Appendix 1 to Chapter 4

Appendix 1 to Chapter 4

ADVISORY PAMPHLET (AP)

Subject:CERTIFICATION OF AN AIR OPERATOR according to EU – OPS orJAR – OPS 3 Subpart C, and Aerial Work - CR No 309

1 Purpose

This Advisory Pamphlet (AP) describes the process of applying for and obtaining an Air Operator Certificate (AOC) to conduct commercial air transport operations under EU - OPS or JAR-OPS 3 Subpart C or Aerial Work operations under CR 309. The certification process may appear to be a complex undertaking, particularly to a “first-time” operator. This AP provides basic information applicable to the certification process.

Because there are a variety of acceptable methods for preparing manuals, including training manuals, a detailed discussion of acceptable methods for preparing these documents is not in this AP. Operators will be briefed in as much detail as necessary regarding the preparation of manuals and other required documents during meetings with CAA personnel. The information in this AP and the introduction to the specific regulations in this AP will assist the operator in completing the process with minimal delays and complications.

2 Description of the process for applying and for obtaining an AOC

There are five phases in the air operator certification process. Each phase is described in sufficient detail to provide a general understanding of the entire certification process. The five phases are:

• Pre-application
• Formal Application
• Document Evaluation
• Demonstration and Inspection
• Certification

Prospective operator should contact the Aircraft Operations Division (AOD) and inform of its intent to apply for an AOC. The prospective operator will be invited to meet briefly with involved LV CAA Divisions’ management personnel. During this initial meeting, only basic information and general certification requirements in the areas of flight operations, maintenance, training and ground operations will be discussed. If the prospective operator intends to proceed with certification, Form of Prospective Operators Pre-assessment Statement (POPS) APP 4.2 will be furnished. The POPS should be completed, signed by the Accountable Manager, and returned to the AOD.

2.1 Initial inquiry and CAA response

The pre-application phase commences with the applicant making an initial inquiry by letter, telephone call or personal visit to the CAA.

The applicant will be advised to thoroughly review the specific regulations, requirements and advisory materials and will be providedwith guidance concerning personnel, facilities, equipment and technical data requirements and an explanation of the certification process, in a standard information package for applicants for an AOC. Any other EASA AMC, CS, GM and safety directives, CAA initiatives or advisory material necessary for the certification process should also be provided.

The prospective operator’s pre-assessment statement should be completed by the applicant.

The purpose of the prospective operator’s pre-assessment statement is to establish the intent of the applicant to continue with the process for certification and to thus enable the Director of CAA to commit resources and plan the certification process.

2.2 CAA action on receipt of a completed prospective operator’s pre-assessment statement

On receipt of a completed POPS the Director of CAA will appoint a project manager (PM) and a certification team consisting of appropriately qualified operations and airworthiness inspectors.

The CAA certification team will conduct a review of the applicant’s pre-assessment statement and,if the information provided is considered acceptable, the project manager will schedule a pre-application meeting with the applicant.

2.3 Pre-application meeting

The purpose of the pre-application meeting is to confirm the information in the pre-assessment statement, to determine whether or not the applicant has sufficient knowledge of the appropriate regulations and requirements and to confirm, for the applicant, the expectations of the CAA.

The pre-application meeting should be attended by the CAA project manager, certification team and the key management personnel of the applicant. The applicant should be prepared to discuss, in general terms, all aspects of the proposed operations, including the responsibilities and authority for the management of all ground handling functions, organisation and methods to exercise operational control. If applicant intends to employ flight operations officer/flight dispatcher in conjunction with a method of Operational Control, training for these personnel, including ground instructors training should be based on relevant parts of ICAO Doc 7192 D3 and specified national regulations. Training on human performance relevant to dispatch duties should include principles of threat and error management.

The applicant should be provided with an overview of the certification process and made aware that the pre-application phase will include a parallel assessment of the financial, economic and legal status of the applicant and the proposed operation. The determination of the financial resources of the applicant should be based on an audit of the operator’s assets and liabilities and a thorough evaluation of all financial information and other pertinent data such as proposed arrangements for the purchase or lease of aircraft and major equipment.

Aspects that should therefore be considered are: sufficient financial resources; routes structure and aircraft appropriate to the proposed operation; an intended level of service that meets a need or demand and is in the public interest; the proposed operation is in accordance with bilateral or multilateral air transport agreements relating to traffic rights, frequencies, capacity, routes, etc., to which the State is a party; and the availability of traffic studies or other data indicating that the proposed operation should be economically successful.

An application information package will be delivered at the pre-application meeting.

