inquires about or states a need for a change in some

aspect of an aviation activity. 

A. Applicant Initiation. The certificate applicant, certificate holder, operator, or individual conveys to the FAA a

need which is related to their activity or proposed activity.

This “need” may involve a requirement for FAA approval

or acceptance.

(1) For example, an operator may need, want, or be

required to have a Minimum Equipment List (MEL)

change. The operator initiates the process by inquiring

about the correct procedures to receive approval from the

FAA for the change. 

(2) During initial inquiries it is important for the

FAA and the applicant to become familiar with the subject

matter. If, for example, an operator requests an operational

approval, the ASI must: 

• Become thoroughly familiar with existing

FAA policy and approval requirements

• Become familiar with the appropriate

technical material

• Accurately assess the character and scope of

the proposal

• Determine if a demonstration is required

• Determine the need for any coordination

requirements

• Ensure that the operator has a clear

understanding of the minimum requirements

which constitute an acceptable submission

• Determine the date the operator intends to

implement the proposal

B. FAA Initiation. Phase one may also be initiated

when the FAA conveys to the operator, certificate holder, or

person a requirement related to their activity that must be

approved or accepted. The ASI should act in an advisory

capacity to the operator during the preparation of the submission. Such advice may include the following:

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• The need for a deviation, authorization,

waiver, or exemption

• The need for required demonstrations

• Clarification of Federal Aviation Regulations

or handbook information

• Sources of specific technical information

• Acceptable standards for submission

C. Responsibility for Development of Submission. An

element common to either an applicant or an FAA-initiated

action is the effort expended by the applicant in preparing

or developing a submission to be evaluated by the FAA.

However, it is essential for the applicant to have a clear understanding that although the ASI may provide advice and

guidance, the development of the final product submitted to

the FAA is solely the responsibility of the applicant.

D. Applicant-FAA Communication. In phase one, the

ASI must ensure that the operator clearly understands the

form, content, and documents required for the submission

to be acceptable to the FAA. The operator must be informed of the benefits of submitting required documents as

early as possible. The operator also must be made aware of

its responsibility to advise the FAA, in a timely manner, of

any significant changes in the proposal.

E. Phase One Illustration

(1) Phase one of the process is initiated by one of the

following:

• An operator inquiry or request made to the

FAA

• An FAA requirement for an operator to take

an action

(2) During phase one the following actions should

occur:

• The FAA and the operator develop an

understanding of the subject area

• The operator learns the form and content of

the documents required for an acceptable

submission

5. PHASE TWO. Phase two begins when the operator

formally submits a proposal for FAA evaluation. The request may be submitted in a variety of ways, e.g., registered

mail, hand-carried, etc. 

A. Initial Action. The ASI’s initial action, in phase two,

is to review the operator’s submission to ensure that the

proposal is clearly defined and that the documentation

specified in phase one has been provided. Furthermore, the

required information must be complete and detailed enough

to permit a thorough evaluation of the operator’s capability

and competence to fully satisfy the applicable regulations,

national policy, and safe operating practices. Phase two

does not include a detailed operational and technical evaluation or analysis of the submitted information (see phase

three). However, in phase two the submission must be examined to assess the completeness of the required information.

B. Submission Unsatisfactory. If the operator’s submission is not complete or the quality is obviously unacceptable, it must be returned immediately, with an explanation

of the deficiencies, before any further review and evaluation is conducted.

(1) Normally, an unacceptable submission should be

returned with a written explanation of the reasons for its

return.

(2) In many complex cases, a meeting with the operator’s key personnel may be necessary to resolve issues and

agree on a mutually acceptable solution. If mutual agreements cannot be reached, the ASI must terminate the meeting, inform the operator that the submission is

unacceptable, and return the submission.

(3) If all parties are able to reach agreement on measures to correct omissions or deficiencies, and the ASIs

(operations, maintenance, and avionics, as applicable)

determine that the submission is acceptable, the operator is

informed, and phase three begins.
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C. Status Reports. It is important for the ASI involved

to keep the operator advised of the status of the proposal.

If the ASI takes no other action, or if the submission is deficient and not returned in a timely manner, the applicant

may assume the FAA has tacitly accepted the submission

and is continuing with the process. Timeliness of action depends on the situation as well as ASI judgment. 

D. Phase Two Illustration

(1) Phase two of the process is illustrated as follows:

• Operator submits the proposal

• FAA makes an initial examination of the

documents for completeness with respect to

the requirements established in phase one

(2) As a result of phase two, one of the following

will occur:

• FAA accepts the submitted proposal

• FAA returns the submitted proposal

7. PHASE THREE

A. Detailed Analysis. Phase three is the FAA’s detailed

analysis, review, and evaluation of the operator’s proposal.

These actions may take place entirely within a field office,

at the site of operations, or at both facilities. In phase three,

the FAA evaluation is focused on the form, content, and

technical quality of the submitted proposal to ensure that

the information:

• Is not contrary to any applicable Federal

Aviation Regulations

• Is not contrary to the direction provided in

this handbook or other safety related

documents

• Provides for safe operating practices

B. Evaluation Criteria. Criteria for evaluating the formal submission is found in the applicable chapters of this

handbook. The ASI must ensure that the documents establish the operator’s capability and competence to conduct

operations safely in accordance with the submitted proposal.

