CERTIFICATION OF AN AIR OPERATOR

Air Operator Certification

Model Advisory Pamphlet 001

For Training Purposes Only

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Document Revision History

Date Revision
Description of Changes Change Person
Revised No.
28/06/2011 3.0 Updates regulations, revision process, training approval Serco CTR
letters, and training job aid.
30/06/2016 4.00 Updated MCAR references to version 2.8 and made other Mary Barker
corrections
30/06/2016 Updated revision numbering to meet new AATCMG Mary Barker
4.00
standards.

This revision page should be completed to show the revision date (dd/mm/yyyy), the version number, a description
of the changes, and the change person. A major revision will display the next sequential version number (e.g., 4.00,
5.00, 6.00, etc.). A minor revision will display a sequential number after the major revision number (e.g., 4.10, 4.20,
4.30, etc.).

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TABLE OF CONTENTS

I. PURPOSE ..................................................................................................................................................... 1
II. RELATED REGULATIONS ............................................................................................................................ 2
III. RELATED DIRECTION AND GUIDANCE INFORMATION............................................................................ 2
IV. BACKGROUND ............................................................................................................................................. 2
V. PRE-APPLICATION PHASE .......................................................................................................................... 3
A. Initial Communication ........................................................................................................................ 3
B. Prospective Operator’s Pre-Assessment Statement (POPS) Job Aid (Appendix A) ......................... 3
C. POPS Review ................................................................................................................................... 3
D. The Project Manager (PM) ................................................................................................................ 3
E. The Pre-Application Meeting ............................................................................................................. 4
F. Establishment of Working Relationships ........................................................................................... 4
G. Application Information Package ....................................................................................................... 4
H. Sample Formal Application Letter (Appendix B)................................................................................ 4
I. Operations Specifications (Appendix G) ........................................................................................... 5
J. Air Operator Certification Job Aid and Schedule of Events (Appendix C) ......................................... 5
K. Operations Manuals .......................................................................................................................... 5
L. Training and Checking Manuals ........................................................................................................ 6
M. Management Structure and Qualification Attachment ....................................................................... 6
N. Documents of Purchase, Leases, Contracts, and/or Letters of Intent Attachments .......................... 7
O. Statement of Compliance (Appendix I).............................................................................................. 7
P. Financial Economic Authority and Legal Matters Assessment .......................................................... 8
Q. List of Aircraft .................................................................................................................................... 8
R. List of Designated Destination and Alternate Aerodromes ................................................................ 8
S. Regulations (Appendix D) ................................................................................................................. 8
T. Coordination of Documents ............................................................................................................... 8
VI. FORMAL APPLICATION PHASE .................................................................................................................. 9
VII. DOCUMENT EVALUATION PHASE ............................................................................................................ 11
VIII. DEMONSTRATION AND INSPECTION PHASE ......................................................................................... 12
IX. CERTIFICATION PHASE............................................................................................................................. 13
X. LIST OF APPENDICES ............................................................................................................................... 14
APPENDIX A. PROSPECTIVE OPERATOR’S PRE-ASSESSMENT STATEMENT (POPS) JOB AID ....... 15
APPENDIX B. SAMPLE FORMAL APPLICATION LETTER ........................................................................ 19
APPENDIX C. AIR OPERATOR CERTIFICATION JOB AID AND SCHEDULE OF EVENTS ..................... 21
APPENDIX D. MCARS AND ICAO ANNEXES AND DOCUMENTS ............................................................ 29
APPENDIX E. DEFINITIONS OF TERMS.................................................................................................... 31
APPENDIX F. CERTIFICATION PROCESS FLOW CHART ....................................................................... 33
APPENDIX G. OPERATIONS SPECIFICATIONS ....................................................................................... 41
APPENDIX H. GENERAL OPERATIONS MANUAL – MCAR AND IS COMPLIANCE ................................ 43
APPENDIX I. STATEMENT OF COMPLIANCE EXAMPLES ...................................................................... 45

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 Model
Advisory
Pamphlet
SUBJECT: CERTIFICATION OF AN AIR OPERATOR – AIR OPERATOR CERTIFICATION
OPS-MAP-001
DATE: JUNE 2016

I. PURPOSE

A. This model advisory pamphlet (MAP) is intended to assist in the certification of a commercial air
transport operator. Part 9 of the Model Civil Aviation Regulations (MCARs) requires that a process
be used to certify commercial air transport operators. MCAR Part 9 requires that a certification
process be used for commercial air transport operators operating under MCAR Part 8. The
certification process is required to be followed by new applicants and by certificated operators who
are amending their air operator certificates (AOCs). This MAP describes the process of applying for
and obtaining an AOC to conduct commercial air transport operations under the MCARs. The
certification process may appear to be a complex undertaking, particularly to a first-time operator.
This MAP provides basic information applicable to the certification process. The same certification
process is used to amend the AOC of an existing operator, with the exception of not having to
complete the Pre-Application Phase.

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

C. This MAP does not provide a detailed description of the process to be followed when the AOC
applicant or existing operator proposes to conduct maintenance under the equivalent system of
maintenance as referenced in MCAR Part 9. When certification as an approved maintenance
organisation (AMO) is desired, the applicant or operator should refer to the appropriate
airworthiness MAPs for guidance. While the certification processes for AMOs and AOCs will be
similar, many of the actions to be taken in each phase will be specific to AMO or to AOC
operations. However, both the AOC and the AMO certification processes must be coordinated in
the Demonstration and Inspection Phase.

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II. RELATED REGULATIONS

Related regulations are the Model Civil Aviation Safety Act (the Act) and MCAR Parts 1, 2, 3, 4, 5, 6, 7, 8,
9, 10, and 11, as applicable to the proposed operation, with a focus on Parts 8 and 9.

III. RELATED DIRECTION AND GUIDANCE INFORMATION

A. This MAP does not provide a detailed description of the process to be followed when the AOC
applicant or existing operator proposes to conduct maintenance under the equivalent system of
maintenance as referenced in MCAR Part 9. When certification as an AMO is desired, the
applicant or operator should refer to AMO-MAP-001, Certification of an Approved Maintenance
Organisation. While the AMO and AOC certification processes will be similar, many of the actions
to be taken in each phase will be specific to AMO or to AOC operations.

B. Commercial air transport operator economic and legal matters assessments are under the
jurisdiction of the [STATE AGENCY OF TRANSPORTATION]. Contact them for requirements and
additional information.

Note: Economic authority requirements will be determined by the [STATE AGENCY OF

TRANSPORTATION].

IV. BACKGROUND

A. To conduct commercial air transport operations under [STATE] CAA regulations, an operator must
be a citizen, as defined in [STATE] aviation law. The CAA recognises that commercial air transport
operators are responsible for providing air transportation with the highest degree of safety possible
in the public interest. The certification process is designed to ensure that prospective AOC holders
understand and are capable of fulfilling this duty. When satisfactorily completed, the certification
process should ensure that the operator is able to comply with the Act; the MCARs; and the
International Standards pertaining to the operation of aircraft, as published in relevant ICAO
Annexes to the Convention on International Civil Aviation.

Note: The terms “applicant” and “prospective operator” are considered to have the same meaning
and refer to an uncertificated entity. The terms “operator” and “AOC holder” are considered to have
the same meaning and refer to a certificated entity. “Operations Specifications” may be used
interchangeably with “OpSpecs.”

