Federal Aviation

Administration What is SAS?

What is the FAA 

Safety Assurance 

System (SAS)?

An Overview for Certificate 

Holders and Applicants (CH/As)
Federal Aviation

Administration What is SAS?

Introduction

This presentation is intended to provide Certificate Holders and Applicants 

(CH/As) with basic overview information about the Federal Aviation 

Administration (FAA) Safety Assurance System (SAS).

This overview presentation is not intended to serve as training for SAS, but 

rather to supplement other materials available to CH/As about SAS and the 

SAS External Portal.

To help you learn more, links to additional resources, such as online SAS 

External Portal Training and the SAS External Portal User Guide, are 

provided on the Resources slide at the end of this presentation.

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Federal Aviation

Administration What is SAS?

Contents 

• What is SAS?

• Safety Attributes

• Focus Areas

• SAS Oversight Model

• External Portal 

• Resources

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Federal Aviation

Administration What is SAS?

What is SAS?

• The Safety Assurance System (SAS) is the FAA’s oversight tool to perform 

certification, surveillance, and Continued Operational Safety (COS) 

• Oversight is a function performed by the FAA to assure the highest level 

of safety in National Airspace System (NAS) by verifying that an aviation 

organization or designee complies with and uses safety-related 

standards, regulations, and associated procedures

• SAS includes policy, processes, and associated software the FAA Flight 

Standards Service (FS) uses to capture data when conducting oversight 

• SAS was developed to satisfy the Safety Assurance component of the FAA 

FS internal Safety Management Systems (SMS) 

• SAS is not a separate safety standard

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

What does SAS do?

The Safety Assurance System:

• Standardizes the work being accomplished across FS

• Improves consistency and collaboration between FAA and industry

• Helps FAA Aviation Safety Inspectors (ASIs) determine risk-based, datasupported oversight decisions

• Determines hazard identification and risk assessment strategies to 

formulate surveillance plans and where to focus FAA resources

• Provides the standardized protocols to evaluate whether Certificate 

Holder operations are in compliance with regulations

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Administration What is SAS?

SAS Regulations and Requirements

SAS is based on:

• Statutory Authority

• Regulatory Authority

• System Safety

• System Attributes

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Administration What is SAS?

Statutory Authority

Title 49 of the United States Code (49 U.S.C.) provides the statutory 

authority to the FAA for SAS. This consists of:

• Title 49, Section 44701: Promote safety by adhering to the 

FAA-prescribed minimum standards required in the interest of safety

• Title 49, Section 44702: Issuance of Certificates (highest level of 

safety - 14 CFR part 121/135)

• Title 49, Section 44705: Air Carrier Operating Certificates (demonstrated 

to conduct 14 CFR part 121/135 operations)

• Title 49, Section 44707: Examining and Rating Air Agencies (flight 

stations, repair stations and air agencies)

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Administration What is SAS?

Regulatory Authority

Title 14 of the Code of Federal Regulations (14 CFR) provides the regulatory 

authority for SAS.

SAS was implemented to standardize the oversight of Title 14 of the Code 

of Federal Regulations 14 CFR parts 121 and 135 air operators and 141, 142, 

145, and 147 air agencies. Additional 14 CFR parts will be added to SAS in 

future phases of SAS implementation.

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Administration What is SAS?

System Safety

System Safety is recognized by the FAA and industry as a valuable 

component in identifying hazards and managing risk to an acceptable level.

The goal of System Safety is to:

• Optimize safety by identifying hazards and managing the associated risk

• Eliminate or control associated risks through design and performance 

oversight

SAS meets these System Safety goals.

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Administration What is SAS?

Safety Attributes

Procedures Controls

Interfaces Process 

Measurement

Responsibility Authority

Safety 

Ownership

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
Federal Aviation

Administration What is SAS?

Safety Attributes: Procedures

Procedures Controls

Interfaces Process 

Measurement

Responsibility Authority

Safety 

Ownership

Procedures

Methods or practices that 

are written or unwritten, 

regulatory or nonregulatory, 

designed into a process that 

a Certificate Holder or 

Applicant uses to 

accomplish a desired result.

