VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION

applicant knowledge, the process must be thorough enough and flexible enough to apply to all possibilities. 3.1.1.7. PHASE ONE - PRE-APPLICATION. Initial inquiries about or requests for an application may come from individuals or organizations. An initial meeting between GACA personnel and the applicant will then be scheduled. The meeting may be conducted physically or virtually at the applicant discretion. A. Initial Inquiry. During the initial meeting, the applicant will usually have specific questions about the certificate requirements. 1) The Inspector should explain to the applicant all appropriate requirements and discuss pertinent parts of the GACARs. In addition, the Inspector should direct the applicant to the applicable department for further handling e.g. Civil Aviation Tariffs, GACA Economic Regulations and GACA Security Regulations. 2) At this point, the Inspector should determine if the applicant is sufficiently aware of the certification requirements and access the experience level of the applicant to determine how formal the process must be. If the applicant wishes to continue with the process, the Inspector may provide the applicant with a copy of the Pre-Application Statement of Intent (PASI), to fill out and return for review. 3) In addition to the PASI, it is recommended that applicants submit a letter, detailing the operation they wish to undertake, the equipment they have available, the facilities they plan to use, pilot qualifications if applicable, and the approximate date when they plan to begin operation. 4) The scope of the proposed operation (e.g., a large number of complex aircraft) may also require that the applicant (or representative) come to the GACA office for a pre-application meeting in addition to submitting a PASI. If there is any question about the need for such a meeting, the Inspector should consult with the Office Manager. 5) An applicant who is already familiar with the certification process (i.e., an individual who has worked for a certificated air operator and/or aviation organization and wishes to start a similar business) may simply submit a completed application form during the initial EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 4 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 contact with the GACA office. The applicant may present the application in person along with any manuals and other documents that might be required. This will usually occur only when the applicant’s operation is of limited complexity. B. Certification Team Assignment. The GACA Office Manager will assign sufficient Inspectors to a certification team. One team member will be designated as a Certification Project Manager (CPM). The CPM will not only coordinate certification matters with the applicant, but will also ensure that the applicable GACA office management is kept fully informed of the project’s current status (e.g., during staff meetings). Team members must strive at all times to maintain a professional and responsive relationship with the applicant. From the time of its appointment, the certification team handles all matters pertaining to the applicant, regardless of whom the applicant initially contacted. 1) CPM Qualifications, Duties and Responsibilities. For appointment as a CPM, experience as a Principal Inspector (PI) is desirable. However, other Inspectors are acceptable depending on the situation and at the discretion of the GACA Office Manager. The duties and responsibilities of the CPM include the following: a) The CPM coordinates certification matters with the applicant and ensures that the Office Manager is kept fully informed of the project's current status. b) The CPM serves as the primary contact with the applicant. The CPM ensures each certification task is completed in an acceptable and timely manner and that all certification matters are thoroughly coordinated with each team member. c) The CPM schedules and conducts pre-application and formal application meetings with the applicant. d) The CPM notifies Supervisors and the Office Manager of any information that may significantly impact or delay certification. Periodic meetings will ensure everyone concerned is kept informed of the status of the certification. If the CPM cannot attend a scheduled meeting, the CPM appoints a team member to act as CPM. 2) Team Member Responsibilities. Each team member will respond to requests for assistance made by the CPM and keep the CPM appraised of the status of the certification. Anything that may delay certification must be brought to the attention of the CPM immediately. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 5 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 C. Pre-Application Meeting. After being assigned to the project, the CPM shall contact the applicant to arrange a pre-application meeting as soon as practicable. 1) The meeting should include, but not be limited to, the following: • A review of the PASI to verify that all information is complete and accurate • A review of applicable GACAR parts (and how to obtain them, if not already accomplished) • A review and discussion of the certification procedures to ensure that the applicant understands what is expected • A review of what is required on the application and what attachments will be submitted with the application ( see Paragraph 3.1.1.9 below) • Provision of a certification job aid to the applicant (as applicable) • An indication of which Inspectors will conduct specific aspects of the certification 2) Operator certification tasks throughout Volume 3 provide guidance on pre-application meetings for the different types of air operator or service providers. D. Terminating the Pre-Application Phase. The Pre-Application Phase ends when the certification team is satisfied that the applicant is prepared to proceed with formal application. If the applicant is not ready, the team should advise the applicant of the problems and work with the applicant to arrive at solutions or terminate the certification process. 3.1.1.9. FORMAL APPLICATION PACKAGE. At the pre-application meeting, the form, content, and documents required for formal application are discussed. An applicant’s presentation of an application package and the GACA’s review of that package are considered to be the Formal Application Phase. A. Formal Application Letter. The formal application must be in letter format and must contain the following: 1) The full and official name of the applicant. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 6 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 2) A statement that the document is a formal application. 3) The applicant’s mailing address and the physical address of the applicant’s intended primary operating location. 4) For an air operator applicant, the full name and address of the agent (designated person who has signature authority) for service (if, as applicable). 5) The names of key management personnel, e.g., Accountable Executive, General Manager, Director of Operations, Director of Maintenance, Chief Pilot, Chief Inspector, etc. as applicable. 6) The signatures of the following, as applicable: • The owner, when applying as an individual • Each partner, when applying as a partnership • An authorized officer, when applying as an organization, such as a company or corporation B. Formal Application Attachments. In addition to a formal application letter, the formal application package consists of (as applicable): • Documentation that the applicant has or can obtain use of an aircraft and appropriate facilities • Any partial or complete manuals • Curricula or personnel training programs • Management Resumes • Letters of Intent and Contracts • Compliance Statement • A schedule of events (see Sub-paragraph “C” below) EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 7 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 1) Company Manuals. The company manual contains information about the applicant’s organization, general policies, duties, responsibilities, operational control policy, and procedures. This attachment may be comprised of one or more manuals or sections of manuals. a) When the formal application is submitted, the manual must show compliance with the applicable GACAR sections and paragraphs. b) Team members must ensure that all required material is shown on the Schedule of Events and that adequate time is allowed for review. c) The applicant should be encouraged to provide a table of contents. 2) Initial Company Training Curriculum. a) At the time of formal application, some training program elements may not be fully developed. The projected date of submission for training course curriculums must be in the Schedule of Events. A draft of the initial company training curriculum, as complete as possible, must be attached to the formal application. b) The initial company training curriculum must include basic, initial and emergency training (if applicable). c) Curriculum for training maintenance personnel may be included as part of the operator’s manual (if applicable). 3) Management Resumes. Include resumes showing the qualifications, certificates, ratings, and experience of persons selected for the following, or equivalent, positions (as applicable): • Accountable Executive • Director of Operations • Director of Maintenance • Director of Safety / Management Representative EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 8 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Chief Pilot • Chief Inspector NOTE: For additional guidance regarding key management personnel, see GACA eBook Volume 2 (SMS) and Volume 3, Chapters 3 (GACAR Part 121), Chapter 4 (GACAR Part 125) and Chapter 5 (GACAR Part 133). 4) Documents of Purchase, Contracts, and/or Letters of Intent. a) These documents and/or letters show the applicant is committed to making arrangements for aircraft, supporting facilities, and services necessary for the proposed operation. Proof of formal purchase, lease, or contractual arrangement is acceptable. If formal arrangements have not been completed, letters showing preliminary agreements will suffice until formal contracts are available. However, formal agreements must be finalized in sufficient time for the GACA to evaluate before certification. b) If the applicant does not plan to make purchases or develop services until after submitting the formal application, a statement of intent is acceptable. However, such arrangements must be completed sufficiently in advance of certification for GACA evaluation. c) The following types of equipment, facilities, and services are to be addressed in these documents, contracts, or letters: • Aircraft • Station facilities and services • Weather and Notice to Airmen (NOTAM) gathering facilities and services • Communications facilities and services • Maintenance facilities and services • Aeronautical charts and related publications EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 9 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Aerodrome analysis and obstruction data • Contract training or facilities 5) Initial Compliance Statement. The initial compliance statement ensures that all applicable regulatory aspects are appropriately addressed during the certification process. The compliance statement lists each GACAR regulation pertinent to the proposed operation. The applicant must describe their proposed compliance methods alongside each applicable regulation. A brief narrative or a specific reference to a manual or other document is required. Where necessary, the applicant should indicate that the information will be provided in the final compliance statement. C. Schedule of Events. It is up to the certification team to determine if the applicant’s proposed operation warrants a schedule of events. 