The application information package should include:

• POPS form APP 4.2, if not previously provided;
• Advisory Pamphlet APP 4.1, if not previously provided;
• AOC Certification Job Aid and Schedule of Events form APP 4.3;
• Flight safety documents system checklist ATT 4.6;
• Statement of compliance form APP 4.6;
• Sample Operations Specifications with Submissions which require the CAA specific Approvals: STD User, TRTO, Instructor Lists, Examiner Authorizations, Cabin Crew Training Organization, AWO, MEL, ETOPS, Leasing, RVSM, MNPS/RNP/PRNAV, Maintenance system, Dangerous Goods,HEMS,Submissions must include, where relevant, the associated qualification requirements and training programmes;

• Other publications or documents that the PM considers appropriate (i.e., job/aid on cabin safety/base inspections).

Subsequent to the pre-application meeting the certification team will evaluate the results of the meeting. If the certification team considers that the applicant is not ready to make a formal application, applicant should be advised on further preparation and another pre-application meeting scheduled or, alternatively, the applicant may be advised to withdraw the intent to apply for certification.

Should the certification team establish that the information provided in the pre-application statement is satisfactory, and that the applicant has a clear understanding of the certification process, then the applicant should be invited to prepare and proceed with a formal application.

2.4 Formal applicationpackage

In making the technical findings of compliance with the requirements of:Regulation (EC) No 216/2008, OPS Subpart C, JAR-OPS 3 Subpart C, or Aerial Work - CR No 309, the CAA will ensure that an application for an AOC is made in a form and manner acceptable to the CAA at least 90 days before the start of operations. The formal application for certification should be an application form APP 4.4 and a letter with attachments containing the information required by the CAA,comprising a formal application package. The development of the application and the attached documents should be coordinated with the CAA certification team subsequent to the pre-application meeting.

The application should be signed by the applicant’s accountable manager and should contain at least the following information:

a)a statement that the application serves as a formal application for an AOC;

b)the name and address of the applicant;

c)the location and address of the applicant’s principal place of business and the main base of operations;

d)a description of the applicant’s business organization and corporate structure and names and addresses of those entities and individuals having a major financial interest;

e)the name and address of the applicant’s legal representative;

f)the identity of key management personnel;

g)the nature of the proposed operations – passenger/cargo/mail/aerial work, day or night, VFR or IFR, whether or not dangerous goods are to be transported; and

h)the desired date for the operation to commence.

The attachments which need to accompany the formal application are:

a)the identification of the operation specifications sought, with information on how associated conditions will be met;

b)the schedule of events in the certification process with appropriate events addressed and target dates;

c)an initial statement of compliance or detailed description of how the applicant intends to show compliance with EU-OPS or JAR-OPS 3 Subpart C requirements;

d)the management structure and key staff members including titles, names, backgrounds, qualifications and experience, with regulatory requirements satisfied;

e)the details of the safety management system;

f)a list of designated destination and alternate aerodromes for scheduled services, areas of operation for non-scheduled services and bases for operations, as appropriate to the intended operations;

g)a list of aircraft to be operated;

h)documents of purchase, leases, contracts or letters of intent;

i)arrangements for crew and ground personnel training and qualification and the facilities and equipment required and available;

j)the operations manual;

k)the operator’s continuing airworthiness management organization exposition and maintenance programme(s);

l)details of the method of control and supervision of operations to be used; and

m)the status of the assessment of financial, economic and legal matters by the appropriate government department;

n)undertaking registration certificate

2.4.1 Identification of operations specifications sought

Requirements for and guidance on the operations specifications are provided in Annex 6/I Appendix 6,Annex 6/III Appendix 3. The applicant should identify the desired operations specifications appropriate to the intended operation, from the standard operations specifications provided at the pre-assessment meeting. These desired operations specifications will include the applicant’s intended authorizations, conditions and limitations specific to the aircraft type, or types, and to the proposed operations and will form the basis for the operations specifications that will ultimately be issued in association with the air operator certificate.

2.4.2 Schedule of events

The schedule of events is a key document that lists items, activities, programs, aircraft and facility acquisitions that should be made ready for the CAA inspection before certification. The schedule should include items according to form APP 4.3. The dates should be logical in sequence and provide time for CAAreview, inspection and approval of each item. The overall plan is to be kept under constant review tomaintain control of the certification process.

Note. — Data from reliable analytical methods or from demonstrations by other operators can be used in the emergency evacuation or ditching demonstrations.

2.4.3 Initial Statement of Compliance

Form APP 4.6 should provide acceptable information on compliance with EU-OPS/JAR-OPS 3 Subpart C, ICAO, EASA, IATA or another Authorities’ requirements applicable to the proposed operation. Each requirement should be identified and accompanied by a brief description, or preferably a specific reference, to a manual or other document.

The brief description or reference must describe the method of compliance for each requirement listed. If the precise method of compliance has not been developed at thetime of formal application, an indication of the date that this information will be provided will suffice, if thedate provided is reasonable, and acceptable to the CAA.

This statement also serves as a master index to the applicant's manual system to expedite the CAA review and approval of the operation and manual system. The statement of compliance is an important source document during the certification process. After the certification process is completed, the statement of compliance should be kept current as changes are incorporated in the applicant's system.