B. There are five phases in the air operator certification process. Each phase is described in sufficient
detail to provide a general understanding of the entire certification process. (See Appendix F for a
detailed flow chart of the entire certification process.) The five phases are:

1. Pre-Application Phase
2. Formal Application Phase
3. Document Evaluation Phase
4. Demonstration and Inspection Phase
5. Certification Phase

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C. In some cases, the guidance and suggested sequence of events in this MAP may not be entirely
appropriate. In such situations, the CAA and the operator should proceed in a manner that
considers existing conditions and circumstances. The operator, however, should not expect to be
certificated until the CAA is assured that the [STATE] aviation law and MCARs will be complied
with in an appropriate and continuing manner.

V. PRE-APPLICATION PHASE

A. Initial Communication

The Pre-Application Phase consists of the initial inquiry and the pre-application meeting. As far in
advance as possible of an anticipated start of operations, a prospective operator (or applicant)
should contact the nearest CAA office and inform the CAA of its intent to apply for an AOC. The
prospective operator will be invited to meet briefly with CAA personnel. During this initial meeting,
only basic information and general certification requirements will be discussed.

B. Prospective Operator’s Pre-Assessment Statement (POPS) Job Aid (Appendix A)

If the prospective operator intends to proceed with certification, the POPS Job Aid will be furnished.
A sample of this form with instructions for completing it is in Appendix A. The POPS should be
completed and signed by the prospective operator. It should be accompanied by a Letter of Formal
Application. Both documents should provide an overview of the proposed operation and key
management personnel. The documents should be returned to the CAA office for review, or they
may be reviewed concurrently with the pre-application meeting.

C. POPS Review

CAA personnel will review the POPS. If the information is incomplete or erroneous, the POPS will
be returned to the prospective operator with the reasons for its return noted in the Remarks block
in Section 2 of the form. If the information is complete and acceptable, the CAA will determine
which CAA office will be assigned to the certification project and schedule a pre-application
meeting with the prospective operator and the selected CAA certification team members.

D. The Project Manager (PM)

The CAA office will designate one certification team member as the PM. The PM is the official CAA
spokesperson throughout the certification project.

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E. The Pre-Application Meeting

The purpose of the pre-application meeting is to confirm the information on the POPS and to
provide additional certification information to the applicant. It is required that the prospective
operator’s key management personnel attend the pre-application meeting and be prepared to
discuss in general terms the plans and specific aspects of the proposed operation. Many problems
can be avoided by discussing all aspects of the proposed operation and the specific requirements
which the applicant must meet to be certificated as an air operator.

F. Establishment of Working Relationships

It is important to establish good working relationships and clear understandings between the CAA
and the prospective operator’s representatives. The CAA recognises that a wide range of
capabilities and expertise exists among operators. This background experience will be considered
by the CAA during these initial meetings and the process will be adjusted as necessary.

G. Application Information Package

To help promote understanding throughout the certification process, an application information

package will be provided during the pre-application meeting. The application information package
will include the following:

1. OPS-MAP-001 (Certification of an Air Operator – Air Operator Certification), if not

previously provided

2. OPS-MAP-002 (Operator’s Quality System – Air Operator Certification)

3. OPS-MAP-008 (Development of a Safety Management System Manual – Air Operator

Certification)

4. Other publications or documents the PM believes will be useful to the operator

H. Sample Formal Application Letter (Appendix B)

MCAR [Link](a) and (b) specify that an application for an AOC shall be made in a form and
manner acceptable to the CAA and contain any information the CAA requires the applicant to
submit. Prospective operators must know the minimum documentation they must submit during
formal application. Formal application must be made on either a form provided by the CAA or by
letter requesting certification as an air operator. The Accountable Manager must sign the form or
letter. If a letter is submitted, it should include a statement that the letter serves as formal
application for an AOC. It should also contain the full and official name of the applicant. 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 it is different than
the address on the applicant’s letterhead. The letter shall also include the full name and address of
the applicant’s agent for service. The designated agent for service is required by Section 804 of the
Act. Additionally, the letter will confirm the identity of key management personnel, such as the
General Manager, Chief Pilot, Quality Manager, Director of Operations, Director of Safety, and
Director of Maintenance, as applicable. Certain documents must be submitted with the formal

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application. These documents, or attachments, are described in this MAP and will be discussed in
detail during the pre-application meeting.

I. Operations Specifications (Appendix G)

This document is used to describe the applicant’s intended authorisations, limitations, and
privileges specific to the operator’s operations.

J. Air Operator Certification Job Aid and Schedule of Events (Appendix C)

The Schedule of Events is a key document that lists items, activities, programmes, and aircraft
and/or facility acquisitions that must be accomplished or made ready for the CAA’s inspection
before certification. It should include dates when the crew members will start company
indoctrination procedures. In addition, the Schedule of Events should include:

1. Dates when maintenance personnel training will start

2. When maintenance facilities will be ready for the CAA’s inspection

3. When each of the required manuals will be available for evaluation

4. When aircraft will be ready for inspection

5. When terminal facilities will be ready for inspection

6. When emergency evacuation demonstrations, ditching demonstrations, and demonstration

flights are planned to be performed

7. When the chief training and checking officer and other approved persons will be assessed

The estimated dates must be logical in terms of sequence. For example, ground training for basic
company procedures indoctrination for crew members should be scheduled to begin after the
sections of the company manuals pertinent to crew member performance are scheduled to be
completed and submitted. A reasonable amount of time should be provided for the CAA to review,
inspect, and approve each item or event when an approval is required before beginning a
subsequent event or item. Failure to accomplish an item or event in a satisfactory manner or in
accordance with the Schedule of Events could delay the certification. If at any time during the
certification process the operator finds it necessary to revise the Schedule of Events, the PM
should be notified as soon as practical.

K. Operations Manuals

These manuals, which may be issued in separate parts for specific users, contain information
about the prospective operator’s organisation, general policies, procedures, and operational control
policy and the duties and responsibilities of personnel. These are commonly referred to as the
“General Operations Manual (GOM)” and the “Maintenance Control Manual (MCM).” The MCARs
require that these manuals include instructions and information necessary to permit flight, ground,
and contract personnel and any other personnel with operational control to perform their duties and

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responsibilities with a high degree of safety. MCAR Part 9 and its related Implementing Standards
(IS) prescribe the content of these manuals. The entire manual system, as required by MCAR 9.3
and 9.4, shall be completely developed at the time of formal application.