1) The Schedule of Events lists documents, activities, and acquisitions required for certification. Each item is accompanied by the applicant’s best estimate of the date that the item will be submitted, acquired, and/or ready for inspection. a) The number and types of events and activities that occur during certification vary according to the operation proposed. The Schedule of Events must list each document to be submitted, the activity to be performed, and the item to be inspected. The schedule must provide the GACA a reasonable amount of time for the review and acceptance or approval of each item or event. b) The Schedule of Events is intended to encourage an applicant to submit material well in advance of the date operations are proposed to begin. If, however, the application is submitted with only the minimum lead time required by the regulation, complete documents (such as maintenance manuals) may be required at the time of formal application. NOTE: Final certification could be delayed if the applicant fails to accomplish an item or event in a satisfactory manner or in accordance with the Schedule of Events. In addition, delays may be caused by the need to correct deficiencies in documents, such as manuals or maintenance/inspection programs. D. Receipt of Formal Application Package. On receipt of the formal application package, the EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 10 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 applicant will be informed that the GACA needs a specific period of time to review it. Discussions of its acceptability should be avoided at this time. The applicant should be advised that further discussion will not be productive until the certification team has reviewed the formal application. The applicant should be advised that the certification team will contact them as soon as practical concerning the application package’s acceptability and to arrange for a formal application meeting. A formal application meeting is arranged only if the team determines there is a need for the meeting. 3.1.1.11. PHASE TWO – FORMAL APPLICATION. The location of the formal application meeting will be determined by the GACA. During this meeting, the certification team and the applicant review the application package and resolve any discrepancies. A. Initial Review of Formal Application. The initial review of the formal application takes place before the formal application meeting is scheduled. This review verifies that required documents have been submitted. The review also ensures that the material submitted represents a feasible proposal and is of sufficient quality to continue the certification process. B. Reviewing the Schedule of Events. The Schedule of Events sets dates for accomplishing or submitting the listed items. When reviewing the Schedule of Events, the CPM/team must consider carefully the feasibility of the proposed schedule with respect to the logic of sequence, timeliness of events, completeness of events and Inspector availability. 1) The team must ensure that the proposed Schedule of Events has the proper sequence. 2) The Schedule of Events must be reasonable, realistic, and provide sufficient time for the certification team to review various documents, manuals, and proposals. 3) The team must ensure that the Schedule of Events is complete. Each required manual, document, event, and activity must be listed, including the submission date for the final compliance statement. 4) The availability of personnel may affect the Schedule of Events. The CPM must determine that qualified Inspectors will be available to assist the team in conducting the extensive manual review. The CPM must also determine the need for and availability of resources other than GACA Safety and Air Transport (S&AT). C. Determination of Acceptability. The decision to accept or reject the formal application is EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 11 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 based primarily on the initial review of the formal application and attachments. Results from informal meetings, reviews, and observations of the applicant’s capabilities should supplement the decision making process. 1) Acceptance of the Formal Application. After the formal application meeting, the CPM and the certification team make a final determination of acceptability. Generally, if the formal application meeting is concluded without significant disagreements, it should be considered successful and result in an acceptable formal application. During the meeting, all discrepancies or omissions in submitted materials must be resolved. When the certification team accepts the application package, the Formal Application Phase of the certification process ends, and the Document Compliance Phase begins. 2) Rejection of the Formal Application. The absence of required information in the application letter and/or the absence of one or more of the required attachments require automatic rejection of the formal application. If the application is rejected before the meeting, it must be returned with a letter of explanation. a) Rejection of an application is a sensitive issue since the applicant may have already expended funds and resources. It is important for the team to document thoroughly the reasons for the rejection. The reasons should clearly indicate that to proceed with the certification process would not be productive unless the applicant is willing to make the team’s suggested corrections. b) Reasons for rejection might include lack of agreement on appropriate courses of action or evidence that the applicant does not understand regulatory requirements and the certification process. In the event of rejection, the application and documents submitted are returned to the applicant with a letter of rejection. 3.1.1.13. PHASE THREE - DOCUMENT COMPLIANCE. The document compliance phase is that part of the certification process where the applicant’s manuals and other documents are reviewed and either approved or rejected. Each document is reviewed in depth to ensure compliance with applicable regulations and conformity to safe operating practices. The initial compliance statement directs the Inspector to the location in the applicant’s manuals where a compliance procedure is described. The Schedule of Events determines the priority of items to be reviewed. The certification team usually conducts this phase in the GACA office. A. Approval or Acceptance of Documents and/or Programs. During the Document EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 12 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Compliance Phase of the certification process, attached documents and/or programs are approved or accepted. After initial certification, revisions or amendments to these documents may also be submitted for approval or acceptance. The team must determine which of these are approved and which are accepted. 1) Documents and/or programs that require GACA approval are specifically listed in the regulations. Other documents and/or programs are accepted; however, not all other documents have to be accepted. The following are examples of approvals granted by the GACA: • All weather terminal operations • Training programs • Minimum Equipment List (MEL) • Cockpit checklist • Company Aircraft Operating Manual (limitations, performance, and operating procedures) 2) Documents and/or programs submitted for acceptance should relate to areas which are safety related or in which the GACA has a significant interest. 3) Some documents and/or programs submitted for approval or acceptance may require coordination with other organizations within the GACA e.g. Economic Authority, Security, etc. 4) Operating manuals may require approval (or coordination) by several divisions within the SS&AT(e.g. flight operations and airworthiness). The CPM must ensure that all appropriate approvals have been obtained before certification. 5) It may be necessary to approve a document in segments or indicate initial approval pending other required events. An initial approval should not continue for an extended period of time. The CPM should establish a plan to evaluate deficiencies and document reasons for not granting final approval. B. Approval Documentation. When all requirements and standards have been met, the operator EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 13 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 should be notified that the documents have been approved. The CPM indicates approval. C. Acceptance Documentation. Documents that are submitted for acceptance by an operator or applicant are accepted with a letter of confirmation from the CPM. D. Revisions or Amendments. When an approved or accepted document is revised or amended, only that portion affected by the proposed change needs to be evaluated, provided there is no effect on other portions or other documents. E. Required Documents. The required documents vary with the type of certificate applied for. F. Unacceptable Documents. If any of the documents are unacceptable, they are returned to the applicant. The team sends the applicant a letter of rejection stating the reasons for rejection and recommendations for obtaining approval. H. Completing the Document Compliance Phase. When required documents are approved or accepted, the Document Compliance Phase is completed. The certification process continues in the Demonstration and Inspection Phase. The Document Compliance Phase and the Demonstration and Inspection Phase may overlap. 