FOCA GM/INFO Guidance M INFORMATION€¦ · FOCA Guidance Material / INFORMATION AOC Variation /...
Transcript of FOCA GM/INFO Guidance M INFORMATION€¦ · FOCA Guidance Material / INFORMATION AOC Variation /...
Federal Department of the
Environment, Transport, Energy and Communications DETEC
Federal Office of Civil Aviation FOCA
Safety Division – Flight Operations
FOCA GM/INFO Guidance Material / INFORMATION
EASA Air Operations – Air Operator Certificate
This guidance shall assist the commercial operators in the process of varying, revising or changing an air oper-ator certificate (AOC) that has already been granted by FOCA previously.
Scope Guidance material for the variation, revision or change of an already existing air operator certificate of Swiss operators
Who is concerned Swiss AOC holders
valid from 2016-12-01
Purpose for guidance / information
Document Reference 58-11
Registration No. BAZL / 311.120.1-00001/00003
Prepared by Section Operations of Complex Airplanes
Released by SBOC / wer
Distribution Internal/External
CP ISS 1 / REV 2 / 01.12.2016
AOCVariation/Revision/Changes
LEFT BLANK
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
ABB 1
Log of Revision (LoR)
Date Issue Revision Highlight of Revision
01.07.2010 1 0 First Issue
24.05.2012 1 1 Revision
01.12.2016 1 2 New format and correction of legal references
List of Effective Chapters
CP ISS 1 / REV 2 / 01.12.2016
LoA ISS 1 / REV 2 / 01.12.2016
ToC ISS 1 / REV 2 / 01.12.2016
GM 0 ISS 1 / REV 2 / 01.12.2016
Ch. 0.1 ISS 1 / REV 2 / 01.12.2016
Ch. 0.2 ISS 1 / REV 2 / 01.12.2016
Ch. 0.3 ISS 1 / REV 2 / 01.12.2016
Ch. 0.4 ISS 1 / REV 2 / 01.12.2016
GM 1 ISS 1 / REV 2 / 01.12.2016
GM 2 ISS 1 / REV 0 / 01.07.2010
GM 3 ISS 1 / REV 2 / 01.12.2016
GM 4 ISS 1 / REV 2 / 01.12.2016
GM 5 ISS 1 / REV 0 / 01.07.2010
GM 6 ISS 1 / REV 1 / 24.05.2012
GM 7 ISS 1 / REV 2 / 01.12.2016
GM 8 ISS 1 / REV 1 / 24.05.2012
GM 9 ISS 1 / REV 2 / 01.12.2016
Ch. 9.1 ISS 1 / REV 0 / 01.07.2012
Ch. 9.2 ISS 1 / REV 2 / 01.12.2016
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
ABB 1
List of Abbreviations LoA ISS 1 / REV 2 / 01.12.2016
The following abbreviations are used within this Guidance Material / Information:
Abbreviation Definition
ACJ Advisory Circulars Joint
AEA Association of European Airlines
AFM Aircraft Flight Manual
AMC Acceptable Means of Compliance
AOC Air Operator Certificate
ARO Authority Requirements for Air Op-erations
ATA Air Transport Association
CL Compliance List
DOC Document
EASA European Aviation Safety Agency
EC European Commission
ECAC European Civil Aviation Conference
EU European Union
FAA Federal Aviation Administration
FOCA Federal Office for Civil Aviation
FOM Flight Operations Manual
FSF Flight Safety Foundation
GM Guidance Material
GM/INFO Guidance Material/Information
IATA International Air Transport Associa-tion
ICAO International Civil Aviation Organi-sation
IEM Interpretative and Explanatory Ma-terial
LEP List of Effective Pages
LFV Luftfahrtverordnung
LoR Log of Revision
MEL Minimum Equipment List
MLR Manuals, Logs and Records
Abbreviation Definition
NAT PCO North Atlantic Programme Coordi-nation Office
OD Operational Directives
OM Operations Manual
OPS Operation/Operations
ORO Organisation Requirements for Air Operations
PM Project Manager
PRA Proposed Revision / Amendment
RNAV Area Navigation
RVSM Reduced Vertical Separation Mini-ma
VFR Visual Flight Rules
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
ToC 1
Table of Contents (ToC) ToC ISS 1 / REV 2 / 01.12.2016
Log of Revision (LoR) ........................................................................................................................ 2
GM 0 Introduction .......................................................................................................................... 2
0.1. Purpose .................................................................................................................................. 2
0.2. Related Material and Documents ........................................................................................... 2
0.3. Terms and Conditions ............................................................................................................ 3
0.4. Legal references..................................................................................................................... 3
GM 1 Import of an aeroplane ......................................................................................................... 4
GM 2 Export of an aeroplane ........................................................................................................ 4
GM 3 Changes of management personnel ................................................................................... 4
GM 4 Revision or new issue of the manual system..................................................................... 5
GM 5 Operator’s name change ..................................................................................................... 5
GM 6 Change of ownership of an aeroplane ................................................................................ 5
GM 7 Change of operations specifications of an aeroplane fleet ............................................... 6
GM 8 Costs and time schedule ..................................................................................................... 6
GM 9 Appendices ........................................................................................................................... 7
9.1. Appendix 1 – Example for an application for foreign ownership .............................................. 7
9.2. Appendix 2 – Homepage addresses/useful links .................................................................... 8
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
Page 1 of 7
GM 0 Introduction GM 0 ISS 1 / REV 2 / 01.12.2016
All Guidance Material/Information (GM/INFO) are intended to assist the organisation/operator in administrative matters. The administrative requirements and processes will facilitate liaising with the Federal Office of Civil Aviation (FOCA). It is to be considered a tool for the organisa-tion/operator in order to ease processes of obtaining required and defined approvals and au-thorisations issued by the FOCA. Using the GM/INFO will be conducive to establishing compli-ance with FOCA requirements and will lead through the respective certification or variation pro-cess with regard to administrative tasks.