The MCARs require that the Operations Manual include the following specific areas:

1. General, as specified in MCAR [Link] and IS [Link](g)

2. Training Programme Manual, as specified in MCAR [Link], and IS [Link]

3. Aircraft Operating Information Manual, as specified in MCAR [Link] and IS [Link]

4. Route guide – areas, routes, and aerodromes, as specified in MCAR [Link] and IS
[Link]

The applicant should ensure that the manuals are in compliance with at least the sections of MCAR
Part 9 and the related IS that are found in Appendix H of this MAP, as applicable to the applicant’s
operation:

L. Training and Checking Manuals

Aircraft acquisition, facility arrangements, and certain training programme elements may not be
fully developed at the time of formal application. The initial training curriculum portion of the
applicant’s Training Programme Manual (completed to the extent possible) must be attached to the
formal application letter or form. Initial training curricula submitted with the formal application must
include at least the following segments:

1. Company procedures indoctrination (MCAR [Link] and [Link] and IS [Link])

2. Initial emergency equipment drills training (MCAR [Link] and IS [Link])
3. Initial aircraft ground training (MCAR [Link] and IS [Link](B)–[Link](D))
4. Initial aircraft flight training (MCAR [Link] and IS [Link])

M. Management Structure and Qualification Attachment

1. MCAR [Link] establishes the basic management positions and the implementing
standards establish minimum qualifications for air operators proposing to conduct
scheduled or charter commercial air transportation operations. It may be possible to obtain
an exemption from these required basic management positions and qualifications,
depending on the complexity of the planned operation. Individuals assigned to the required
management positions are expected to have a thorough knowledge of the operator’s
company manuals and draft OpSpecs, the MCARs, and the planned operations relevant to
the position. This attachment must contain resumes of the individuals’ qualifications,
licences (including licence numbers), ratings, and aviation experience for each of the
following positions or their equivalents:

a. Accountable Manager (e.g., Chief Executive Officer or General Manager)

b. Director of Operations
c. Chief Pilot

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d. Director of Safety
e. Director of Maintenance
f. Chief Inspector

2. If a change from the required management personnel (positions or number of positions

other than those listed above), as allowed by MCAR [Link](c), is anticipated, that change
should be noted in the formal application letter. The request for a change must be made in
a separate letter, requesting an exemption to the regulations and presenting justification
for the change. This request for a change should be made to the CAA as soon as practical
to enable the individual who will hold the position to be involved early in the certification
process. The applicant must show that it is able to perform operations safely with fewer or
different positions than those outlined in the MCARs. The applicant’s justification must take
into account the size and scope of the prospective operation as well as the qualifications of
intended personnel. The applicant must also show that the individuals can be reasonably
expected to effectively perform the functions associated with their subject positions in
accordance with the MCARs and the procedures outlined in the proposed manual.

N. Documents of Purchase, Leases, Contracts, and/or Letters of Intent Attachments

These attachments should provide evidence that the operator is in the process of actively procuring
aircraft, facilities, and services appropriate to the type of operation proposed. If formal contracts are
not completed, letters or other documents showing preliminary agreements or intent will suffice
until such date as determined by the CAA. Examples of the types of equipment, facilities, and
services that should be addressed in these documents are as follows:

1. Aircraft
2. Station facilities and services
3. Aeronautical weather information–gathering facilities and services
4. Communications facilities and services
5. Maintenance facilities and services
6. Maintenance contractual arrangements
7. Aeronautical charts and related publications
8. Aerodrome analysis and obstruction data
9. Contract training and training facilities

O. Statement of Compliance (Appendix I)

Preparation of the Statement of Compliance benefits the applicant by systematically ensuring that
all pertinent regulatory aspects are appropriately addressed during the certification process. This
statement also serves as a master index to the applicant’s manual system in order to expedite the
CAA’s review and approval of the operation and manual system. Appendix I of this MAP provides
examples of how relevant sections of MCARs should be presented in initial and completed
Statements of Compliance.

1. Initial Statement of Compliance. This attachment to the formal application letter should
contain a complete listing of all the MCARs pertinent to the proposed operation. Where the
compliance information has been developed (e.g., the manual material submitted with the
formal application), a manual reference or a description of the method of compliance must be

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entered next to the applicable regulatory section. For each pertinent part, each section of the
regulation should be identified and accompanied by a brief description of, or preferably a
specific reference to, a manual or other document. The brief description or reference must
describe the method of compliance for each regulation listed. It is not acceptable to enter
references such as “will comply,” “noted,” “understands,” or “is aware of.” (There is one
exception when these statements are appropriate. An applicant could use the statement “will
comply”, “noted”, “understands”, or “is aware of” for an applicability rule, such as MCAR [Link]
and MCAR [Link].) If the precise method of compliance has not been developed at the time of
formal application, an indication of the date that this information will be provided will suffice if
that date provided is reasonable and acceptable to the CAA. The table in Appendix I of this
MAP provides examples of how relevant sections of MCARs should be presented in an initial
Statement of Compliance.

2. Completed Statement of Compliance. The Statement of Compliance shall be in the form of a

complete listing of all MCAR parts pertinent to the operation the applicant is proposing. This list
should reference all subparts, sections, subsections, and paragraphs. Next to each paragraph
or 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. Appendix I of this MAP provides examples of how relevant
sections of MCARs should be presented in a completed Statement of Compliance.

P. Financial Economic Authority and Legal Matters Assessment

This attachment should consist of written evidence that the applicant has undergone, is
undergoing, or is scheduled to undergo a financial, economic, and legal matters assessment.

Q. List of Aircraft

This attachment should consist of a list of aircraft (by make, model, and series) that the applicant
intends to operate.

R. List of Designated Destination and Alternate Aerodromes

This attachment is required if the applicant is applying for scheduled domestic or scheduled
international operations.

S. Regulations (Appendix D)

A thorough understanding of pertinent regulations and advisory materials is critical to the success
of the entire certification process. The operator and key management personnel must understand
which regulations apply to the intended operation. A list of MCARs and ICAO Annexes and
documents, as applicable to various kinds and types of operations sought, is in Appendix D of this
MAP.

T. Coordination of Documents

During the Pre-Application Phase and throughout the certification process, the operator will have to
prepare documents and manuals for the CAA’s evaluation and approval or acceptance. The

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operator is encouraged to informally coordinate drafts of these documents with the PM and other
inspectors assigned to the certification project. Time spent on informal coordination can
significantly reduce the workload for the operator and the inspectors once the formal application is
submitted. The inspectors will give advice and guidance; however, the actual development of
acceptable documents and manuals is always the responsibility of the operator.

VI. FORMAL APPLICATION PHASE

A. The formal application for the initial issue of an AOC must be submitted at least 90 days before the
date of intended operations. Application for an amendment made by an AOC holder must be
submitted at least 30 days prior to the intended date of any operation under that amendment. It is
recommended that the application should be submitted to the CAA as far in advance of the
proposed start-up or amendment date as possible.

1. Requirements of formal application. It is essential during the pre-application meeting

that the applicant has a clear understanding of the form, content, and documents required
for the formal application. The applicant shall be informed that the formal application must
be submitted to the assigned CAA office and, after initial review, notification of its
acceptance or rejection will be provided by letter within 10 working days. The applicant
should be encouraged to submit the formal application as far in advance as possible of the
intended starting date.

2. Formal application letter or form. The inspector shall inform the applicant that the formal
application must be on a specific form provided by the CAA; or it may consist of a letter
containing the information discussed below.

The letter must contain the full and official name of the applicant. The Accountable
Manager must sign this letter or form. This person must have the authority for ensuring
that the AOC holder’s operations and maintenance activities can be financed and carried
out to the required CAA and AOC standards.

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 it is different than the address on its letterhead. This letter shall also
include the full name and address of the applicant’s agent for service as required by
Section 804 of the Act.

Additionally, the letter will confirm the identity of key management personnel required by
MCAR [Link], such as the Accountable Manager, Director of Operations, Director of
Maintenance, Chief Pilot, Chief Inspector, and Director of Safety. Other positions may be
added by the applicant, as applicable to their proposed operation. When a request for a
change from the qualification requirements of management personnel is anticipated, it
should be noted in the formal application letter. However, the request and the justification
for that change shall be made in a separate letter as a request to CAA for an exemption.

Any changes in the information in the formal letter that has changed from that in the POPS
should be identified and explained.

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3. Formal application package. The various documents and attachments discussed during
the pre-application meeting must be submitted with the formal application package. A
proposed Schedule of Events should also be submitted.