3.1.1.15. PHASE FOUR - DEMONSTRATION AND INSPECTION. In the Demonstration and Inspection Phase, the certification team inspects the applicant’s facilities and equipment and observes personnel in the performance of their duties. Emphasis in this phase is on compliance with regulations and safe operating practices. A. Regulatory Compliance. During the evaluation, the team shall determine the applicant's ability to comply with all applicable sections of the regulations. B. Determination of Approval or Disapproval. Throughout the demonstration and inspection phase, the team ensures that all aspects of the applicant’s required demonstrations are observed and that a determination of approval or disapproval for each is made. C. Handling Deficiencies. If the applicant’s activities or other items are deficient, appropriate corrective action must be taken. If the deficiencies cannot be corrected, the team should advise the applicant that it is impractical to continue the certification process. D. Unsatisfactory Demonstration. If a demonstration of compliance is unsatisfactory, the EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 14 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 certification team must discuss with the applicant how to correct the problem. Re-inspection should be scheduled as necessary. The team may follow-up with a letter indicating the nature of the failure and its corrective action. Deficiencies must be corrected before the process can continue. E. Satisfactory Demonstrations. If the applicant’s demonstrations are satisfactory, the certification team issues appropriate documentation. F. Terminating the Demonstration and Inspection Phase. When all demonstrations are satisfactorily completed, the Demonstration and Inspection Phase is ended, and the applicant is ready for issuance of the certificate. 3.1.1.17. PHASE FIVE - CERTIFICATION. A. Obtaining Certificate Numbers, Designators and ICAO Identifiers. The CPM is responsible for ensuring that certificate numbers or aviation organization designators are issued (see Section 2 below, for further guidance). In addition, International Civil Aviation Organization (ICAO) identifier (if applicable) guidance may be found in Volume 3, Chapter 2, Section 3, Company Designators and Call Signs. B. Preparation of Certificate. The applicable certificate is prepared for signature. The person authorized to sign the certificate (e.g. the Assistant Vice President or other delegated official) is defined in the GACA SS&AT Delegation of Authority document. The newly certificated operator must not conduct any operations until the certificate is issued. In addition, the CPM must ensure that all applicable fees and charges have been paid and that evidence of payment has been received from the GACA Fees & Charges department. Certificates may not be released to the applicant until all fees and charges have been confirmed as having been paid. 1) The operator may elect to pick up the certificate from the GACA office in person, or it may be mailed to an address the operator specifies (see Section 3 below, for further guidance). C. Operations Specifications (OpSpecs) and Other Authorizations. After determining that the applicant has met all regulatory requirements, the applicant receives the applicable OpSpecs and/or Authorizations. D. Certification Report. The team is responsible for assembling a Certification Report. The report should include the following, as applicable: EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 15 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Type of certificate issued • Name and address of certificate holder • Certification Number or Designator • CPM/Team Member names • Application date and certification date • Company description • Summary of difficulties, if any, encountered during the certification process • Any future surveillance recommendations E. Certification File. The certification file shall include (as applicable): • A copy of the PASI or Letter of Intent • A copy of the application • A copy of the certificate • A copy of any manuals or approved curricula • A copy of the completed certification job aid • Evidence of fee payment • A copy of the operations specifications (OpSpecs) • A summary of any difficulties encountered during any phase of the certification or recommendations for items requiring future surveillance • Copies of leases, agreements, and contracts • Compliance Statement EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 16 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Any correspondence between the applicant and the GACA • Certification Report F. Post Certification Surveillance Plan. After the applicant is certificated, the certification team establishes a post certification surveillance plan using the GACA surveillance planning guidelines. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 17 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 THE VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION CHAPTER 1. GENERIC CERTIFICATION PROCESS FOR AIR OPERATORS AND AIR AGENCIES Section 2. GACA Certificate Numbers and Service Provider Designators 3.1.2.1. OBJECTIVE. This task results in issuance of an appropriate certificate number and designator. 3.1.2.3. GENERAL. The General Authority of Civil Aviation (GACA), Aviation Operations Safety System (AOSS) manages and controls all certificate numbers and designators. The numbering system provides a standardized format, a multitude of possible numbers, and a central location for assigning, storing, and retrieving information. 3.1.2.5. CERTIFICATE/DESIGNATOR NUMBER CONSTRUCTION. GACA utilizes an alpha numeric numbering system in the AOSS for operator and service provider identification. The scheme allows for an unlimited number of certificate identifiers. Imbedded in the certificate identifier will be the International Civil Aviation Organization (ICAO) assigned identifier, if assigned, two alpha characters specifying the type of certificate, and a series of three numbers assigned by the computer. Entities not having an assigned ICAO identifier should use three letters associated with the company name, as long as they are not in use by an active certificate. These three letters are referred to as the service provider “designator”. See Table 3.1.2.2, Element Codes for Types of Certificates and Operations, for a list of element codes based on GACAR and type of operation. NOTE: See Volume 3, Chapter 2, Section 3, Company Designators and Call Signs, for information about obtaining International Civil Aviation Organization (ICAO) company designators and telephony designators (call signs). A. Elements of a Certificate/Designator Number. The certificate/designator number has three (3) elements as follows: 1) “ICAO Identifier” element 2) “Certificate Type” element 3) “Numeric” element EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 18 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 B. Element Descriptions. The certificate/designator number elements are described as follows: 1) Element 1, the “ICAO Identifier” element, is a three letter or three character designation. 2) Element 2, the “Certificate Type” element code, identifies the type of certificate and/or the applicable operating regulation specified. 3) Element 3, the “Numeric” element, provides up to 999 unique number combinations for each type of certificate/designation (001 to 999). C. Example of Elements in a Number. An example of a certificate/designator number using these three elements would be SVA AC 001 (without dashes SVAAC001). This number, divided into its three elements, is illustrated below in Table 3.1.2.1. Table 3.1.2.1. Example of Certificate/Designator Number Elements 3.1.2.7. RESTRICTIONS AND PROVISIONS FOR CERTIFICATE/DESIGNATION NUMBER CONSTRUCTION. In the assignment of certificate numbers, the following provisions and restrictions apply: A. The complete identification number (all eight characters), as assigned to an organization, will never be reassigned to another organization. B. The AOSS will associate a final invisible alpha character reflecting the certificate status, e.g. active, precertification, terminated, revoked, etc. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 19 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Table 3.1.2.2. Element Codes for Types of Certificates and Operations EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 20 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 THE VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION CHAPTER 1. GENERIC CERTIFICATION PROCESS FOR AIR OPERATORS AND AIR AGENCIES Section 3. Preparation of General Authority of Civil Aviation (GACA) Certificates 3.1.3.1. REQUIRED CERTIFICATE INFORMATION. The following information will need to be entered into the Aviation Operations Safety System (AOSS) system in order to electronically generate a certificate. A. Legal Name. The certificate holder’s legal name. B. Additional Business Names for Air Agencies. Air Agencies may use any additional business names listed on the certificate below the legal name. 1) The acronym “DBA” (doing business as) precedes the additional business name. 2) The certificate holder will provide evidence of the applicable governmental authorization of all business names. 3) The General Authority of Civil Aviation (GACA) should not restrict the number of DBAs used by a certificate holder. Should there be insufficient space on the certificate to accommodate all DBAs, the legal name and address should appear on the certificate with a notation to see an accompanying letter for a list of DBAs. C. Additional Business Names for Air Operators and Operators Certificated Under GACAR Part 119. For Part 121, 125 and 135 certificates, DBA names will be added to the operator’s Operations Specifications (OpSpecs) and not to the actual certificate. D. Address of Principal Base. The address of the certificate holder’s principal base of operations. A post office box address is not acceptable unless it also reflects the physical location of the principal base of operations. E. Certificate Number. The certificate/designator number generated through AOSS. F. Effective Date and Expiration Date. The effective date that all the requirements for EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 21 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 certification were completed. The expiration date when the certificate is no longer valid. G. Signature/Title. After the data is entered into the AOSS, a paper copy of the certificate will be generated. The properly delegated GACA official then signs the certificate and provides a copy to the operator. 3.1.3.3. CHANGE OF NAME. A change of the certificate holder’s legal name requires the issuance of a new certificate and certificate number. However, this is not required for a change to a DBA. A. Legal Authorization. The certificate holder must provide evidence that the appropriate government (as applicable) authorized the change of legal name. The aviation safety inspector (Inspector) must ensure that the certificate holder is not using the name change to circumvent initial certification requirements. B. Sole Proprietor. Do not treat a sole proprietor, who incorporates under KSA law, as a name change only. This “new” person must meet all the initial certification requirements of the GACARs for a new operator in order to receive the applicable certificate. However, the certification process, in this case, may not be as detailed as usual. 