Filing a New Insurance Certification for an Operator (OST Form 6410 or 6411)

See Also: Maintaining Insurance Policy Data; Creating, Copying, and Editing an Insurance Policy.

You can file a new initial registration or amendment on behalf of a domestic air carrier (operating under CFR 135) by using the Operator Summary screen. You start the process by selecting an operator filing using the Operator List or the Work Queue.

Note: During the process, you'll be using the OST Form 4507 content received from the operator representative, including the filing's aircraft list.

To Create a New Insurance Certification for an Operator:

  1. Open the Operator Summary screen for a Selected Operator Filing: Use either the Work Queue or Operator List to select an operator/filing and click the Open operator work space button to open the Operator Summary Screen:

 

  1. Using your Home Page or Home menu, click the Operator List link/item

    The system displays the Operator List screen and grid with the Open operator workspace button displayed above the grid.

  2. Use the Operator List screen to locate or search for an operator/filing’s list row. Use the grid’s Search fields and controls, displayed in the top row of the grid, to search for the desired operator.  See “Sorting and Navigating through a List Grid” and “Searching List Grids (Filtering a List)” for detailed procedures.

  3. Select the item’s row using the grid.

  4. Click the Open operator workspace command button displayed above the grid.

OR

  1. Using your Home Page or Home menu, click the Work Queue link/item.

  2. Use the Work Queue screen to open an operator filing in the Operator Summary screen.  eAIM provides three options to open an operator filing.

  1. Option 1:  Open the default operator filing using Work Queue grid:  Use the grid to locate or search the item’s grid row, select the item’s row, and click the Open operator workspace command button.

  2. Option 2:  Open specific operator filing using the Filings sub-grid:  Click the Expand Row button ( ▶), use the sub-grid to select the item’s grid row, and click the Open operator workspace command button.

  3. Option 3:  Open specific operator filing using a Filings sub-grid row’s Filing ID link:  Click the Expand Row button ( ▶), use the sub-grid to locate select the item’s grid row, and Click the row’s Filing ID link.

The system opens the Operator Summary screen with Operator Menu for the selected operator filing, displaying the Summary tab by default (If you used the Work Queue for access, the system will also assign you as the latest Reviewed By value).

  1. Insurance tab and Insurance Policy Screen: Click the Operator Summary screen’s Insurance tab and use the Insurance tabbed screen to open the Insurance Policy screen by selecting the New 6410/6411 function or the Copy 6410/6411 function.

    The Insurance tabbed screen displays the Policy List grid and a row of command buttons displayed above the grid allowing you to perform specific work functions using eAIM screens and dialog boxes.

  1. New 6410/6411: To create a new policy for the current operator, click the New 6410/6411 button which is located above the Policy List grid.

    The system displays either the New Insurance Policy window.

  2. Copy 6410/6411: To create a new insurance filing for the current operator by copying an existing filing:

    1. Locate and select the policy within the Policy List.

    2. Click the Copy 6410/11 button, located above the Policy List grid. If copying a filing that is not a draft, the system first displays the Copy OST Form 6410/11 message box with the message “Clicking OK will copy the selected form's information to start a new OST 6410/11 filing”.

    3. Click the OK button to continue the copy process.

    The system displays the Edit Insurance Policy window

  1. Insurance Policy window: When the system opens the appropriate version of the Insurance Policy window (New or Edit Insurance Policy), the system loads the screen field using existing operator data where applicable

    For example, on initial display, the window’s Air Carrier Type list box field displays a value for the operator.

  1. Air Carrier Type List Box: The Air Carrier Type list box allows selection of the Air Carrier Types that are valid for the U.S. or Foreign operator (Values for U.S. operator are U.S. Air Taxi Operator (under Part 298), or U.S. Commuter Air).  Note: If copying a policy, the Air Carrier Type value is prefilled and the list box is not activated when using the screen for a copy policy filing function (i.e., after clicking the Edit 6410/6411 button):

    1. If activated, use the Air Carrier Type list box to set the applicable value.  The list box contains values for the respective air carrier type (i.e., for U.S. or foreign air carriers)

      Air Carrier Type list box (Required):

      (a) Values for U.S. operators (6410 filing):  U.S. Air Taxi Operator (under Part 298), or U.S. Commuter Air.