2.4.4 Management structure and key staff members

The management organisation function is the safe conduct of air operations. The operator shall comply with the standards set through putting in place a sound and competent management structure. The responsibilities of management related to OPS rules should include at least the following five main functions:

a)Determination of the operator’s flight safety policy;

b)Allocation of responsibilities and duties and issuing instructions to individuals, sufficient for implementation of company policy and the maintenance of safety standards;

c)Monitoring of flight safety standards;

d)Recording and analysis of any deviations from company standards and ensuring corrective action;

e)Evaluating the safety record of the company in order to avoid the development of undesirable trends.

The post holder shall posses the appropriate experience and licensing requirements to be competent to share the responsibilities as shown above. It may be possible to obtain a deviation from the qualifications and experience requirements, depending on the complexity of the planned operation. Individuals assigned to the required management positions are expected to satisfy OPS or JAR-OPS 3 1.035/3.035, 1.175(h)/3.175(h), ACJ OPS 1.175(i)/3.175(i) requirements. This attachment must contain resumes of the qualifications, licenses (including license numbers), ratings, and aviation experience for each of the following positions, or their equivalent:

(i)Accountable Manager (Chief Executive Officer or General Manager)

(ii)Post holder Flight Operations, or Senior Officer of Flying Operations

(iii)Post holder Crew training (Chief Pilot)

(iv)Post holder Maintenance system

(v)Post holder Ground operations

(vi)Quality Manager

If a deviation from the management requirements is anticipated, it should be noted in the formal application letter. The actual request for deviation, however, must be made in a separate petition, which presents specific justification. This request for a deviation should be made to the CAA as soon as practical to enable the individual who will hold the position to be involved early in the certification process.

2.4.5 Safety management system

The details of the applicant’s safety management system should include:the safety policy; safety organization; safety assessments; occurrence reporting; hazard identification; riskassessment and risk management; event investigation and analysis; performance monitoring; safetypromotion; and safety assurance.

Note. — Guidance on safety management systems is contained in the Safety Management Manual (SMM) (Doc 9859), Appendix 3.8 of ISM-O.

2.4.6 Aerodromes and areas

A list should be provided of the destination and alternate aerodromes designated for proposed scheduled operations and areas of operation for non-scheduled operations.

2.4.7 Aircraft to be operated

A list of the aircraft to be operated should be provided, with the make, model, series and the nationality and registration marks for each aircraft and details of the origin and source for each aircraft, if these details are known. It is possible that the details for individual aircraft may not yet be available, in which case, evidence should be provided as described below.

2.4.8 Documents of purchase, leases, contractsor letters of intent

Documents of purchase, leases,contracts or letters of intent should provide evidence that the applicant is actively procuring aircraft,facilities and services appropriate to the operation proposed. If formal contracts are not completed, lettersor other documents showing preliminary agreements or intent should be provided. These documentsshould relate to: aircraft; station facilities and services; weather reporting; communications facilities;maintenance; aeronautical charts and publications; aerodrome analysis and obstruction data; andoutsourced training and training facilities.

2.4.9 Crew and ground personnel training and required facilities

Details of the facilities required andavailable for training company personnel and of the training programme with dates for commencement and completion of the initial programme. Training will include: human performance; threat and errormanagement; the transport of dangerous goods; and security. Specific attention should be paid, withrespect to crew members, to: company procedures indoctrination; emergency equipment drills; aircraftground training; flight simulators and other flight simulation training devices; and aircraft flight training.All these aspects should cover both initial and recurrent training.

Note. - Certain training program elements may not be fully developed at the time of formal application. The company initial training curriculum portion of the Training Manual (completed to the extent possible) should be attached to the formal application letter or form. Initial training curricula shall include at least the following curricula segments:

• Operator’s Conversion Course;
• Initial Operator’s Crew Resource Management (CRM) training;
• Recurrent training and checking;
• Initial training for cabin crew members.

Training syllabi and checking programmes for all operations personnel assigned to operational duties, e.g. aircraft crew, flight operations officers/flight dispatchers (including ground instructors), load control staff,aircraft loading/servicing staff, cargo/mail handling staff, passenger handling/baggage handling staff, and airside personnel, should be established and completed to the extent possible, according to EU-OPS or JAR-OPS 3 Subparts E, N, O, R, S, ICAO Doc 7192 D3, IATA AHM, and national requirements.

2.4.10 Operations Manuals

OPS rules require these manuals to include instructions and information necessary to permit flight, ground, and contract personnel to perform their duties and responsibilities with a high degree of safety. OPS or JAR-OPS 3 Subpart C, including the Section 2 – Acceptable Means of Compliance and Interpretative/Explanatory Material (AMC & IEM), TGL 44 prescribe the content of these manuals. The entire manual system, as required by OPS or JAR-OPS 3 Subpart P, shall be completely developed at the time of formal application. What is required is for the Operations Manual to prescribe how the operator will comply with the requirements.

2.4.11 Continuing airworthiness management organization exposition