AMC1 ARO.GEN.310(a) Initial certification procedure – organisations
CAA ORS9 Decision No. 1
(a) Upon receipt of an application for an air operator certificate (AOC), the CAA should:
(1) assess the management system and processes, including the operator’s organisation and operational control system;
(2) review the operations manual and any other documentation provided by the organisation; and
(3) for the purpose of verifying the organisation’s compliance with the applicable requirements, conduct an audit at the organisation’s facilities. The CAA should require the conduct of one or more demonstration flights operated as if they were commercial flights, or an in-flight inspection should be conducted at the earliest opportunity.
(b) The CAA should ensure that the following steps are taken:
(1) The organisation's written application for an AOC should be submitted at least 90 days before the date of intended operation, except that the operations manual may be submitted later, but not less than 60 days before the date of intended operation. The application form should be printed in language(s) of the CAA’s choosing.
(2) An individual should be nominated by the responsible person of the CAA to oversee, to become the focal point for all aspects of the organisation certification process and to coordinate all necessary activity. The nominated person should be responsible to the responsible person of the CAA for confirming that all appropriate audits and inspections have been carried out. He/she should also ensure that the necessary specific or prior approvals required by (b)(3) are issued in due course. Of particular importance on initial application is a careful review of the qualifications of the organisations’ nominated persons. Account should be taken of the relevance of the nominee's previous experience and known record.
(3) Submissions that require the CAA’s specific or prior approval should be referred to the appropriate department of the CAA. Submissions should include, where relevant, the associated qualification requirements and training programmes.
(c) The ability of the applicant to secure, in compliance with the applicable requirements and the safe operation of aircraft, all necessary training and, where required, licensing of personnel, should be assessed. This assessment should also include the areas of responsibility and the numbers of those allocated by the applicant to key management tasks.
(d) In order to verify the organisation’s compliance with the applicable requirements, the CAA should conduct an audit of the organisation, including interviews of personnel and inspections carried out at the organisation’s facilities.
The CAA should only conduct such an audit after being satisfied that the application shows compliance with the applicable requirements.
(e) The audit should focus on the following areas:
(1) detailed management structure, including names and qualifications of personnel required by ORO.GEN.210 and adequacy of the organisation and management structure;
(2) personnel:
(i) adequacy of number and qualifications with regard to the intended terms of approval and associated privileges;
(ii) validity of licences, ratings, certificates or attestations as applicable;
(3) processes for safety risk management and compliance monitoring;
(4) facilities — adequacy with regard to the organisation’s scope of work;
(5) documentation based on which the certificate should be granted (organisation documentation as required by Part-ORO, including technical manuals, such as operations manual or training manual).
(f) In case of non-compliance, the applicant should be informed in writing of the corrections that are required.
(g) When the verification process is complete, the person with overall responsibility, nominated in accordance with (b)(2), should present the application to the person responsible for the issue of an AOC together with a written recommendation and evidence of the result of all investigations or assessments which are required before the operator certificate is issued. Approvals required should be attached to the recommendation. The CAA should inform the applicant of its decision concerning the application within 60 days of receipt of all supporting documentation. In cases where an application for an organisation certificate is refused, the applicant should be informed of the right of appeal as exists under national law.