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, programmes, aircraft, and/or facility
acquisitions that the applicant must accomplish or make ready for the CAA’s inspection
before certification. The Schedule of Events will include the applicant’s best estimate of the
date the item, activity, programme, 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 CAA 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 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. The
applicant should be encouraged to use the format in Appendix C; however, other formats
may be acceptable if they provide information necessary for the certification team to
ensure that the applicant is proceeding in an appropriate manner.

B. The CAA will review the formal application package to determine that it contains the required
information and attachments. If there are omissions or errors, the formal application and all
attachments will be returned with a letter outlining the reasons for its return. If the operator has a
good understanding of the requirements, the formal application should be of sufficient quality to
allow any omission, deficiency, or open question to be resolved during the formal application
meeting.

C. The operator’s key management personnel should attend the formal application meeting. The
purpose of the meeting is to discuss the formal application, resolve omissions and deficiencies,
and answer questions from the different parties. For example, this meeting may be used to resolve
questions concerning the applicant’s formal application package or scheduling date conflicts or to
ensure that the applicant understands the certification process. This meeting should also be used
to reinforce open communication and working relationships.

D. If the formal application meeting is successful, the operator is provided with a letter acknowledging
receipt and acceptance of the package. The CAA’s acceptance of a formal application does not
constitute approval or acceptance of individual attachments. These documents will be evaluated
thoroughly during subsequent phases of the certification process. If the formal application package
is not accepted, it will be returned with a written explanation of the reasons for its return.

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VII. DOCUMENT EVALUATION PHASE

A. After the formal application package has been accepted, inspectors will begin a thorough
evaluation of all the manuals and documents that are required by regulation to be submitted to the
CAA. The CAA will endeavour to complete these evaluations in accordance with the operator’s
Schedule of Events. If a manual or document is incomplete or deficient, or if noncompliance with
the regulations or safe operating practices is detected, the manual or document will be returned for
corrective action. If the manuals and documents are satisfactory, they will be approved or
accepted, as required by MCARs. Approvals may be indicated by letter, by stamp, or by signing the
list of effective pages, as appropriate. Acceptance of information that does not require formal
approval will be indicated by letter or by the lack of the CAA’s objection to the information.

B. The complexity of the information which must be addressed in the operator’s manuals and other
documents depends on the complexity of the planned operation. The following list provides
examples of information that must be provided by the operator and evaluated by the CAA during
this phase:

1. Resumes for key management personnel outlining proposed management qualifications

and civil aviation compliance histories

2. Operations Manual (may be in one or more parts)

3. Maintenance Control Manual (may be in one or more parts), including the AMO
Maintenance Procedures Manual (MPM)

4. Aircraft maintenance programmes and supporting manuals, such as the Maintenance

Review Board (MRB) and corrosion prevention control programme (CPCP)

5. Mass and balance procedures/programme

6. Training Programme Manual

7. Aeroplane Flight Manual (AFM)

8. Aircraft Operating Manual (AOM)

9. Minimum Equipment List (MEL) and MEL management programme

10. Configuration Deviation List (CDL)

11. Flight deck checklist

12. Passenger briefing cards

13. Noise and emission plan (if applicable)

14. Fatigue risk management system (FRMS)

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15. Quality system and quality assurance programme

16. Safety management system

17. Aerodrome runway analysis

18. Dangerous goods

19. Cabin Crew Manual

20. Dispatch/flight following/flight locating procedures

21. Maintenance reliability programme (optional)

22. Plan for demonstration flights

23. Emergency evacuation demonstration plan

24. Ditching demonstration plan, if applicable

25. Fully completed Statement of Compliance

C. The fully completed Statement of Compliance is the final evolution of the initial Statement of
Compliance that was submitted with the formal application. The completed Statement of
Compliance ensures that each pertinent regulatory requirement has been adequately addressed in
the appropriate manuals, programmes, and/or procedures.

VIII. DEMONSTRATION AND INSPECTION PHASE

A. The MCARs require an operator to demonstrate its ability to comply with regulations and safe
operating practices before beginning actual revenue operations. These demonstrations include
actual performance of activities and/or operations while being observed by CAA inspectors. This
includes onsite evaluations of aircraft maintenance equipment and support facilities. During these
demonstrations and inspections, the CAA evaluates the effectiveness of the policies, methods,
procedures, and instructions as described in the operator’s manuals and other documents.
Emphasis is placed on the operator’s management effectiveness during this phase. Deficiencies
will be brought to the attention of the operator and corrective action must be taken before a
certificate is issued.

B. Although the Document Evaluation and the Demonstration and Inspection Phases have been
discussed separately in this MAP, these phases overlap or are accomplished simultaneously in
actual practice. The following list provides examples of the types of items, equipment, facilities, and
activities evaluated during the Demonstration and Inspection Phase:

1. Conduct of training programmes (classroom, simulators, aircraft, flight, and ground

personnel training)

2. Crew member and Flight Operations Officer testing and certification

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3. Station facilities (equipment, procedures, personnel, fuelling/defuelling, de-icing/anti-icing,

technical data)

4. Record keeping procedures (documentation of training, flight and duty times, and flight
papers)

5. Flight control (flight supervision and monitoring system or flight following system)

6. Maintenance and inspection programmes (procedures and record keeping)

7. Aircraft (conformity inspections, aircraft maintenance records, etc.)

8. MELs and CDLs (compliance with operating and maintenance procedures, etc., if
applicable)

9. Mass and balance programme (procedures, accuracy, and document control)

10. Passenger emergency evacuation demonstration (aborted take-off demonstration and

ditching demonstration, if applicable)

11. Demonstration flights, including full-scale simulation of revenue operations to demonstrate

the ability to operate independently, safely, and in compliance with all applicable MCARs

C. The Demonstration and Inspection Phase events discussed in this MAP are applicable only to the
certification of an air operator. AMO certification is addressed and conducted as a separate
certification process.

Note: An applicant for an air operator certificate (AOC) may concurrently seek CAA approval of its
maintenance organisation. The applicant needs to coordinate the progress of both certification
projects. Both certification projects must be in the Demonstration and Inspection Phase at the
same time. The demonstration flights required by MCAR [Link](a) require the applicant to
demonstrate to the CAA all proposed flight and ground operations. The applicant therefore will also
be expected to demonstrate use of its approved maintenance organisation to ensure that
procedures in the Maintenance Control Manual (MCM) and Maintenance Procedures Manual
(MPM) are in agreement.

IX. CERTIFICATION PHASE

A. After the Document Evaluation Phase and the Demonstration and Inspection Phase have been
completed satisfactorily, the CAA will prepare an air operator certificate and approve the OpSpecs.
The OpSpecs contain authorisations, limitations, and privileges specific to an operator’s operation.
The operator must acknowledge receipt of these documents.

B. The certificate holder is responsible for continued compliance with MCARs and the authorisations,
limitations, and privileges of its certificate and OpSpecs. As a certificate holder’s operation
changes, the OpSpecs will be amended accordingly. The process for amending OpSpecs is similar
to the certification process. In some cases, it may be a less complex procedure depending on the
subject of the amendment. The CAA is responsible for conducting periodic inspections of the

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certificate holder’s operation to ensure continued compliance with the MCARs and safe operating
practices.