3.1.3.5. INTERNATIONAL CIVIL AVIATION ORGANIZATION (ICAO) STANDARDIZED, CERTIFIED TRUE COPY OF THE AIR OPERATOR CERTIFICATE (AOC) AND OPERATION SPECIFICATIONS. A. ICAO Annex 6 Requirements. ICAO Annex 6 requires air operators to carry onboard their aircraft a standardized “certified true copy” of their AOCs and associated operations specifications when operating internationally. B. GACA Role. To enable certificate holders to fulfill this ICAO requirement, the GACA will have an ICAO standardized Air Operator Certificate (AOC) and OpSpec summary available in the AOSS. These templates will be preloaded with most of the data contained in the AOC and OpSpecs from operator data already maintained in the system. This standardized ICAO AOC and OpSpec summary is in addition to the GACA AOC and full set of OpSpecs. Operators must carry this ICAO AOC and OpSpec summary onboard their aircraft at all times. 3.1.3.7. TASK OUTCOME. Completion of this task results in the issuance of a final certificate number for a GACA Air Operator, Operator or Air Agency. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 22 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 3.1.3.9. FUTURE ACTIVITIES. See specific certification chapters in Volume 3 of this handbook. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 23 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 VOLUME 3. AIR OPERATOR & AIR AGENCY – CERTIFICATION CHAPTER 2. GENERAL CERTIFICATION INFORMATION FOR AIR OPERATORS Section 1. General Information 3.2.1.1. PURPOSE. This chapter provides general information for the certification of applicants under the General Authority of Civil Aviation Regulations (GACARs) Part 121, 125, or 135. This chapter contains the following sections: NOTE: The term “Applicant” will be used for all individuals/entities wishing to obtain approval to operate under the GACARs listed above. A. Section 1. Contains a brief description of GACAR Part 119, and how it interfaces with GACAR Parts 121, 125 and 135. In addition, this section addresses definitions specific to certification and the certification process for all applicable GACAR Parts. B. Section 2. Provides direction and guidance for the issuance of air operator certificates (GACAR Parts 121 & 135) and operator certificates (GACAR Part 125), and the applicable regulatory requirements for both commercial and non-commercial operators. C. Section 3. This section contains guidance for obtaining International Civil Aviation Organization (ICAO) company designators and telephony designators (call signs) for those operators who request or are required to obtain designators. 3.2.1.3. GACAR PART 119 BACKGROUND. A. GACAR Part 119. GACAR Part 119 Certification: Saudi Arabian Commercial and Non-Commercial Operators, establishes the certification requirements an operator must meet in order to obtain and hold a certificate authorizing operations under GACAR Parts 121, 125, or 135. It contains the following provisions: 1) Operations Specifications (OpSpecs) for each kind of operation to be conducted. 2) Requirements for leasing of aircraft (e.g. dry or wet leasing). 3) Emergency operations common to Parts 121, 125 and 135. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 24 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Figure 3.2.1.1 provides a high level overview of how the different GACAR Parts that relate to air operations are organized according to whether the operations are commercial or non-commercial, scheduled or unscheduled and whether the operations involve transport category aircraft, commuter category airplanes or aircraft type certificated in other categories. Figure 3.2.1.1 Applicable Operating Rules for Kinds of Operations 3.2.1.5. DEFINITIONS. Definitions pertaining to both commercial air operators and non-commercial operators’ certification and are found in GACAR Part 1, Definitions and Abbreviations. 3.2.1.7. THE CERTIFICATION PROCESS. The applicable chapters of Volume 3 describe the processes that both the applicant and the GACA must undergo to ensure that the applicant complies EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 25 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 with all certification and operational requirements before certificate issuance or approval. The processes are designed so that an applicant’s programs, systems, and intended methods of compliance are thoroughly reviewed, evaluated, and tested. The processes, once completed, provide reasonable assurance that the applicant’s infrastructure (programs, methods, and systems) will result in continued compliance. These processes consist of phases and gates that are individually described in the applicable chapter guidance. The descriptions of the document compliance phase and the demonstration and inspection phase do not provide detailed discussions of what constitutes acceptable or approvable programs, systems, or methods. Instead, these discussions present the types of activities that take place during these phases and emphasize the planning of required work functions. Detailed discussions on specific subject matter such as: manuals, record keeping systems, training programs, and proving tests are found in Volumes 4, 5, 6, and 12 of this handbook. A. Job Aids. There are basic organizational job aids and/or schedule of events checklists available (as applicable) in chapters of this volume. These aids should be used to assist in planning work functions during a certification process and as a checklist for items or events as they are accomplished. The schedule of events is designed to allow the applicant to provide a best estimate of when an event or item will occur or be ready for GACA inspection. Space is provided for the GACA to record revisions to the applicant’s estimates or to record when the event or item actually occurred. B. Process Overview. The flow chart at the end of the applicable chapters provides an overview of the certification process. Simultaneous use of the flow chart and narrative discussion will assist the Inspector in understanding the process. The chart is particularly useful in determining whether the “Schedule of Events” is reasonable in terms of sequence, timeliness, and Inspector resource availability. It also provides a perspective on how a particular event affects other events and is an important reference for planning various activities during the certification process. 3.2.1.9. CHANGES TO CERTIFICATE OR OPERATING AUTHORITY. Volume 4, Chapter 4 provides direction and guidance on processing changes to an operator’s certificate or operating authority. These changes can occur as a result of: • Major Changes in Operating Authority • Amendment, Surrender, Suspension, Revocation, and Replacement of Operating Certificates EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 26 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Mergers and Acquisitions 3.2.1.11. GACAR PART 129, OPERATIONS: FOREIGN AIR CARRIERS. The GACA does not issue certificates to foreign air carriers. However, GACAR § 129.11, requires foreign air carriers operating to the Kingdom of Saudi Arabia (KSA) to obtain GACA issued authorizing documents. Volume 10 provides direction and guidance on the issuance and management of foreign air carrier authorizations and contains information on a GACA Inspector’s authority and responsibilities with respect to foreign air carriers. 3.2.1.13. CITIZENSHIP. GACAR § 119.37 requires a commercial operator to be a citizen of the KSA. In addition, the operator must maintain a principal base of operations in the KSA, and obtain an Air Operator Certificate (AOC). A citizen of the KSA means: • An individual who is a citizen of the KSA • A partnership of which each member is such an individual • A corporation or association created or organized under the laws of the KSA NOTE: The GACA SS&AT Air Transport Department has the responsibility to determine compliance with the above sited citizenship requirements. 3.2.1.15. ENVIRONMENTAL ASSESSMENTS. Applicants need to ensure that they have obtained all of the necessary KSA environmental authorizations. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 27 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 THE VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION CHAPTER 2. GENERAL CERTIFICATION INFORMATION FOR AIR OPERATORS Section 2. Types of Certificates, Kinds of Operations and Economic Authority 3.2.2.1. PURPOSE. This section provides direction and guidance for the issuance of air operator certificates and operating certificates. 3.2.2.3. KINDS OF OPERATIONS. General Authority of Civil Aviation Regulation (GACAR) Part 119 consolidates the certification and operations specifications (OpSpecs) required for persons who operate under: A. GACAR Part 121. *GACAR Part 121, Commercial Operations with the following categories of aircraft: • Transport Category Airplanes • Transport Category Rotorcraft • Commuter Category Airplanes B. GACAR Part 135. *GACAR Part 135, Commercial Operations with the following categories of aircraft: • Other than Transport Category Airplanes • Other than Transport Category Rotorcraft • Other than Commuter Category Airplanes * The above kinds of operations include: scheduled or unscheduled, and passenger- carrying or all-cargo. C. GACAR Part 125. GACAR Part 125, Non-Commercial Operations with the following Saudi Arabia-registered aircraft: • Transport Category Airplanes EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 28 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Transport Category Rotorcraft • Commuter Category Airplanes • Turbojets D. Determination of Aircraft Category. To determine the category in which an aircraft was type certificated, refer to the Federal Aviation Administration (FAA) type certificate data sheet (TCDS). On every FAA TCDS the aircraft certification category is always listed in the first line that identifies the aircraft model. E. Aerial Work Operations. Aerial work operations (commercial and non-commercial) are a special type of air operations and the operators who perform these operations are not certificated under GACAR Part 119. Instead they are certificated and regulated under GACAR Part 133 See Volume 3, Chapter 5 for further details on certification of aerial work operators. F. Flight Training. Pilot schools certificated under GACAR Part 141 and training centers certificated under GACAR Part 142 that operate transport category aircraft, commuter category airplanes or turbojets must operate these aircraft under GACAR Parts 121 or 125. Flight training operations using all other aircraft are permitted under GACAR Part 91. G. GACAR Part 91. All other operations of Saudi Arabia registered aircraft in which persons or cargo are transported without compensation or hire are conducted under GACAR Part 91 and do not require the issuance of an operating certificate. 3.2.2.5. TYPES OF CERTIFICATES UNDER GACAR PART 119. There are two types of certificates issued to applicants who wish to receive a certificate under GACAR Part 119: A. An Air Operator Certificate (AOC). This certificate is issued to applicants that plan to conduct commercial operations. B. An Operating Certificate (OC). This certificate is issued to applicants that plan to conduct non-commercial operations. 