C. Addressing Deficiencies. During phase three the ASI

must address any deficiencies in the submitted material in a

timely manner before proceeding to subsequent phases.

(1) Discussion with the operator may be sufficient to

resolve certain discrepancies or questions or to obtain additional information. It may also be necessary to return certain portions of the submission to the operator for specific

changes. However, when an ASI determines that, for specific reasons, the material is unacceptable, the ASI must

return the submission to the operator with an explanation

and immediately terminate the process.

(2) If the results of the evaluation are acceptable and

a demonstration is necessary, the ASI may need to grant

some form of conditional, initial, or provisional approval to

the proposal before continuing with the process.

D. Phase Four Planning. An important aspect of phase

three is for ASIs to begin planning the conduct of phase

four. While evaluating the operator’s formal submission,

ASIs should begin to formulate plans to observe and evaluate the operator’s ability to perform. These plans must be

finalized before the actual demonstrations.

E. Phase Three Illustration

(1) Phase three is illustrated as follows:

• FAA evaluates the formal submission for

compliance with the Federal Aviation

Regulations, compliance with the direction

provided in this handbook, and compliance

with other safety-related documents and safe

operating practices

• When results of FAA evaluation are

unsatisfactory, return of the submission to the

operator for correction and/or termination of

the phase
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• Begin planning of phase four (if required)

(2) As a result of phase three, one of the following

actions should be taken:

• When the results of the FAA evaluation are

satisfactory, proceed with phase four (if a

demonstration is required) and when

appropriate, grant conditional approval or

acceptance

• Proceed to phase five if a demonstration is not

required

9. PHASE FOUR

A. Observation and Evaluation of Demonstration. Phase

four is an operational evaluation of the operator’s ability to

function in accordance with the proposal evaluated in phase

three. Usually these demonstrations are required by regulation. Some examples include training programs, emergency

evacuation demonstration, external load class operational

tests, and Non-Destructive Inspection (NDI) tests.

B. Evaluation Criteria. Criteria and procedures for

evaluating an operator’s demonstrated ability are described

in applicable chapters of this handbook.

C. Handling Discrepancies. The ASI must plan for the

conduct and observation of the demonstration to include

such things as participants, evaluation criteria, and sequence of events. During these demonstrations it is normal

for minor discrepancies to occur. Discrepancies can often

be resolved during the demonstration by obtaining commitments from the responsible company officials.

(1) The ASI responsible for overseeing a demonstration must evaluate each discrepancy in terms of its overall

impact on the operator’s ability and competence to conduct

the proposed operation.

(2) The ASI must stop the phase four demonstration

when deficiencies or unacceptable levels of competency

are observed. The ASI must either identify the

phase of the general process to which the applicant must

return or decide to terminate the process entirely. For example, if an emergency evacuation demonstration is unsatisfactory because of equipment failure (a slide fails to

inflate), it may be appropriate to require the operator to

reenter the process at phase four and conduct another demonstration. However, if the demonstration is unacceptable

because crewmembers were unable to perform their

assigned duties, it may be appropriate to advise the operator

that the process is terminated and to submit a new proposal.

D. Acceptable Demonstration. If the FAA evaluation of

the operator’s demonstrated ability is acceptable, the process continues. An operator will not, under any circumstances, be authorized or otherwise approved to conduct

any particular operation until all airworthiness and operations requirements are met and the operator is clearly capable of conducting a safe operation in compliance with FAA

regulations and safe operating practices.

E. Phase Four Illustration

(1) Phase four of the process is illustrated as follows:

• FAA observes the demonstration

• Operator demonstrates ability

(2) As a result of phase four, one of the following

will occur:

• Demonstration is satisfactory

• Demonstration is unsatisfactory

11. PHASE FIVE

A. Approval or Acceptance. In phase five, the FAA approves or accepts the operator’s proposal. If the proposal is

not approved or accepted, the operator is notified in phase

three or four.

B. Indicating Approval. Approval is granted by letter, a

stamp of approval, the issuance of operations specifications, or

some other official means of conveying approval. Each

chapter of Volume 2, which discusses a requirement

for 
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approval, provides specific guidance concerning approval

procedures and documentation.

C. Acceptances. Other proposals, submissions, or requests not requiring specific FAA approval, but are required to be submitted to the FAA, are items that are

presented for acceptance. Acceptance of an operator’s proposal may be accomplished by various means, including a

letter, verbal acceptance, or by taking no action, which indicates there is no FAA objection to the proposal. Methods

and procedures used to accept operator proposals or submissions, when appropriate, are discussed in the applicable

chapters of this handbook.

D. Conditional Approval or Acceptance. Sometimes

FAA approval or acceptance of an operator’s proposal may

be conditional in nature. For example, a training program

may be initially approved, provided the simulator to be

used in that program receive approval from the National

Simulator Evaluation Team.

E. Phase Five Illustration

(1) As a result of Phase five, one of the following

will occur: 

• FAA approves submission

• FAA accepts submission