Note: Unwritten methods 

refer to Certificate Holders 

or Applicants that are not 

required by regulation to 

have documented 

procedures.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Safety Attributes: Controls

Procedures Controls

Interfaces Process 

Measurement

Responsibility Authority

Safety 

Ownership

Controls

The checks and restraints 

that exist within a process 

that ensure the potential 

effects of risks are reduced 

to an acceptable level.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Safety Attributes: Interfaces

Procedures Controls

Interfaces Process 

Measurement

Responsibility Authority

Safety 

Ownership

Interfaces

Interactions between 

processes that must be 

managed in order to ensure 

desired outcomes.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Safety Attributes: Process Measurement

Procedures Controls

Interfaces Process 

Measurement

Responsibility Authority

Safety 

Ownership

Process Measurement

A method to monitor and 

measure the outputs and 

performance of a process, 

and to identify problems, or 

potential problems, in order 

to take corrective action.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Safety Attributes: Responsibility 

Procedures Controls

Interfaces Process 

Measurement

Responsibility Authority

Safety 

Ownership

Responsibility 

A clearly identified 

individual who is 

accountable for ensuring 

financial and human 

resources to ensure the 

safety and quality 

performance of the 

Certificate Holder.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Safety Attributes: Authority 

Procedures Controls

Interfaces Process 

Measurement

Responsibility Authority

Safety 

Ownership

Authority 

A clearly identifiable, 

qualified, and 

knowledgeable person who 

effectively plans, directs, 

and controls resources; 

changes procedures; and 

makes key determinations 

including safety risk 

acceptance decisions.

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Administration What is SAS?

Safety Attributes: Safety Ownership

Procedures Controls

Interfaces Process 

Measurement

Responsibility Authority

Safety 

Ownership

Safety Ownership 

An individual’s 

understanding of how his or 

her role contributes to the 

overall safety of the 

organization.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

SAS Focus Areas

SAS supports three focus areas:

• Initial Certification

• Continued Operational Safety (COS)

• Assurance Support

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Administration What is SAS?

Initial Certification

The FAA certifies and authorizes Applicants to conduct business in a 

manner which complies with all: 

• Applicable Regulations

• FAA Policy

• FAA Guidance

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Continued Operational Safety (COS)

Surveillance and certificate management:

• Ensures Certificate Holder's compliance with US Code Title 49 and Title 

14 of the Code of Federal Regulations (CFR) and ability to operate safely

• Verifies proposed changes to Certificate Holder’s operating practices

• Ensures the Certificate Holder or Applicant identifies and resolves any 

safety concerns by application of risk management principles

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Assurance Support

Oversight planning, resource management and SAS management including 

the following:

• Work to be performed

• Resources required to perform oversight

• Gathering and analysis of safety data through National Safety Analysis (NSA)

• Continual process improvements

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

FAA Responsibilities 

The FAA will:

• Verify that an Applicant can operate safely and is compliant with the 

regulations and standards before issuing a certificate and approving or 

accepting programs

• Conduct reviews to verify a Certificate Holder continues to meet 

regulatory requirements when the environment changes

• Validate the performance of a Certificate Holder’s approved and 

accepted programs for the purpose of Continued Operational 

Safety (COS)

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Certificate Holder Responsibilities 

The Certificate Holder will:

• Ensure their employees are trained and competent

• Comply with not only written requirements, but also the intent of the 

regulations discussed in the Preamble of the Rule

• Provide their services with the highest possible degree of safety in the 

public interest (14 CFR parts 121/135)

• Promote safety by adhering to the FAA-prescribed minimum standards 

required in the interest of safety (14 CFR parts 141, 142, 145, and 147)

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

SAS Oversight Model

• Currently 14 CFR parts 121, 

135, 141, 142, 145, and 147 

oversight has been 

integrated into SAS

• Active Certificate Holders 

(CH) and Applicants (A) for 

new 14 CFR part certificates 

interact with SAS through the 

SAS External Portal in 

Module 1 and Module 4

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Configuration Module (Module 1)