3.2.2.7. ECONOMIC AUTHORITY. The provisions of the General Authority of Civil Aviation (GACA) Air Transport Regulations (formerly called the Economic Regulations) apply to any person EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 29 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 desiring to provide scheduled or unscheduled air transportation services as specified within GACAR Part 119, within the Kingdom of Saudi Arabia (KSA) or between points in the KSA and an international destination. Economic authority is granted in accordance with the GACA Air Transport Regulations found on the GACA website at: http://www.gaca.gov.sa. NOTE: It should be noted that the GACA Air Transport Regulations definitions and terminology are not identical to those contained in GACAR Part 119. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 30 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 THE VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION CHAPTER 2. GENERAL CERTIFICATION INFORMATION FOR AIR OPERATORS Section 3. Company Designators and Call Signs 3.2.3.1. GENERAL. This section contains information, direction, and guidance to be used by aviation safety inspectors (Inspectors) when obtaining International Civil Aviation Organization (ICAO) company designators and telephony designators (call signs) for those operators who request or are required to obtain designators. Designators are used by commercial operators for Air Traffic Services (ATS) operations. Designators are also used in the aeronautical fixed telecommunications network (AFTN) system for identification, communication, and billing purposes. The AFTN system is an integrated, international system of aeronautical fixed circuits. The AFTN system provides the exchange of messages and flight plans between aeronautical and fixed stations within the network. The designators are assigned when the General Authority of Civil Aviation (GACA) determines that designators are advantageous and operationally appropriate to the Kingdom of Saudi Arabia (KSA) ATS system. A company designator and a telephony designator are assigned as a unit. The four types of designators are entitled and described as follows: • The company designator (ICAO three-letter designator) • The telephony designator (call sign) • The special telephony designator (special handling) • The local telephony designator (local visual flight rules (VFR) operations only) A. The Company Designator (ICAO Three-Letter Designator). The ICAO company designator is a three-letter designator. The flight number serves as the aircraft identification in the ATS system. The designator serves as the aircraft identification for the ATS system in several situations. The authorized three-letter designator and flight/trip number are used instead of the aircraft registration number and may be used for the international telecommunications service when its use is advantageous for ATS and operational purposes. The company designator may be used to expedite the exchange of written and computerized air carrier information in both the domestic and international ATS system to access the stored flight plan program and provide ATS with a quick and accurate means of visual recognition. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 31 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 B. The Telephony Designator (Call Sign). The telephony designator call sign is usually assigned at the same time as the ICAO three-letter designator, and the call sign becomes the aircraft identification for air and ground communications with air traffic personnel. Usually, the company name or a pronounceable abbreviation of the company name is used in combination with ATS facilities and operating services. An example is “Saudia 411.” This designator replaces the standard “type/tail number” combination such as Beechcraft 398J. The telephony designator should be phonetically pronounceable in at least the English, French, or Spanish language. The name of the aircraft company, operating authority, or servicing organization should resemble the telephony designator, and the designator should not consist of more than two words and three syllables. An advantage of using telephony designators is the reduction of on line noise distractions that create similar sounding telephony designator confusion, expedite air and ground communication, provide easy auditory recognition, and reduce the potential for mistakes in verbal communication. A new or changed telephony designator must be included in the remarks section of the operator’s flight plans for at least 60 days following the new designator’s effective date. C. The Special Telephony Designator. A special telephony designator may be temporarily authorized by GACA, in coordination with ICAO, only when its assignment will identify special handling by ATS. GACA may authorize the special designator for a commemorative flight, for a large number of aircraft participating in an organized race, for aircraft operating during an emergency or disaster, or for aircraft that need special handling for test purposes. D. The Local Telephony Designator. A local telephony designator must be used only for communication with local aerodrome traffic control towers during VFR operations; they must not be used for filing flightplans. 3.2.3.3. APPLICABILITY. General Authority of Civil Aviation Regulations (GACARs) does not require that designators be obtained; however, designators may be required by the operator’s operations specifications (OpSpecs). The GACA may choose to assign a three-letter ICAO Company and Telephony designator for operations based on the number of scheduled flights. The final approval of the company designators and telephony designator is made by ICAO, who takes into consideration all designators approved throughout the world. The designator assignment is then administered by GACA. The final approval of the special telephony designator and local telephony designator is made by GACA after checking the requested area of operations for conflict. 3.2.3.5. PROCEDURES FOR ASSIGNMENT OF DESIGNATORS. All requests for designators are directly made by the company to the GACA. Final designator assignment is administered by EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 32 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 GACA Safety, Security & Air Transport (S&AT). This office notifies the Kingdom of Saudi Arabia (KSA) Ministry of Communications and Information Technology that an assignment has been made. A. The Company Designator and the Telephony Designator. Principal Operations Inspectors (POIs) must have the following information to determine eligibility for both the ICAO three- letter company designator and the telephony designator: • The name and address of the operator • The type of aircraft operation or service provided (a list of the operators served is required for service operations) • The intended use of aeronautical fixed AFTN for international services or operations • The number and type of AFTN messages handled daily • A copy of the company or operator published flight schedule • A copy of the GACA certificate which authorizes the company’s operations and states the GACAR part under which operations are to be conducted • Provision of at least five suggested three-letter designators and telephony designators, listed in their desired order B. Special Telephony Designator. The following information must be submitted for the special telephony designator request: • Type of flight • Type of handling required • Type and number of aircraft • Routes and duration of operation C. Local Telephony Designator. A letter of agreement that provides justification for obtaining the designator must be made between the local tower and the requesting company. The letter of agreement is reviewed by the applicable air traffic service, which adds its recommendations to EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 33 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 the letter and forwards the agreement and accompanying recommendations to GACA. The GACA checks the area of operations for conflict and approves if there is no conflict of designators. 3.2.3.7. EFFECTIVE DATE AND PUBLICATION. The required administrative period for approval of a three-letter company and telephony designator is approximately 45 calendar-days. GACA establishes an effective date for the designator and enters it into the stored flight plan program. GACA advises the ATS facilities affected that the numbers will be published in ICAO document (ICAO Document 8585, Designators for Aircraft Operating Agencies, Aeronautical Authorities). Failure to submit the proper documentation may delay a designator assignment. 3.2.3.9. CHANGES IN COMPANY STATUS AND CANCELLATION. When an assigned three- letter company designator and/or telephony designator is no longer required, GACA must be notified by the company, in writing. Any designator that is released shall not be reassigned within 45 calendar-days. Notification of change or release may be made for the following reasons: • Operations permanently suspended or canceled • Change in the name, address, or physical location of the company • Mergers and acquisitions that change or combine any company name holding more than one designator 3.2.3.11. OTHER INFORMATION SOURCES. Additional information on designators may be found in ICAO Doc. 8585, Designators for Aircraft Operating Agencies, Aeronautical Authorities and Services. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 34 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 VOLUME 3. AIR OPERATOR & AIR AGENCY – CERTIFICATION CHAPTER 3. THE CERTIFICATION PROCESS FOR PART 121 Section 1. Phase 1 – Pre-Application 3.3.1.1. GACA ACTIVITY REPORT (GAR). A. 1202 (OP) B. 3202 (AW) 3.3.1.3. GENERAL. A. Direction and Guidance. This chapter provides direction and guidance on the certification process for General Authority of Civil Aviation Regulation (GACAR) Part 121 air operators. Under no circumstances will an applicant be certificated until the General Authority of Civil Aviation (GACA) is confident that the prospective certificate holder is capable of fulfilling the required responsibilities and is willing to comply with the GACARs. The certification process employs a Five Phase process that requires the completion of certain items prior to continuation and completion of the process. The GACAR Part 121 certification team should utilize the generic Five Phase process found in Volume 3, Chapter 1, The Generic Certification Process for Air Operators and Air Agencies. NOTE: This process is in compliance with International Civil Aviation Organization (ICAO) Document 8335 and Document 8760. NOTE: During the certification process, there will be parallel efforts that involve the formal acceptance of Safety Management Systems (SMS) in accordance with GACAR Part 5. 