      (b) Values for Foreign operators (6410 filing):  Foreign Air Carrier Operating Small Aircraft, Foreign Air Carrier Operating Large Aircraft, or Canadian Charter Air Carrier Operator (under Part 294)

      For a 6410 filing, the default Air Carrier Type prefilled value is typically “U.S. Air Taxi Operator (under part 298)”. For a foreign operator (6411 filing), the default field value is commonly “Foreign Air Carrier Operating Small Aircraft”.

  1. FAA HQ Contact list box: As directed by the displayed instruction text "Choose the FAA HQ Contact", you can use the list box to select the name of the FAA personnel who works with the operator.

    The system displays either the New Insurance Policy window. On initial display, the window’s Air Carrier Type list box field displays a value for the operator.  For a 6410 filing, the default selection is typically “U.S. Air Taxi Operator (under part 298)”.  For a foreign operator (6411 filing), the default field value is commonly “Foreign Air Carrier Operating Small Aircraft”.

  1. Insurer License field group: Use the field and controls of the Insurer License field group for data entry:

    1. Insurer License section:  Use the radio buttons in the Insurer License section to select the appropriate licensed/approved value for the air carrier:

      The Aircraft List employs the following formatting of list rows to indicate the source and status of the data for the listed aircraft:

      Use a radio button selection to indicate that “the insurer”:

      is licensed to issue aircraft insurance policies throughout the United States.

      OR

      is licensed or approved by a foreign government to issue aircraft insurance policies.

      OR

      is an approved surplus line insurer in one or more states.

      Once a radio button is selected, the system refreshes the screen to display the appropriate fields and controls.

      Selecting insurer “is licensed to issue aircraft insurance policies throughout the United States” retains the default screen fields and controls.

      Selecting insurer “is an approved surplus line insurer in one or more states” updates the screen to display the U.S. States list box:

      • States list box:  Use the list box to select one or more states for the air carrier’s operations

      Selecting insurer “is licensed or approved by a foreign government to issue aircraft insurance policies” updates the screen to display the Countries list box:

      • Countries list box:  Use the list box to select one or more countries for the air carrier’s operations.

  1. Insurance Company/Broker field group: Use the field and controls of the Insurer Company/Broker field group for data entry:

    1. Use the Insurance Company field and the Add Insurer or Update Insurer buttons as needed to enter the insurance company name for the filing.

      Note: While entering text into the Insurance Company field, the screen will display a list of potential insurance company names that match the entered data, allowing selection of a value.

      The Insurance Company field is filled in, and when applicable, the Insurance Co. Signer drop-down list is populated based on the specific insurance company name.

  1. To update the insurer:

    1. Click the Update Insurer button.

      The Update Insurance Company dialog box is displayed with the address information.

    2. Update the address from the Update Insurance Company dialog box, if needed.

    3. Click the Update button.

      The system retains the data and closes the Update Insurance Company dialog box, returning to display of the New Insurance Policy screen

  1. Use the Insurance Co. Signer list box field to select a personnel value.

    The name of personnel is displayed, and the Date Signed field is enabled for input.  In addition, if applicable, the Phone Number and Email fields are filled in based on the selected personnel, but the field is in read-only mode.

  1. Enter a Date Signed value for the form by entering a date (in “MM/DD/YYY” format) or by clicking the date field and the displayed Calendar control.

  1. Insurance Broker field group:  If needed, use the Insurance Broker field and the Add Broker or Update Broker buttons to enter the insurance broker company name for the filing.

    Note: While entering text into the Insurance Broker field, the screen will display a list of potential insurance broker company names that match the entered data, allowing selection of a value. The Broker Company field is filled in, and when applicable, the Broker Co. Signer drop-down list is populated based on the specific insurance company name

    1. Click the Update Broker button.

      The Update Broker Company dialog box is displayed with the address information.

    2. Update the address from the Update Broker Company dialog box, if needed.

    3. Click the Update button.

      The system closes the Update Broker Company dialog box and returns to display of the New Insurance Policy screen.