X. LIST OF APPENDICES

Appendix A. Prospective Operator’s Pre-Assessment Statement (POPS) Job Aid

Appendix B. Sample Formal Application Letter
Appendix C. Air Operator Certification Job Aid and Schedule of Events
Appendix D. MCARs and ICAO Annexes and Documents
Appendix E. Definitions of Terms
Appendix F. Certification Process Flow Chart
Appendix G. Operations Specifications
Appendix H. General Operations Manual – MCAR and IS Compliance
Appendix I. Statement of Compliance Examples

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APPENDIX A.
PROSPECTIVE OPERATOR’S PRE-ASSESSMENT STATEMENT (POPS) JOB AID

Instructions for Completing the POPS Job Aid

GENERAL. The POPS is to be completed by an air operator or approved maintenance organisation (AMO)
applicant.

SECTION 1A. All applicants shall complete this section.

Block 1. Enter the company’s official name and mailing address. Include any other business or trade name
(if different from the company name).

Block 2. Enter the physical location where primary operating activities are based, that is, where the offices
of management required by regulation are located. If the address is the same as the address listed in Block
1, enter “Same.” Include the address of any secondary base operations.

Block 3. Enter the estimated date when operations or services will begin.

Block 4. Indicate up to three three-letter identifiers such as IAL, ABC, XYZ, etc. This information will be
used to assign a company identification number. If all choices have been assigned to other operators or
AMOs, a randomly selected number will be assigned.

Block 5. Enter the names, titles, telephone numbers, and other contact details of management and key
staff personnel required by MCAR Part 9.

Note: Management personnel qualification requirements are specified in MCAR Part 9 and the related
Implementing Standards (IS).

SECTION 1B. The air operator and/or AMO applicant shall complete this section, as appropriate.

Block 6. Check the appropriate box to indicate if the air operator intends to perform maintenance as an
AMO, to contract all or part of its maintenance, or to perform its own maintenance using an equivalent
system or if AMO-only certification is sought.

Block 7. Indicate the proposed type of operation. Check as many boxes as apply.

Block 8. Indicate the proposed type of AMO ratings. Check as many boxes as apply.

SECTION 1C. Air operators shall complete this section.

Block 9. Indicate the number and types of aircraft by make, model, series, and national registration and the
number of passenger seats or cargo payload capacity. For leased aircraft, provide a copy of the lease
agreement.

Block 10. Indicate the geographic areas of intended operations and the proposed route structure.

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SECTION 1D. All applicants shall complete this section.

Block 11. Enter any information that would assist CAA personnel in understanding the type and scope of
operation or services to be performed by the applicant. If an air operator intends to arrange for
maintenance and inspections of its aircraft and/or associated equipment, identify the AMO selected and
provide a list of the maintenance or inspections it proposes to perform. Also, provide all written contracts
with this POPS, if applicable.

Block 12. Identify the proposed training, including the type of aircraft and/or flight simulation training
devices (FSTDs).

For air operator certificates (AOCs), identify the type of aircraft and/or FSTDs intended to be used and the
training to be provided.

For AMOs, identify the type of aircraft by make and model. In addition, identify the type of training the
quality assurance staff, certifying staff, and maintenance personnel will receive based on the ratings
requested.

Block 13. The signature of the Accountable Manager denotes the intent to seek CAA certification as an air
operator or AMO.

The Accountable Manager must sign the POPS. If an individual other than the Accountable Manager signs
the POPS, the Accountable Manager must submit with the POPS a letter addressing that individual’s
authority to do so.

SECTION 2. The CAA official shall complete this section.

Block 14. Enter the required information, including a recommendation in the Remarks block on the action
to be taken, and forward the POPS and all available information to the Director General of Civil Aviation.

SECTION 3. The office of the Director General of Civil Aviation shall complete this section.

Block 15. The Director General of Civil Aviation will authorise the appropriate CAA office or section, where
certification or approval action is to be continued, to designate a PM and a certification team.

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Prospective Operator’s Pre-Assessment Statement (POPS)

Job Aid
(to be completed by the air operator and/or approved maintenance organisation (AMO))
Section 1A. To be completed by all applicants
1. Name and mailing address of the company (include 2. Address of the principal (main) base where operations will be
business or trade name if different from the company name) conducted (include address of secondary base of operations, if
appropriate)

3. Proposed start-up date (dd/mm/yyyy) 4. Requested company identifier(s) in order of preference

1. 2. 3.

5. Management and key staff personnel

Telephone, email, and address
Name (surname, first name) Title
(include country code)

Section 1B. To be completed by the air operator and/or AMO applicant

6. Air operator intends to perform its maintenance as an AMO (complete Blocks 7 & 8)
Air operator intends to arrange for maintenance and inspections of aircraft and associated equipment to be performed by other
licensed or certificated maintenance providers (complete Blocks 7, 8, & 11)
Air operator intends to perform maintenance under an equivalent system (complete Blocks 7, 8, & 11)
AMO (complete Block 8)
7. Proposed type of operation (check as many as applicable) 8. Proposed type of AMO rating(s)
AOC – MCAR Parts 8 & 9 AMO – MCAR Part 6
Passengers and cargo Airframe Computers
Cargo only Powerplant Instrument
Scheduled operations Propeller Accessory
Charter flight operations Avionics Specialised service
Section 1C. To be completed by the air operator
9. Aircraft data 10. Geographic areas of intended operations and proposed route
Number and types of aircraft Number of passengers seats structure
(by make, model, series, and and/or cargo payload capacity
national registration)

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Section 1D. To be completed by all applicants

11. Additional information that provides a better understanding of the proposed operation or business (attach additional sheets, if
necessary)

12. Proposed training (aircraft and/or simulators)

13. Signature of the Accountable Manager denotes intent to apply for a CAA certificate as an air operator or AMO.
Signature Date (dd/mm/yyyy) Name and title

Section 2. To be completed by the CAA official

14. Received by (name, title, and office) Date received (dd/mm/yyyy)

Date forwarded to the head of the CAA or designee (dd/mm/yyyy) For: Action
Information only

Remarks

Section 3. To be completed by the Office of the Director General of Civil Aviation

15. Received by (name and title) Pre-application number

Date received (dd/mm/yyyy) Assigned certification number

Office assigned responsibility (as applicable) Date forwarded to responsible office (dd/mm/yyyy)

Remarks

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APPENDIX B.
SAMPLE FORMAL APPLICATION LETTER

[NAME OF APPLICANT]
[APPLICANT ADDRESS]

[DATE]

Civil Aviation Authority

Attn: [NAME], Manager
[CAA ADDRESS]

Dear [NAME]:

This letter serves as formal application for a Civil Aviation Authority (CAA) of [STATE] air operator certificate.
[NAME OF APPLICANT], initially intends to certificate and operate as a [SCHEDULED OR NONSCHEDULED
PASSENGER, FREIGHT, OR MIXED PASSENGER AND FREIGHT] commercial air transport operation under
Parts 8 and 9 of the Model Civil Aviation Regulations (MCARs). We intend to use [NUMBER AND TYPE]
aeroplane(s) between [LOCATION] and [LOCATION]. We have enclosed a copy of [(OUR REPORT OF) OR (OUR
FILING WITH) (IDENTIFY THE STATE AGENCY OF TRANSPORTATION)] for a financial, economic, and legal
matters assessment.