3.3.1.5. INITIAL INQUIRIES OR REQUESTS. A. Initial Inquiries. Initial inquiries about certification or requests for application may come in various formats from individuals or organizations. These inquiries should be in the form of meetings with GACA personnel, which may include: Assistant President, Safety, Security and Air Transport Sector (AP), General Manager, Aviation Standards (GMAS); General Manager, Economic Evaluation Department (GMEE); General Manager, Safety & Risk Management EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 35 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Department (GMRM), Manager of Flight Operations (FO); and Manager of Airworthiness (AW). B. Preliminary Discussion. At the initial inquiry meeting, the aviation safety inspector (Inspector) should briefly explain all of the requirements within the GACAR that the applicant must meet in the certification process. The applicant should be provided with an Initial Inquiry Data Sheet (IIDS) (Figure 3.3.1.1) and a Pre-Application Statement of Intent (PASI). In addition, the applicant should provide their contact information to the GACA and receive from GACA, the contact information of the GMEE, GMRM, FO and AW. The Inspector should ask the applicant to schedule an appointment for a pre-application meeting, allowing enough time for the applicant to thoroughly review and understand GACA requirements. NOTE: The applicant should provide the IIDS & PASI to the GMAS, FO and AW, prior to the pre-application meeting. Upon receipt, these documents will be forwarded to the applicable Departments/Divisions for review. 3.3.1.7. CERTIFICATION TEAM. The Manager, Flight Operations Division (in coordination with the GMAS) will use the guidance found in Volume 3, Chapter 1, Section 1, paragraph 3.1.1.7 for the assignment, qualifications, duties and responsibilities of Inspectors on the certification team. The Inspector assigned as the Certification Project Manager (CPM) has the responsibility to complete the Air Operator Certification Job Aid (Figure 3.3.1.2). The CPM should send a notice to the applicant informing them of the certification team assignment (see Figure 3.3.1.3, CPM Designation) 3.3.1.9. INITIAL CERTIFICATION TEAM BRIEFING. A briefing of the certification team will be held prior to the pre-application meeting with the applicant. At this briefing, the team will review the applicants IIDS and PASI. In addition the following administrative activities will be conducted: • Create a certification file in the Flight Operations Division information management system • Ensure that the GMAS, FO, AW and all other team members have access rights • Maintain hard copies of all official correspondence to/from applicant • Inform other team members 3.3.11. PRE-APPLICATION MEETING. A. General. In preparation for the meeting, the assigned CPM should remind the applicant that EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 36 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 the applicant’s key management personnel should attend the pre-application meeting and should be prepared to discuss, in general terms, specific aspects of the applicant's proposed operation. The CPM should discuss the certification process in depth. Emphasis should be placed on the expectations of the GACA, what the applicant should expect from the GACA, and the sequence of events. The applicant should be encouraged to ask questions during the discussion. The CPM should have all attendees sign the Attendance Roster (Figure 3.3.1.5, Attendance Roster). B. Verifying Information on the PASI. The first item for discussion should be verification of the information on the PASI, such as the type of operation, types of aircraft, geographic areas of operation, and location of facilities. When changes to this information occur, the applicant must annotate the changes on the PASI. If the changes significantly affect the anticipated scope and/or type of operation, a copy of the revised PASI shall be forwarded to the GACA. C. Briefing of the Applicant. At the pre-application meeting, the applicant and any key personnel attending the meeting should be briefed in as much detail as necessary to ensure that they understand the certification process using the Air Operator Certification Job Aid (Figure 3.3.1.2) as a guide to facilitate the discussion and to ensure that all elements of the certification process are covered. The applicant should be encouraged to ask questions about any area of the process not clearly understood. The CPM should provide the Pre-Application Checklist (PAC) (Figure 3.3.1.4, Pre-Application Checklist) to the applicant. D. Management Qualifications. Management qualifications must be reviewed by the certification team to determine that there is a resume for each required management position and that these resumes contain the basic information necessary to determine regulatory compliance. The depth of review should be only to determine that there are no obvious omissions or significant discrepancies. An example of a significant discrepancy might be that the regulation requires an individual to hold an Airline Transport Pilot (ATP) certificate, but the resume shows that the individual holds only a Commercial Pilot certificate. A detailed review of the management qualifications and effectiveness will be accomplished during the document compliance and the demonstration and inspection phases. E. Informing the Applicant of Pertinent Regulations. It is essential that the applicant understand which regulations are applicable to the proposed operation. The applicant should be advised to acquire and become familiar with the GACARs and other guidance pertinent to the proposed operation. The applicant and the applicant's personnel must be made aware of their responsibilities during the certification process. It is to their benefit to submit required items as EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 37 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 soon as they become available. F. Economic Authority. As stated in GACAR § 119.3(f), “…no person may operate as a commercial operator under this part without holding appropriate economic authority from the GACA”. The applicant should be advised that it is the applicant's responsibility to apply for and obtain the appropriate GACA economic authority and that the GACA will not issue the air operator certificate (AOC) or operations specifications (OpSpecs) until economic authority is obtained. 1) It is the responsibility of the applicant to submit the original application for economic authority to the Air Transport Department. 2) Prior to the Formal Application meeting the CPM should contact the Air Transport Department to check on the progress of the economic authority request. 3.3.1.13. INSTRUCTIONS TO THE APPLICANT ON THE FORMAL APPLICATION. A. Requesting the Formal Application. The applicant shall be informed that the formal application must be submitted to the GACA at least 45 calendar days prior to the proposed formal application meeting to allow the GACA to prepare resources. After initial review, GACA will notify the applicant of its acceptance or rejection by letter within 5 working days. The applicant should be encouraged to submit the formal application as far in advance as possible of the intended starting date. The following documents must be submitted when requesting the formal meeting: • Formal application letter • Completed Management Qualification Summary and Quality Audit Forms (made available from GACA) • List of proposed operations specifications (OpSpecs) • An up to date Pre-Application Statement of Intent (PASI) if there have been any changes to the original PASI NOTE: The CPM should inform the applicant that while GACA Inspectors will furnish informal guidance and advice during the preparation of required documents and manuals, EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 38 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 the production of acceptable documents and manuals is solely the responsibility of the applicant. B. Formal Application Letter. The formal application letter serves as the vehicle to transmit the package of documents required to be certificated. The CPM shall inform the applicant that the formal application must be a letter containing a statement that the letter serves as a formal application for an air operator certificate. The letter must contain the full and official name of the applicant. This letter must be signed by the owner when applying as an individual or sole proprietorship, all partners when applying as a partnership, or an authorized officer(s) when applying as an organization such as a company or a corporation. The letter shall contain the physical location address of the applicant's intended primary operating location. The applicant's mailing address shall be included in the formal application letter if different than its letterhead. This letter shall also include the full name and address of the applicant's agent for service (if applicable). Additionally, the letter will confirm the identity of key management personnel such as the accountable executive, director of operations, director of maintenance, chief pilot, and chief inspector. Note that additional management personnel are required for the Safety Management System (SMS). See Volume 2 of this eBook for full details on the SMS requirements and acceptance process. 3.3.1.15. APPLICATION ATTACHMENTS. In addition to the documents listed in paragraph 3.3.1.11 (A) above, the formal application letter must be accompanied with the attachments listed in the Pre-Application Checklist (Figure 3.3.1.4). The applicant must understand that this letter and these attachments will be the minimum information acceptable for meeting the requirements of the GACARs. Below is the guidance to be used when evaluating several of the key certification documents. A. Schedule of Events. The applicant needs to understand that the schedule of events is a key document to be presented with the formal application. The schedule of events is a list of items, activities, programs, aircraft and/or facility acquisitions that the applicant must accomplish or make ready for GACA inspection before certification. The schedule of events will include the applicant's best estimate of the date the item, activity, program, aircraft, or facility acquisitions will be accomplished or ready for inspection. The applicant shall be informed that the schedule of events must be constructed in a logical and sequential manner. The schedule of events must also provide for a reasonable amount of time for the GACA to review and accept or approve each item or event, before scheduling other items or events that are dependent on such acceptance or approval. The applicant should be informed that failure to accomplish an item or event in a satisfactory or timely manner in accordance with the schedule of events could result in a delay in EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 39 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 certification. The applicant should be advised that if deficiencies are detected during the review of manuals