0.1. Purpose Ch. 0.1 ISS 1 / REV 2 / 01.12.2016
This Guidance Material/Information describes the process of variation, revision or change of an existing Air Operator Certificate (AOC). Any request to the FOCA must be sent 60 days prior to the estimated effective date. As some of the processes might be regarded as rather complex, this paper intends to provide additional guidance concerning the following topics:
Import of an aeroplane
Export of an aeroplane
Changes of management personnel
Revision of the manual system
Operator’s name change
Change of Ownership of an aeroplane
Change of Operations Specifications of an aeroplane or fleet
For further information on air operator certificates in Switzerland refer to FOCA’s web page: www.bazl.admin.ch/initial and variation of an air operator certificate
0.2. Related Material and Documents Ch. 0.2 ISS 1 / REV 2 / 01.12.2016
For certain areas (e.g. some subchapters of Operations Manuals) FOCA publishes additional guidance material or sample chapters. These documents provide more information on specific subjects.
In addition FOCA publishes Operational Directives (OD) for particular areas of published regula-tions in order to clarify or define the relevant issues in more detail where required.
If an applicant has the need for further information, please write to the following address:
Federal Office of Civil Aviation (FOCA)
Section Operation of Complex Airplanes
Operation Center 1
CH-8058 Zürich-Flughafen
E-Mail: [email protected]
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
Page 2 of 7
0.3. Terms and Conditions Ch. 0.3 ISS 1 / REV 2 / 01.12.2016
When used throughout the GM/INFO the following terms shall have the meaning as defined below:
Term Meaning Reference
shall, must, will These terms express an obligation, a positive command.
EC English Style Guide: Ch. 7.19
may This term expresses a positive permis-sion.
EC English Style Guide: Ch. 7.21
shall not, will not These terms express an obligation, a negative command.
EC English Style Guide: Ch. 7.20
may not, must not These terms express a prohibition. EC English Style Guide: Ch. 7.20
need not This term expresses a negative permis-sion.
EC English Style Guide: Ch. 7.22
should This term expresses an obligation when an acceptable means of compliance should be applied.
EASA Acceptable Means of Compli-ance publications
FOCA policies and requirements
could This term expresses a possibility. http://oxforddictionaries.com/
definition/english/could
ideally This term expresses a best possible means of compliance and/or best expe-rienced industry practice.
FOCA recommendation
Note: To highlight an information or editorial note, a specific note box is used.
The use of the male gender should be understood to include male and female persons.
0.4. Legal references Ch. 0.4 ISS 1 / REV 2 / 01.12.2016
Legal Reference Issue Subject
Basic Regulation (EC) No 216/2008
20.02.2008 Common rules in the field of civil aviation and establishing a European Aviation Safety Agen-cy
Commission Regulation (EU) No 965/2012
05.10.2012 Technical requirements and administrative procedures related to air operations:
Annex III: Part-ORO (ORO.MLR.100 and ORO.AOC.135)
ICAO DOC 9376-AN/914
2nd Edition
1997 Preparation of an Operations Manual
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
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GM 1 Import of an aeroplane GM 1 ISS 1 / REV 2 / 01.12.2016
Requesting an import of an aeroplane (or take over from another Swiss AOC-holder) can be divided into two categories:
a) it will be the first aeroplane of this type starting operation under the present AOC
b) the aeroplane type is already available on the AOC of the applicant.
The workload for an applicant as well as for the FOCA will be variably high. In case of category a), revisions in the manual system (OM-A, OM-C and OM-D) are necessary as well as a new issue of the OM-B and MEL. In case of category b) some revision in the manual system is suffi-cient.
The application for a new aeroplane is to be accompanied by the following forms, applications, certificates and revisions:
Form 44.20 / 44.60 (VFR AOC holder) with complete Part B
Application form for the operations specifications (e.g. RVSM, RNAV, AWO, etc.)