    4. From the Broker Co. Signer field, select a personnel from the drop-down list.

      The name of the personnel is displayed, and the Date Signed field is enabled for input.  Additionally, if applicable, the Phone Number and Email fields are filled in based on the selected personnel, but the field is in read-only mode.

    5. Enter a Date Signed value for the form by entering a date (in “MM/DD/YYY” format) or by clicking the date field and the displayed Calendar control.

  1. 6410/6411 Receipt Date and Policy Info field group:

  1. 6410/6411 Receipt Date:  Enter a 6410/6411 Receipt Date value for the form by entering a date (in “MM/DD/YYY” format) or by clicking the date field and the displayed Calendar control.

  1. Policy Info field group:  Enter and/or update Policy Info using the Policy Info field group as follows:

    • Effective Date:  Enter a value by entering a date (in “MM/DD/YYY” format) or by clicking the date field and the displayed Calendar control. The default value is the current date.

    • Coverage Type:  Valid values: Single Coverage, Combined Coverage.

    • Amount of Coverage:  The value must be greater than or equal to $100,000.

    • If you enter an amount less than $100,000, the system displays a message indicating that the Amount of Coverage cannot be less than $100,000

    Notes:  (1) When changing coverage type, any existing policy(s) for the current coverage type will get deleted. For combined coverage policies, the following notes are also displayed: (2) You may list multiple insurers (optional) when adding insurance policy(s).  (3) Amount of Coverage field accepts numeric values (0-9) only, no commas or decimal.

  1. Policy List: Build the Policy List to reflect the insurance policy data on the received OST Form 6410 or 6411 filing form.

    Onscreen Messages: The system will display red message text above the Policy List to indicate the policy data requirements for the current insurance filing. The grid allows you to review policy information and perform the Edit and Delete functions for each listed item:

  1. Adding a Policy:

    Note:  At least one policy must be added and assigned to your selected insurance company:

    1. Click the Add Policy button.

      The system displays the Add Policy dialog box.  Note: On the Add Policy dialog box, the Percentage field is set to 100 by default.

    2. Using the Add Policy dialog box, enter the following:

      • Insurer Name: Enter/select a valid insurance company name (Required).  Data Entry Validations:  The system performs validations for a missing or invalid value after you click the Add Policy dialog box’s Create button:  The system displays the message “Enter a valid Insurance Company Name” for an invalid or “Insurer Name is required” for a missing Insurer Name value.

      • Policy Number:  Enter the company-assigned insurance policy number.

      • Is Lead? check box:  For single policy coverage, or if adding the first policy for combine policy coverage, select the check box.

      • Percentage:  The Percentage field is set to 100 by default.  If editing, enter any value between 1 to 100 (in whole numbers only).  Data Entry Validations:  The system performs validations for a missing or invalid value after you click the Add Policy dialog box’s Create button, displaying an applicable error message(s):  If you enter a value above 100%, the system displays the message “Percentage can be only between 1 and 100”.  If you enter a value using decimals, the system displays the message “Invalid Percentage”.  For Single Policy Coverage: If you entered less than 100 in the Percentage field, the system displays the message “Total combined percentage is less than 100%”

    3. Click the Create button.

      The system updates the screen with the newly added policy.

    4. For Combined Coverage:  To add another policy for combined coverage, repeat the steps above.

  1. Editing a Listed Policy:

    1. Locate the policy to be edited within the Policy List.

    2. Click the Edit link located in the Policy List row's Action column.

      The system displays the Update Policy Info dialog box.

    3. Update Policy Information data entry:  Using the Add Policy dialog box, enter the data as needed:

      • Insurer Name:  Enter valid insurance company name (Required).  Data Entry Validations:  The system performs validations for a missing or invalid value after you click the Add Policy dialog box’s Create button:  The system displays the message “Enter a valid Insurance Company Name” for an invalid or “Insurer Name is required” for a missing Insurer Name value.

      • Policy Number:  Enter the company-provided insurance policy number.

      • Is Lead? check box:  For single policy coverage, or if adding the first policy for combine policy coverage, select the check box.