and other documents, they will be returned for amendment or correction. Such action may also cause additional delays in the certification process (see Figure 3.3.1.6, Schedule of Events). B. Company Manuals. This attachment to the formal application may be in the form of one or more manuals or volumes. These manuals must contain information about the applicant's organization, general policies, duties, responsibilities of personnel, operational control policy, and procedures. In practice, these manuals are often known as the Operations Manual (OM) and the Maintenance Manual (MM). The applicant's manuals, as required by GACAR § 121.139, must be completely developed at the time of formal application to satisfy the requirements of Phase 4 - Demonstration and Inspection. Note those additional manuals/documentation are required for the Safety Management System (SMS). See Volume 2 of this eBook for full details on the SMS documentation requirements. C. Company Training Curriculums. The company training curriculum must be attached to the formal application. The company training curriculum must include at least the following curriculum segments for each applicable crew member or dispatcher position: • Basic indoctrination training • Emergency training • Initial aircraft ground training • Initial aircraft flight training D. Management Qualification Resumes. This attachment shall include resumes that meet the requirements of GACAR § 121.45 and contain information on the qualifications, certificates, ratings, and experience of personnel selected for the following positions, or equivalent: • Director of safety • Director of operations • Director of maintenance • Chief pilot EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 40 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Chief inspector The evaluation of persons nominated for the management positions required under GACAR Part 121 is described in greater detail in Section 6 of this chapter of the handbook. NOTE: Under GACAR Part 5 there are two additional required management positions for all air carriers operating under GACAR Part 121; the accountable executive and the management representative responsible for the Safety Management System. Consult GACAR Part 5 and Volume 2 of this handbook for further details on these two additional positions. Variations to the types of positions or numbers of positions other than those listed in GACAR § 121.45 (a) may be approved for a particular operation if the applicant shows it can perform the operation with the highest degree of safety under the direction of fewer or different categories of management personnel due to: • The kind of operation involved • The number and type of aircraft used • The area of operations Section 6 of this handbook addresses the procedures to be followed for requests for relief made under GACAR § 121.49(c). E. Documents of Purchase, Contracts, and Leases. This attachment should provide evidence that the applicant has acquired aircraft, facilities, and services to conduct the type of operation proposed. This evidence may be in the form of proof of formal purchases, leases, or contractual arrangements. These documents should provide evidence that the applicant is, in good faith, committed to making arrangement for aircraft, supporting facilities, and services as necessary for the proposed operation. Examples of the types of equipment, facilities, and services that should be addressed in these documents, contracts, or leases include the following: • Aircraft • Station facilities and services • Weather and Notices to Airmen (NOTAM) gathering facilities and services EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 41 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Communications facilities and service • Maintenance facilities and service • Aeronautical charts and related publications • Aerodrome analysis and obstruction data • Contract training or facilities F. Compliance Statement. 1) Preparation of the compliance statement benefits the applicant by systematically ensuring that all applicable regulatory aspects are appropriately addressed during the certification process. The compliance statement shall be in the form of a complete listing of all appropriate GACAR parts (for example, GACAR Part 5, 7, 91, 109, 117, 119 and 121) pertinent to the operation the applicant is proposing. This list should reference any applicable subpart and each relevant section of the subpart. Next to each subparagraph, the applicant must provide a specific reference to a manual or other document, and may provide a brief narrative description that describes how the applicant will comply with each regulation (see Figure 3.3.1.7, Compliance Statement). This statement also serves as a master index to the applicant's manual system to expedite the GACA's review and approval of the operation and manual system. The compliance statement is an important source document during the certification process. After the certification process is completed, the compliance statement should be kept current as changes are incorporated in the applicant's system. 2) Where the compliance information has been developed (for example, the manual material submitted with the formal application), a manual reference or description of the method of compliance must be entered next to the applicable regulatory section. 3) The list of the specific regulations and subparts, including all subparagraphs, may be presented in the manner of one of the examples described in Figure 3.3.1.7, Compliance Statement. 3.3.1.17. CONCLUSION OF PRE-APPLICATION MEETING. The CPM must ensure that the applicant understands that the formal application, with the previously described attachments, must be complete and acceptable or the entire formal application will be rejected. In addition the EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 42 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Certification Team should conduct an initial review of the applicant’s submission and verify that content is sufficient to conduct a formal application meeting using the Initial Review Instructions found in Figure 3.3.1.8, Initial Review Instructions. A. Applicant is Adequately Prepared. At the close of the pre-application meeting, the Certification Team should determine whether the applicant is prepared to proceed with the certification process. If it appears that the applicant understands the requirements of a formal application and will proceed to that phase, the CPM should encourage the applicant to informally coordinate required documents as they are developed with the certification team before submission of the formal application. B. Applicant is Not Prepared. If it is evident that the applicant is not adequately prepared to proceed with the certification process, the CPM should advise the applicant of the reasons for concern. When it is apparent that the applicant will not be able to prepare an adequate formal application, the CPM should advise the applicant to request another pre-application meeting after more complete preparation on the applicant's part. It is appropriate for the CPM to recommend to the applicant one or more of the following actions: • A more thorough review of the applicable regulations • Changes in proposed key management personnel • Retain the services of a professional aviation consultant • Cease efforts to become GACA certificated 3.3.1.19. TERMINATION OF THE PREAPPLICATION PROCESS. If at any time during the pre-application phase the applicant formally terminates all efforts toward certification, or the GACA determines that the applicant will not proceed with the certification process, the PASI will be returned to the applicant. The GACA will notify the applicant in writing that this action terminates the pre-application process and that the applicant must submit a new PASI in order to initiate the certification process again. The General Manager, Aviation Safety Standards must be notified of any certification project that is terminated. Figure 3.3.1.1. Initial Inquiry Data Sheet Initial Inquiry Data Sheet (IIDS) EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 43 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Part I: General Date of inquiry: _________________ SS&AT Point of Contact: General Manager, Aviation Safety Standards Department Office: +966 (0) 2 685 XXXX Fax: +966 (0) 2 685 XXXX e-mail: XXXXX@gaca.gov.sa A. Name of Proposed Operator: ________________________________________ B. Proposed Operations Base: __________________________________________ C. Proposed Maintenance Base: _________________________________________ D. Proposed Aircraft type(s) and number of aircraft:_________________________ E. Proposed Major Routes: _____________________________________________ F. Proposed type of operation: (Check Box(es) below) [ ] Scheduled [ ] Nonscheduled [ ] Passengers [ ] Cargo G. Special Issues: (Select) _____Fatigue Risk Management Program (FRMS) – optional under GACAR Part 5 _____Flight Data Analysis Program – required under GACAR Part 5 for certain airplanes _____ETOPS _____Transportation of Dangerous Goods (TDG) _____RVSM _____MNPS EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 44 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 _____Performance Based Navigation (PBN) _____Low Visibility Operations (LVO) _____REMS _____NVIS _____EFB H. Maintenance performed by: 0 Operator 0 Contractor 0 Mix (Explain Below) _____________________________________________________________ I. Operations Training by: (Tick Box(es) Below and provide brief description) [ ] The Carrier [ ] Another 121 Carrier [ ] Training Center/Organization _____________________________________________________________ J. Type of Ownership: [ ] Corporate [ ] Partnership [ ] Sole Proprietor K. Applicant Point of Contact (POC): __________________________________ PART II: READINESS Aircraft: A. Do you have a particular aircraft identified? We require a specific aircraft make and model to be identified so we can focus on the appropriate regulatory requirements. Changing aircraft types during the certification process will delay your progress significantly. B. What aircraft have you contracted for? ____________________________________ C. Will you be leasing or buying your aircraft? _______________________________ D. Be specific on make/Model & Serial #. ___________________________________ EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 45 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 OPERATIONS: A. Will you have a centralized dispatch? [ ] Yes [ ] N/A B. Where will it be located? __________________________________________ C. Will this be the location of your dispatch records? [ ] YES If not, where will they be located? ________________________________________ D. Principal Maintenance Base (PMB) Location: ____________________________ 1 How much maintenance will you do at your PMB? _____________________ 2 How much maintenance will you contract out? _________________________ 3 Do you have the contracts