• Certificate Holders access 

Configuration Information to 

view and initiate requests for 

new or changed scope of 

operations

• Applicants access 

Configuration Information to 

enter initial data for their 

proposed scope of 

operations

• This Configuration 

Information is used to 

finalize the Certificate Holder 

Operating Profile (CHOP)

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Planning (Module 2)

• In this module the FAA 

Principal Inspector (PI)or 

Training Center Program 

Manager (TCPM) identifies 

Certificate Holder risk and 

follow-up action through the 

use of the Certificate Holder 

Assessment Tool (CHAT)

• The PI reviews, adjusts, and 

validates the 

Comprehensive Assessment 

Plan (CAP), a risk-based, 

data-supported surveillance 

plan

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Resource Management (Module 3)

In this module, the FAA Office 

Management assigns FAA 

resources and concurs with the 

PI’s surveillance plan (CAP).

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Data Collection (Module 4)

• The PI’s scheduled 

surveillance/oversight plan 

(CAP) is made up of 

Assessments scoped by the 

CHOP. Data is collected for 

these Assessments through 

the use of Data Collection 

Tools (DCTs)

• DCTs are based on: 

– Federal Aviation Regulations

– OPSS Authorizing Documents

– FS Policy and Guidance

– Advisory Circulars

– Safety Attributes 

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Data Collection Tools (DCTs)

DCTs are used to collect data needed for the evaluation of the performance 

or design of the Certificate Holder or Applicant

• Performance DCTs are used by ASIs when conducting an inspection or 

observation of a Certificate Holder or Applicant

• Design DCTs are used during surveillance and certificate management to 

ensure processes and procedures

• For initial certification, design DCTs are used to validate Initial 

Certification programs

• Certificate Holders may be asked to complete design DCTs during the 

approval process of a Configuration Change Request

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Scoped Data Collection Tools 

• Configuration Data consists of Operations Specifications and Vitals Data

• Scoping occurs resulting in scoped design/performance DCTs for each 

Certificate Holder or Applicant based on the Configuration Data, Training 

Specifications, and OPSS Authorizing Documents

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Administration What is SAS?

Types of Data Collection Tools 

• Element Design DCTs (ED DCTs)

• System/Subsystem Performance DCTs (SP DCTs)

• Element Performance DCTs (EP DCTs)

• Custom DCTs

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Element Design Data Collection Tool (ED DCT)

• Reviews/validates the Certificate Holder or Applicant’s design of 

systems for processes and procedures either written or unwritten

• Conducted by a single Aviation Safety Inspector or a team of inspectors

• Completed and submitted by the Certificate Holders or Applicants

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

System/Subsystem Performance Data Collection Tool 

(SP DCT)

• Questions are at a high “overview” level

• Observation of performance – assess Certificate Holder’s or Applicant’s 

processes or procedures 

• Scheduled on a recurring basis

• Conducted by a single Aviation Safety Inspector or a team of inspectors

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Element Performance Data Collection Tool (EP DCT)

• Observation of performance – validate Certificate Holder or Applicant’s 

(CH/As) processes or procedures

• Data Collection Tool at the level of most detail

• Conducted by a single Aviation Safety Inspector or a team of inspectors

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Custom DCTs

Custom DCTs are created for focused inspections. Some of the examples of 

the focused inspections for Custom DCTs are:

• National/Divisional including:

– Maintenance Provider

– Repair Station Outside U.S.