      • Percentage:  The Percentage field is set to 100 by default.  If editing, enter any value between 1 to 100 (in whole numbers only). Data Entry Validations:  The system performs validations for a missing or invalid value after you click the Add Policy dialog box’s Create button, displaying an applicable error message(s):  If you enter a value above 100%, the system displays the message “Percentage can be only between 1 and 100”.  If you enter a value using decimals, the system displays the message “Invalid Percentage”.  For Single Policy Coverage: If you entered less than 100 in the Percentage field, the system displays the message “Total combined percentage is less than 100%”

    4. Click the Update button.

      The system closes the dialog box and returns to the Insurance Policy screen, updating the row's data within the Policy List.

  1. Deleting a Listed Policy:

    1. Locate the policy to be deleted within the Policy List.

    2. Click the Delete link located in the Policy List row's Action column.

      The system displays a Confirmation message box.

    3. Click the OK button to complete the process (OR click Cancel to abort the process).

      The system removes the policy from the Policy List.

  1. Insured Aircraft List: Build the Insured Aircraft List to reflect the aircraft data on the received OST Form 6410 or 6411 filing form.

  1. Viewing the Insured Aircraft List

    1. Click the Aircraft button.

      The system opens the Insured Aircraft window.

    2. Insured Aircraft Operations: Select one of the radio buttons to indicate the insured aircraft being used for operations:

      • Operations conducted with all aircraft operated by the insured radio button:  Selecting the radio button labeled “Operations conducted with all aircraft operated by the insured” indicates that ALL the listed aircraft from the grid are automatically selected for 6410/11 processing (The check boxes to the left of the grid are not displayed).

        The system displays a grid that lists all aircraft associated with the operator, including: Manufacturer, Aircraft M/M/S, Registration Number, Insured Seats, and On OpSpecs?.

        The Actions column allows you to select the Edit or Delete functions for listed aircraft.

      • Operations conducted with specific aircraft types radio button:  Selecting the radio button labeled “Operations conducted with specific aircraft types radio button” indicates that the user will select the aircraft individually for 6410/11 processing.

  1. Adding Insured Aircraft to a Policy:

    1. Click the Add Aircraft heading/link (located at the bottom of the Insured Aircraft window).

      The screen area is expanded to display the Add Aircraft field group and the aircraft data fields/controls.

    2. Use the Add Aircraft field group’s fields/controls to enter aircraft data:

      • Manufacturer list box: Enter the manufacturer of the vehicle or use the field to search for a value by entering the characters of the manufacturer and then using the displayed list box to select a value (You may search using all or part of an aircraft Make/Model/Series value).

      • The system populates the Model list box values using the Manufacturer value.

      • Model list box:  Select the manufacturer’s type/brand of vehicle.

      • The system populates the lists for and Model-Series list box using the Model value.

      • Model-Series list box:  Select the Model-Series of vehicle (if applicable).

      • Registration Number:  Enter the aircraft’s Registration Number (N number).

      • Insured Seats:  Enter a valid number value for the insured seats of the vehicle (less than 999).

    3. Click the Add button.

      The system adds the Aircraft to the grid.

  1. Updating Insured Seats for Aircraft

    1. Click the Update Seats button.

      The system displays the Update Insured Seats dialog box.

    2. Use the fields and controls of the Updated Insured Seats dialog box to update the number of Insured Seats field.

    3. Click the Update button.

      The system closes the Updated Insured seats dialog box and the grid is updated.

  1. Removing Aircraft from a Policy

    1. Using the Insured Aircraft List, select an aircraft to be removed.

    2. Click the Delete link in the Actions column.

      The system displays a message box requesting that you confirm the deletion.

      Notes: (1) You must select at least one aircraft for a filing.  (2) The system will not allow the user to remove WebOPSS aircraft.

    3. Click the OK button.

      The system removes the aircraft from the Insured Aircraft List.

  1. Submit Filing: To complete creating the new insurance certification filing and submit it for processing, click the Save button located at the bottom of the screen. Note: You can also use the Process button to both submit and process (i.e. make final) the insurance certification filing.

    The system saves the submits the new filing for processing.

    Note: For an initial registration filing, you will be able to record filing fee payment information using the Review and Assess screen displayed when you click the Process button, located in the OST Form 4507 field group located at the bottom of the screen.

The system confirms that the Save action was successful by displaying red Form Saved message text on the screen.