available? _________________________________ 4 What line stations will you have? ____________________________________ 5 What will their capabilities be? ______________________________________ PERSONNEL: Do you have sufficient Management personnel that understand Air Carrier Operations? You must have the following personnel in place for the required Management Positions. They MUST attend the Pre-Application Meeting and the Formal Application Meeting. Director of Safety: ________________________________________ Director of Operations: ____________________________________ Director of Maintenance: ___________________________________ Chief Pilot: ______________________________________________ Chief Inspector: __________________________________________ EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 46 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 SMS Representative (GACAR Part 5): ______________________ If not how will you assure the integrity of the safety program you establish? ______________________ Those selected for the required management positions must be fully trained and meet all qualification standards. Our experience has demonstrated that those with minimal qualifications have a difficult time preparing a viable organization. Prior to beginning Proving Tests those selected for the required management positions must be full time employees of your organization. This means they are available a minimum of 40 hours per week with no collateral duties. In addition to the required management positions we recommend you have a: Chief Cabin Crew Member (Director of In-Flight) _________________________ Director of Quality Assurance _________________________________________ Director of Training _________________________________________________ Dispatch Manager __________________________________________________ PART Ill: GROUNDWORK AND INTENTIONS A. Will you contract out the writing of your manuals? 1 Which manuals will you contract? __________________________ 2 Who is the contractor and who will be your company liaison to assure your company is represented in what is written? ______________________ NOTE: We have found that organizations that relinquish control of their manuals to a professional manual writer are unable to meet the regulatory requirement that the management personnel know what is in the manuals. You can expect us to ask your management personnel to show us what is in the manual EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 47 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 and how it complies with the regulations. How will you coordinate the different aspects of the manual system to assure there are no contradictions between the different groups? A typical manual system includes, but is not limited to, the following: • Safety Management Manual • Operations Manual (OM) • Maintenance Manual (MM) • Aircraft Operating Manual (AOM) • Training Program • Flight Data Analysis Program (if applicable) • Fatigue Risk Management System Manual (if applicable) • Winter Operations Manual (to include deicing program) • Cabin Crew Member Manual (CCMM) • Dispatch Manual • Station Operations Manual • Carry-on Baggage Program • Aircraft Checklists (Normal, Abnormal, and Emergency) • Company Emergency Manual • Aerodrome Data and Enroute Manual • Minimum Equipment List (MEL) EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 48 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 • Configuration Deviation List (CDL) • Maintenance Technical Manuals i.e. Airframe powerplant, Structural Repair, Parts Catalogue, Inspection Procedures, Manufacturer's or Vendors Manual, Wiring Manual, and Overhaul Manual • Fueling/Refueling/Defueling Manual • Ground Servicing Manual • Mass and Balance Control Program • Dangerous Goods Training and/or Recognition Program • Security Program • Continuous Analysis and Surveillance Program • Exit Seating Program B. Will you contract the training of your pilots or other personnel? If so, with who and what is the nature of the relationship? __________________________ PART IV: SAFETY MANAGEMENT SYSTEMS (SMS) The applicant has complied with all Safety Management Systems requirements of GACAR Part 5. ____Yes ____No PART V: AUTOMATION CAPABILITIES PART VI: PROPOSED SCHEDULE OF EVENTS: 1 Pre-Application Meeting: __________________________________ 2 Completion of Manuals: ___________________________________ 3 Formal Application Meeting:________________________________ EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 49 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 4 Proving Tests: ___________________________________________ 5 Proposed start-up date: ____________________________________ As an air operator you are required to operate at the highest level of safety. By signing this document you signify your understanding of the risks and obligations incurred in pursuing an air operator certificate. Signature: ______________________ Date:__________________ Upon completion of this form forward or Fax this form, the completed PASI and a copy of your application for economic authority, to the GM, Aviation Safety Standards Department . It is the responsibility of the applicant to submit the original application for economic authority to the Economic Evaluation Department. Figure 3.3.1.2. Air Operator Certification Job Aid EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 50 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 51 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 52 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 53 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 54 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 55 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 56 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 57 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Figure 3.3.1.3. CPM Designation CPM Designation-Notification to the Applicant Dear _______________ EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 58 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Please be advised that _______________ has been designated as the Certification Project Manager (CPM) for the process of your Air Operator Certification project. _______________ will be GACA’s point of contact for all aspects of the certification project. All coordination and correspondence should be addressed to him. He may be reached at: Telephone:_______________ Fax._______________ Email:_______________ The CPM will contact you to schedule an initial briefing presentation at the GACA SS&AT office in Jeddah. Please ensure that your key management will attend the meeting. We recommend that you prepare a presentation to GACA that addresses: • Type of intended operation • Intended Make/Model/Series and number of aircraft • Intended route structure/area of operation • Proposed start of operations • Principal base of operations • Your expectations from the GACA We also recommend that you coordinate with the CPM on any special issues you may wish to discuss at the meeting. Figure 3.3.1.4. Pre-Application Checklist PRE-APPLICATION CHECKLIST Management Preparation EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 59 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Event Description Verified by: Date Review Certification Process Document Documentation Required at Formal Application Document/Manual Verified by: Date Formal Application Letter Revised the PASI Corporate Documents List of Proposed OpSpecs Paragraphs Deviation and/or Exemption Requests Proposed Schedule of Events Status of SMS Compliance Statement Company Manuals and Programs Initial Cadre Check Pilot Training Program Facility Lease Agreements or Proof of Ownership Outsourcing Contractual Agreements Aircraft Lease or Proof of Ownership Current Aircraft Equipment List Layout of Passenger Accommodations (for each passenger configuration of each aircraft type) Aircraft Information Form Status of Economic Authority Request EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 60 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Status of Dangerous Goods Procedures Manual and Training Program Status of Problematic Use of Psychoactive Substances Program Status of Security Program Required Management Personnel, Qualification Summary and Quality Audit Forms Management Position 3 Verified by: Name, Title/Signature Date Director of Safety Director of Maintenance Director of Operations Chief Pilot Chief Inspector Instructions 1. A member of the company’s management team must verify by name, title, signature, and date of verification that each element contained in the Pre-application Checklist (PAC) has been accomplished and/or submitted for formal application. 2. A member of the company’s management team must verify that each person filling a required management position completes the Qualification Summary Form. The Qualification Summary and Quality Audit Forms are hyperlinked from the PAC. 3. Indicate in the formal application letter whether the Pre-application Statement of Intent and Schedule of Events are original or updated. 4. Include as part of the formal application letter each lease agreement, letter of intent, or proof of ownership of an aircraft to be entered into the operations specifications. EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 61 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 5. Include an engineering diagram of the aircraft cabin interior (Layout of Passenger Accommodations (LOPA)) that includes but is not limited to locations of passenger and cabin crew member seats, emergency equipment, exits, lavatories, and galleys. A LOPA may not be required if applying for an all cargo operation. 6. Include in the formal application package all contractual agreements for outsourcing (maintenance, training, operations, etc.). 7. Include all manuals and programs required by GACA Parts 5, 109 and 121 as part of the formal application package. Identify each manual and program submitted by using the same naming or numbering convention used to develop the manual and program. Figure 3.3.1.5. Attendance Roster EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 62 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Figure 3.3.1.6. Schedule of Events EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 63 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Figure 3.3.1.7. Compliance Statement COMPLIANCE STATEMENT Introduction EBOOK VOLUME 3. AIR OPERATOR & AIR AGENCY - CERTIFICATION EBOOK VOLUME 3 Page 64 UNCONTROLLED DOCUMENT WHEN DOWNLOADED Consult the GACA website for current version VERSION 7.0 Preparation of the Compliance Statement benefits the applicant by systematically ensuring that all applicable specific regulatory requirements (SRR’s) are appropriately addressed during the certification process. The Compliance Statement also serves as a master index to the applicant's manual system. The Compliance Statement is an important source document and serves as the applicant’s “roadmap of compliance” during the initial certification process as