Our company will maintain its principal base of operations and corporate offices located at [APPROPRIATE
ADDRESS]. Our maintenance base (if the company intends to conduct maintenance under its AOC) will be located
at [APPROPRIATE ADDRESS]. [IF THE COMPANY INTENDS TO APPLY UNDER SEPARATE COVER FOR AN
APPROVED MAINTENANCE ORGANISATION, STATE SO HERE.] A copy of our contract with [NAME OF
MAINTENANCE ORGANISATION] is enclosed. Key management personnel, as required by MCAR [Link], are as
follows:

Accountable Manager – [POSITION TITLE AND NAME]

Director of Operations – [POSITION TITLE AND NAME]
Chief Pilot – [POSITION TITLE AND NAME]
Director of Safety – [POSITION TITLE AND NAME]
Director of Maintenance – [POSITION TITLE AND NAME]
Chief Inspector – [POSITION TITLE AND NAME]

Also enclosed are the Air Operator Certification Job Aid and Schedule of Events and the initial Statement of
Compliance which were agreed to at our last meeting with your representatives. We have retained the services of
[POSITION TITLE, NAME, AND ADDRESS] as our agent for service.

Sincerely,

[NAME]
[POSITION TITLE]

Attachments

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APPENDIX C.
AIR OPERATOR CERTIFICATION JOB AID AND SCHEDULE OF EVENTS

Air Operator Certification Job Aid and Schedule of Events

1. Official name of company 2. Location address

3. Mailing address (if different from location) 4. Pre-certification number

Date
CAA Scheduled Revised Inspector Date Returned CAA
Ref. I. Pre-Application Phase Date Date Initials
Received/
for Changes Remarks
Accomplished
A. Initial orientation: Inspector ___________
1. Provide OPS-MAP-001, Certification
of an Air Operator, to applicant
2. Provide other applicable publications
and documents to applicant
3. Provide overview of certification
process and scheduling information
for pre-application meeting
B. Designate certification team (at least one
operations and one maintenance
inspector)
Name Speciality
PM

Remarks

C. Conduct pre-application meeting

1. Verify POPS information
2. Provide overview of certification
process
3. Provide certification package
containing:
a. Air Operator Certification Job
Aid and Schedule of Events
b. Model OpSpecs
c. Other applicable publications
and documents

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Date
CAA Scheduled Revised Inspector Date Returned CAA
Ref. I. Pre-Application Phase, cont. Date Date Initials
Received/
for Changes Remarks
Accomplished
4. Explain formal application
submissions
Remarks

Date
CAA Scheduled Revised Inspector Date Returned CAA
Ref. II. Formal Application Phase Date Date Initials
Received/
for Changes Remarks
Accomplished
A. Review applicant’s submission
1. Formal application letter/form
a. Full and official name (legal)
b. Mailing address
c. Primary operating location
(principal operations/
maintenance base)
d. Name and address of
applicant’s agent for service
e. Key management personnel
names
2. Formal application attachments
a. Schedule of Events
b. Initial Statement of
Compliance
c. Company general manuals
i. Operations Manual
ii. Maintenance Control
Manual
iii. Aircraft maintenance
programme
d. Initial new hire training
curricula (crew members and
flight/operations/officers)
i. Company procedures
indoctrination
ii. Emergency
equipment drills
training
iii. Initial flight and
ground training
e. Management and key staff
qualifications/resumes
f. Documents of purchase/
contract(s)/lease(s)/Letters of
Intent
Remarks

B. Evaluate CAA resources based on

Schedule of Events

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Date
CAA Scheduled Revised Inspector Date Returned CAA
Ref. II. Formal Application Phase, cont. Date Date Initials
Received/
for Changes Remarks
Accomplished
C. Conduct formal application meeting
1. Schedule of Events
Date:_________Time:_________
2. Discuss each submission
3. Resolve discrepancies/open items
4. Review certification process
5. Review impact if Schedule of
Events is not met
D. Issue letter accepting/rejecting
application
Remarks

Date
CAA Scheduled Revised Inspector Date Returned CAA
Ref. III. Document Evaluation Phase Date Date Initials
Received/
for Changes Remarks
Accomplished
A. Evaluate applicable training programmes
1. Training curricula
a. Company procedures
indoctrination
b. Emergency equipment drills
training
c. Ground training (handling/
servicing/de-icing)
d. Flight training
i. Initial training
ii. Recurrent training
iii. Transition/upgrade
training
iv. Differences training
e. Check Personnel/Flight
Instructor
f. Cabin crew member training
i. Initial training
ii. Recurrent training
g. Cabin crew member check
personnel/cabin instructor
h. Flight Operations Officer
training
i. Initial training
ii. Recurrent training
i. Check Personnel/Instructor
Flight Operations Officer
j. Crew resource management
k. Security
l. Dangerous goods
Remarks

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Date
CAA III. Document Evaluation Phase, Scheduled Revised Inspector
Received/
Date Returned CAA
Ref. cont. Date Date Initials
Accomplished
for Changes Remarks
B. Evaluate management qualifications
1. Accountable Manager
2. Director of Operations
3. Director of Maintenance
4. Quality Manager(s), as applicable
a. Quality Manager for
operations
b. Quality Manager for
maintenance
5. Chief Pilot
6. Director of Safety
7. SMS Manager(s), as applicable
a. SMS Manager for operations
b. SMS Manager for
maintenance
8. Chief Inspector
9. Director of Training, as applicable
10. Other, as applicable
11. Request for changes in
management personnel, as
applicable
Remarks

C. Evaluate operator’s manual system

1. Completed Operations Manual
a. Emergency exit plan
b. Carry-on baggage plan
2. Completed Maintenance Control
Manual
3. CAA-approved Aeroplane Flight
Manual
4. Aircraft checklists
a. Normal
b. Abnormal
c. Emergency
5. Cabin Crew Manual
6. Flight supervision and monitoring/
flight following
7. Station/facility operations
8. Company Emergency Manual
9. Aerodrome Data and Route Guide
Manual (charts and plates)
10. Aerodrome/runway analysis
(performance)
11. Minimum Equipment List (MEL)
a. MEL management programme
12. Configuration Deviation List
13. Maintenance Technical Manuals
14. Fuelling/refuelling/defuelling
15. Ground Servicing Manual
16. Mass and balance control
programme
17. Dangerous goods
18. Security

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Date
CAA III. Document Evaluation Phase, Scheduled Revised Inspector
Received/
Date Returned CAA
Ref. cont. Date Date Initials
Accomplished
for Changes Remarks
19. Reliability programme
20. Completed continuous airworthiness
maintenance programme
21. Emergency plan/notification
22. Passenger briefing cards
23. Quality Manual
24. Safety Management System Manual
Remarks

D. Conduct other evaluations

1. Aircraft lease
2. Maintenance contracts/agreements
3. Servicing contracts/agreements
4. Exemption requests/justification
5. Plan for emergency evacuation
demonstration
6. Plan for demonstration flight
7. Final Statement of Compliance
8. Training contracts
9. De-icing/anti-icing contracts
10. Exit row seating
11. Dispatch/flight following contracts
Remarks

Date
CAA IV. Demonstration and Inspection Scheduled Revised Inspector
Received/
Date Returned CAA
Ref. Phase Date Date Initials
Accomplished
for Changes Remarks
A. Evaluate operator conducting training
1. Training facilities
2. Training schedules
3. Flight crew member training
a. Company procedures
indoctrination
b. Emergency equipment drills
training
c. Ground training
d. Flight training
4. Check Personnel/Instructor
5. Cabin crew member training
a. Company procedures
indoctrination
b. Emergency equipment drills
training
c. Ground training
d. Flight training
6. Cabin crew member check
personnel/instructor
7. Crew resource management