– Safety Management System (SMS)

• Principal Inspectors (PIs)

• En Route

• Random

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Data Collection Process

• The Certificate Holder can view scoped DCTs in their Operating Profile 

(CHOP) through the SAS External Portal

• The PI can send ED DCTs for completion by the Certificate Holder 

through the SAS External Portal

• Applicants can generate and complete ED DCTs based on their proposed 

Operating Profile to submit to the FAA Certification Project Manager 

(CPM). Applicants can submit ED DCTs only after a CPM is assigned to 

their Certification Project

• Data is collected, recorded in SAS, and then reviewed by the FAA Data 

Quality Reviewer

Once the Data Collection process is completed, the DCT data is available to 

the PIs or CPM for Analysis, Assessment, and Action (AAA) in Module 5.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

Analysis, Assessment, and Action (AAA) (Module 5)

The PI/CPM reviews the data 

collected and assesses the 

associated risk. The PI/CPM 

determines any follow-up action 

to be taken.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

What is the SAS External Portal?

The SAS External Portal is an important component of the FAA Safety 

Assurance System. It is a free, secure, web-based application that allows for 

more direct, streamlined, and timely communication between Certificate 

Holders or Applicants and the FAA. 

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

How Does the SAS External Portal Benefit Applicants?

The SAS External Portal allows Applicants to:

• Submit Preapplication Information

• Provide details on the size, type, and scope of 

operations they want to perform

• Generate, complete, and submit scoped ED DCTs

to make the certification process more efficient 

and timely

• Submit documentation electronically and view 

FAA responses

• Exchange timely information with the FAA through 

the use of the SAS External Portal messaging system

• Coordinate Schedule of Events with FAA personnel

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

How Does the SAS External Portal Benefit Certificate 

Holders?

The SAS External Portal allows Certificate Holders to:

• Submit Configuration Change Requests

• View, complete, and submit PI-generated scoped 

ED DCTs

• Submit documentation electronically and view 

FAA responses

• Exchange timely information with the FAA 

through the use of the SAS External Portal 

messaging system

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

SAS External Portal Information Guide

The SAS External Portal Information 

Guide provides online resources 

including Step-by-Step Guides, Quick 

Reference Cards (Q-Cards), Video 

Demonstrations, and other helpful 

resource materials.

To access the SAS External Portal 

Information Guide, click here to open it 

in a new tab or window (Chrome 

preferred), or:

• Click on the link on sas.faa.gov

• Load from FSIMS directly 

Please consider bookmarking this site 

for future reference.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

SAS External Portal Step-by-Step Guides

The SAS External Portal Information 

Guide includes Step-by-Step Guides 

for in-depth walkthroughs of the 

processes.

It is imperative to follow the process 

steps in the applicable Step-by-Step 

Guide when signing up for and using 

the SAS External Portal.

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What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources
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Administration What is SAS?

System Use Notice

• Every time a user opens SAS, they agree to the System Use Notice 

before they can proceed

• It is very important that every SAS user reads and understands this 

notice because improper use can result in disciplinary action and 

possible civil or criminal penalties

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Administration What is SAS?

Resources

Below are additional resources that can be used by Certificate Holders and 

Applicants (CH/As) to learn more about SAS and the SAS External Portal.

These resources are available on the Flight Standards Information 

Management System (FSIMS):

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Resource Description

Safety Assurance System (SAS) 

External Portal Training

This approximately 2-hour web-based training (WBT) offers external stakeholders a 

high-level overview of SAS and how the external portal fits within SAS.

SAS External Portal The SAS External Portal is a free, secure, web-based application that allows current 

CH/As operating under 14 CFR parts 121, 135, 141, 142, 145, and 147 a means to 

communicate directly with local Flight Standards District Offices (FSDO) or 

Certificate Management Offices (CMO).

SAS External Portal User Guide The SAS External Portal User Guide presents conceptual, procedural, and reference 

information for SAS External Portal users. 

SAS External Portal 

Information Guide

The SAS External Portal Information Guide is a one-stop-shop where CH/As can 

access resources for the SAS External Portal. Contents include: Step-by-Step Guides, 

Quick Reference Cards (Q-Cards), Video Demonstrations, and SAS Information.

SAS Release Notes for the 

External Portal

These release notes provide a summary of changes to existing functionality and 

defects corrected by SAS releases.

Back to 

Introduction

What is SAS? Safety Attributes Focus Areas SAS Oversight Model External Portal Resources