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Date
CAA IV. Demonstration and Inspection Scheduled Revised Inspector
Received/
Date Returned CAA
Ref. Phase, cont. Date Date Initials
Accomplished
for Changes Remarks
8. Flight Operations Officers
personnel training
9. Flight Operations Officers Check
Personnel/Instructor
10. Dangerous goods training
a. Crew members
b. Ground personnel
11. Security training
12. Maintenance training
a. Director of Maintenance
b. Quality Manager(s)
c. Quality system personnel
d. Safety Manager(s)
Remarks

B. Evaluate operator conducting

testing/certification
1. Flight crew members
2. Flight Operations Officers
3. Cabin crew members
C. Conduct Aircraft make/model conformity
inspection
D. Conduct Main operations base inspection
E. Conduct Main maintenance base
inspection
F. Conduct Station/facilities inspection
(operations)
G. Conduct Station/facilities inspection
(maintenance)
H. Conduct operator flight supervision and
monitoring/flight following demonstration
Remarks

I. Record keeping locations

1. Crew member
a. Training
b. Flight and rest times
c. Qualification
2. Maintenance
a. Aircraft records
b. Maintenance personnel
training
i. Director of
Maintenance
ii. Quality Manager and
staff
iii. Contract employees

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Date
CAA IV. Demonstration and Inspection Scheduled Revised Inspector
Received/
Date Returned CAA
Ref. Phase, cont. Date Date Initials
Accomplished
for Changes Remarks
Remarks

J. Flight/trip records
K. Emergency evacuation demonstration
L. Ditching demonstration
M. Demonstration flight evaluation
N. Proof of [STATE] economic authority
Remarks

Date
CAA Scheduled Revised Inspector Date Returned CAA
Ref.
V. Certification Phase Date Date Initials
Received/
for Changes Remarks
Accomplished
A. Prepare certificate and OpSpecs
B. Issue certificate and OpSpecs
Remarks

C. Prepare certification report

1. Assemble report
a. Formal application letter
b. Final Statement of
Compliance
c. Copy of OpSpecs
d. Copy of certificate
e. Summary of difficulties
2. Distribute report
Remarks

D. Develop post-certification surveillance

programme
1. Within geographic area
2. Outside geographic area
Remarks

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APPENDIX D.
MCARS AND ICAO ANNEXES AND DOCUMENTS

SECTION 1 – Applicable MCARs

Part 1 General Policies, Procedures, and Definitions and IS
Part 2 Personnel Licensing and IS
Part 3 Approved Training Organisations and IS
Part 4 Aircraft Registration and Marking and IS
Part 5 Airworthiness and IS
Part 6 Approved Maintenance Organisations and IS
Part 7 Instruments and Equipment and IS
Part 8 Operations and IS
Part 9 Air Operator Certification and Administration and IS
Part 10 Commercial Air Transport by Foreign Air Operators Within [STATE] and IS
Part 11 Aerial Work

Other [STATE] regulations may be applicable to an air operator certification. States may reference additional
publications applicable to a certification of an air operator.

SECTION 2 – Applicable ICAO Annexes for international operations (as revised)

Annex 1 to the ICAO Convention Personnel Licensing
Annex 2 to the ICAO Convention Rules of the Air
Annex 6 to the ICAO Convention Operation of Aircraft
Annex 8 to the ICAO Convention Airworthiness of Aircraft
Annex 10 to the ICAO Convention Aeronautical Telecommunications
Annex 11 to the ICAO Convention Air Traffic Services
Annex 12 to the ICAO Convention Search and Rescue
Annex 19 to the ICAO Convention Safety Management

SECTION 3 – Applicable ICAO documents for international operations (as revised)

Circular 253-AN/151 Human Factors Digest No. 12 – Human Factors in Aircraft Maintenance and
Inspection
Document 4444-AMT/501 Air Traffic Management
Document 7030 Regional Supplementary Procedures
Document 8168-OPS Procedures for Air Navigation – Aircraft Operations
Document 8335-AN/879 Manual of Procedures for Operations, Inspection, Certification and Continued
Surveillance
Document 9284-AN/905 Technical Instructions for the Safe Transport of Dangerous Goods by Air
Document 9365-AN/910 Manual of All-Weather Operations
Document 9376-AN/914 Preparation of an Operations Manual
Document 9379-AN/916 Manual and Procedures for Establishment and Management of a State’s
Personnel Licensing System
Document 9389-AN/919 Manual of Procedures for an Airworthiness Organisation
Document 9642-AN/941 Continuing Airworthiness Manual
Document 9859-AN/474 Safety Management Manual (SMM)

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APPENDIX E.
DEFINITIONS OF TERMS

The following terms are used in this model advisory pamphlet and/or the certification process.

Agent for service. The person upon whom service of all notices and processes and all orders, decisions, and
requirements of the [STATE] Civil Aviation Authority shall be made.

Commercial air transport. An aircraft operation involving the transport of passengers, cargo, or mail for
remuneration or hire.

Scheduled operation. An aircraft operation conducted by a commercial air transport operator for which the
certificate holder or its representative offers in advance the departure location, departure time, and arrival location.

Charter operation. An operation for which the departure time, departure location, and arrival locations are
specifically negotiated with the operator’s customer or the customer’s representative.

Passenger carrying operation. Any aircraft operation carrying any person other than a crew member, company
employee, authorised government representative, or person accompanying a shipment.

Principal base of operations. The primary operating location of a certificate holder as designated by the CAA.

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APPENDIX F.
CERTIFICATION PROCESS FLOW CHART

The flow charts on the following pages are representative of the air operator certification process. This chart also
represents the process for the certification of an approved maintenance organisation.

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APPENDIX G.
OPERATIONS SPECIFICATIONS

IS [Link](E) CONTENTS OF OPERATIONS SPECIFICATIONS

(a) The operations specifications layout shall be as follows:
Note: The Minimum Equipment List (MEL) constitutes an integral part of the Operations Manual.
OPERATIONS SPECIFICATIONS
(subject to the approved conditions in the Operations Manual)
Issuing Authority Contact Details1
Telephone: Fax: Email:

AOC#2: Operator Name3: Date4: Signature:

DBA Trading Name:

Aircraft Model5:

Types of Operation: □Passengers □Cargo □Other6:

Area of operation7:

Special Limitations8:

Special Authorisations: Yes No Specific Approvals9 Remarks

Dangerous Goods □ □
Low Visibility Operations
Approach and Landing □ □ CAT10: ____, RVR: _____m, DH: ___ ft
Take-off □ □ RVR11: _____m
RVSM12 □ N/A □ □
EDTO13 □N/A Threshold time14 : ____ minutes
□ □ Maximum Diversion Time14: ___ minutes
Navigation Specifications for □ □ 16

PBN Operations15
Continuing Airworthiness16 X X 17

Other18 □ □

Notes:
1. Telephone and fax contact details of the Authority, including the country code. Email to be provided if
available.
2. Insertion of associated AOC number.
3. Insertion of the operator registered name and the operator trading name, if different. Insert “DBA” before
the trading name (for “Doing business as”).
4. Issuance date of the operations specifications (dd-mm-yyyy) and signature of the Authority representative.

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5. Insertion of the Commercial Aviation Safety Team (CAST) ICAO designation of the aircraft make, model,
and series, or master series, if a series has been designated (e.g., Boeing-737-3K2 or Boeing-777-232).
The CAST/ICAO taxonomy is available at: [Link]
6. Other type of transportation to be specified (e.g., emergency medical service).
7. Listing of geographical area(s) of authorised operation (by geographical coordinates or specific routes,
flight information region, or national or regional boundaries).
8. Listing of applicable special limitations (e.g., VFR only, Day only, etc.).
9. List in this column the most permissive criteria for each approval or the approval type (with appropriate
criteria).
10. Insertion of applicable instrument approach operation: Type B (CAT I, II, III). Insertion of minimum RVR in
meters and Decision Height in feet. One line is used per listed approach category.
11. Insertion of approved minimum take-off RVR in meters. One line per approval may be used if different
approvals are granted.
12. Not Applicable (N/A) box may be checked only if the aircraft maximum ceiling is below FL290.
13. Extended diversion time operations (EDTO) currently applies only to twin-engined aircraft. Therefore the
Not Applicable (N/A) box may be checked if the aircraft model has more than 2 engines. Should the
concept be extended to 3 or 4-engine aircraft in the future, the Yes or No checkbox will be required to be
checked.
14. The threshold distance may also be listed (in nm), as well as the engine type.
15. Performance-based Navigation (PBN): one line is used for each PBN specifications authorisation (e.g.,
RNAV 1, RNP 4), with appropriate limitations or conditions listed in the “Specific Approvals” and/or
“Remarks” columns.
16. Limitations, conditions, and regulatory basis for operational approval associated with the Performance-
based Navigation specifications (e.g. GNSS, DME/DME/IRU). Information on performance-based
navigation, and guidance concerning the implementation and operational approval process, are contained
in the Performance-based Navigation Manual (Doc 9613).
17. Insert the name of the person/organisation responsible for ensuring that the continuing airworthiness of the
aircraft is maintained and the regulations which require the work, i.e., within the AOC regulation or a
specific approval (e.g., EC2042/2003, Part M, Subpart G).
18. Other authorisations or data can be entered here, using one line (or one multi-line block) per authorisation
(e.g., special approach authorisations, NMPS, approved navigation performance, etc.).
(b) In addition to the items in paragraph [Link](d), operations specifications may include other specific
authorisation, such as:
(1) Special aerodrome operations (e.g., short take-off and landing operations or land and hold
short operations);
(2) Special approach procedures (e.g., steep gradient approach, instrument landing system
precision runway monitor approach, localiser-type directional aid precision runway monitor
approach, RNP approach, etc.);
(3) Single-engine passenger transport at night or in instrument meteorological conditions
(IMC); and
(4) Operations in areas with special procedures (e.g., operations in areas using different
altimetry units or altimeter setting procedures).
Annex 6: Part 1: Appendix 6:3

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APPENDIX H.
GENERAL OPERATIONS MANUAL – MCAR AND IS COMPLIANCE

The applicant should ensure that the manuals are in compliance with at least the MCAR Part 9 sections and related
Implementing Standards in this appendix, as applicable to the applicant’s operation.

MCAR Part 9 and related Implementing Standards (IS):

[Link](a)(1) Duties and responsibilities of employees
[Link](a)(2) Easy to revise
[Link](a)(2) and (3) Revision control, each page dated
[Link](a)(5) References to appropriate regulations
[Link]/IS [Link] Retention of Records
[Link]/[Link]/[Link] Records retention system
[Link] Cockpit Voice and Flight Data Recorder Records
[Link] Aircraft Technical Log
[Link]/IS [Link](G) Operations Manual
[Link](b) Company general policies
IS [Link](G) Flight dispatching and operational control
IS [Link](G) Flight crew succession of command
IS [Link](G) Procedures for operating in adverse weather
IS [Link](G) Authority to countermand decisions
IS [Link](G) Crew member and operations personnel training
IS [Link](G) Procedures for refuelling
IS [Link](G) Pilot and dispatcher route/airport qualification procedures
IS [Link](G) Accident notification procedures
IS [Link](G) Organisation and maintenance arrangements
[Link]/IS [Link] Training Programme Manual
[Link]/IS [Link] Aircraft Operating Information Manual
[Link] Aircraft Technical Log Entries – Journey Records Section
[Link] Designation of PIC for Commercial Air Transport
[Link] Required Cabin Crew Members
[Link] Carriage of Special Situation Passengers
[Link] Crew Member Checking and Standardisation Programme
[Link] Cockpit Check Procedure
[Link] Minimum Equipment List and Configuration Deviation List
[Link] Performance Planning Manual
[Link] Performance Data Control System
[Link] Aircraft Loading and Handling Manual
[Link] Mass and Balance Data Control System
[Link] Cabin Crew Member Manual
[Link]/IS [Link] Passenger Briefing Cards
[Link]/IS [Link] Aeronautical Data Control System
[Link]/IS [Link] Route Guide – Areas, Routes, and Aerodromes
[Link]/IS [Link] Weather Reporting Sources
[Link]/IS [Link] De-Icing and Anti-Icing Programme
[Link]/IS [Link] Flight Supervision and Monitoring System
[Link]/IS [Link] Managing Fatigue-Related Safety Risks
[Link] Communications Facilities

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[Link] Routes and Areas of Operation

[Link]/IS [Link] Maintenance Control Manual
[Link] Required inspection items
[Link] Inspection procedures
[Link] Inspection limitations
[Link] Procedures to ensure inspections are completed
[Link] Maintenance Management
[Link]/ [Link] Records retention system
[Link]/[Link] Airworthiness release and aircraft log entry procedures
[Link] Security Requirements
[Link] Approval to Transport Dangerous Goods (if applicable)
[Link] Scope (of dangerous goods)

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APPENDIX I.
STATEMENT OF COMPLIANCE EXAMPLES

Method 1 – Statement of Compliance, Unacceptable Presentation

Method of compliance not developed at time of formal application:

MCAR [Link] Aeronautical Data Control System. This system is currently under development and will be
submitted for approval on (date).

Method 2 –Statement of Compliance, Acceptable Presentation

Method of compliance fully developed – acceptable presentation at time of formal application:

MCAR [Link] Reporting Mechanical Irregularities

The air operator instructs the Pilot-in-Command (PIC) on the requirements for, and methods of completing,
the aircraft technical log. The PIC is required to review the log before each flight and to ascertain the status
of each previous entry. The MCM instructs maintenance personnel on the requirement to record
irregularities discovered during pre-flight checks and other types of checks.

Method 3 – Statement of Compliance, Preferred Presentation

Reference method of compliance fully developed – preferred presentation at time of formal application:

MCAR [Link] De-Icing and Anti-Icing Programme.

Flight Operations Manual (FOM) p. 129, para. 243;
Maintenance Control Manual (MCM) p. 45, para. 12.5.

OR

MCAR [Link] Supervised Line Flying – Pilots

(a) OM p. 217, para. 237
(b) OM p. 218, para. 238
(c) OM p. 219, para. 240

Method 4 – Statement of Compliance, Preferred Presentation

Narrative method of compliance fully developed – preferred presentation at time of formal application:

MCAR [Link] Reporting Mechanical Irregularities

The OM, page 37-5, paragraph 35, instructs the Pilot-in-Command (PIC) on the requirements for, and
methods of completing, the aircraft technical log. The PIC is required to review the log before each flight
and to ascertain the status of each previous entry. The MCM page 58-33, paragraph 665(1)(A), instructs
maintenance personnel on the requirement to record irregularities discovered during pre-flight checks and
other types of checks.

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