Insurance certificate for passenger legal liability (A5 format)
Lease or management contract with the following content
The aeroplane is designated for commercial operation
Lease period minimum 6 months
The lessee (applicant) is responsible for the crew and the maintenance
New issue or revisions of the manual system with the form Proposed Revision / Amendment (PRA) including the list of changes
A filtered “Compliance List AOC (A) Complex” for each manual with the relevant para-graphs (available on the FOCA website under “Initial and variation of an Air Operator Certificate”)1
Application for foreign ownership if applicable (according the example in Appendix 1)
Manufacturer provided manuals (e.g. AFM, FOM, etc.)
Application for User Approval
For a first type of an aeroplane into the fleet a training concept must be submitted
The FOCA will start the examination as soon as all documents required for the application are handed in.
GM 2 Export of an aeroplane GM 2 ISS 1 / REV 0 / 01.07.2010
An export of an aeroplane must be announced to FOCA as soon as possible with the submis-sion of form 44.20 / 44.60 (VFR AOC holder) with complete part B. After the aeroplane has been removed from the AOC, the applicant must review the manual system for possible revi-sion(s). Paragraph GM 4 below describes how to proceed with a revision of the manual system.
GM 3 Changes of management personnel GM 3 ISS 1 / REV 2 / 01.12.2016
Changes of the management personnel have serious impact for an AOC holder. After the ac-ceptance of the nominated person by the FOCA, the AOC holder must submit a revision of the OM-A paragraph 1.2 according to Commission Regulation (EU) No 965/2012, AMC3 ORO.MLR.100 and possibly also a revision of the OM-D. For a complete application for the change of management personnel according to ORO.AOC.135, the following forms and docu-ments must be submitted:
1 See chapter 9.2
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
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Form 44.20 / 44.60 (VFR AOC holder) with complete part A
EASA Form Four
Curriculum vitae of the new nominated person (CV including private address of the ap-plicant)
Incomplete or wrong submissions will be returned to the applicant.
GM 4 Revision or new issue of the manual system
GM 4 ISS 1 / REV 2 / 01.12.2016
A new issue of a manual or a manual system means that every single paragraph of the manual will be checked by a FOCA inspector. A revision, however, means that only the changes are verified to be compliant with rules and regulations.
A revision or a new issue must be submitted to the FOCA containing the following forms and manuals:
New issue or revisions of the manual system with the form Proposed Revision / Amendment (PRA) including the list of changes
A filtered “Compliance List AOC (A) Complex” for each manual with the relevant para-graphs (available on the FOCA website under “Initial and variation of an Air Operator Certificate”)2
Manufacturer provided manuals (e.g. AFM, FOM, etc.) in case the OM-B is affected
GM 5 Operator’s name change
GM 5 ISS 1 / REV 0 / 01.07.2010
The change of an operator’s name will have influence on all certificates. Therefore, the following forms and documents must be submitted:
Form 44.20 / 44.60 (VFR AOC holder) complete
Form 49.05 for the operating licence
Form 54.045 for the confirmation of Swiss or EC character
Certified copy from the register of commerce
GM 6 Change of ownership of an aeroplane
GM 6 ISS 1 / REV 1 / 24.05.2012
For various reasons an AOC holder may wish or be forced to change the owner of an aero-plane, which leads to changes in the Swiss aircraft registry. If the new owner’s headquarter is located outside Switzerland, the Lessee (applicant) must submit a written application for the foreign ownership to the FOCA containing the following documents:
Form 44.20 / 44.60 (VFR AOC holder) with complete part B
Lease or management contract with the following statements:
The aeroplane is designated for commercial operation
Lease period is minimum 6 months
The lessee (applicant) is responsible for crew and maintenance
Or a kind of novation if the existing lease agreement keeps in force
Application for foreign ownership if applicable (according to the example in Appendix 1)
2 See chapter 9.2
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
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GM 7 Change of operations specifications of an aeroplane fleet
GM 7 ISS 1 / REV 2 / 01.12.2016
An AOC holder may wish to add new operations specifications to an aeroplane or a fleet. Such an application should be submitted providing the following forms and documents:
Form 44.20 / 44.60 (VFR AOC holder) with complete part B
Application form for the operations specifications (e.g. RVSM, RNAV, AWO, etc.)
New issue or revisions of the manual system with the form Proposed Revision / Amendment (PRA) including the list of changes
A filtered “Compliance List AOC (A) Complex” for each manual with the relevant para-graphs (available on the FOCA website under “Initial and variation of an Air Operator Certificate”)3
Manufacturer provided manuals (e.g. AFM, FOM, etc.)
Training aspects must be fulfilled
GM 8 Costs and time schedule
GM 8 ISS 1 / REV 1 / 24.05.2012
Costs and time schedule are very individual and can vary depending on the quality of the sub-missions and the resources available within the FOCA. According to the Swiss Aviation Decree for Charges (SR 748.112.11) one working hour of an inspector will be charged with CHF 180.
3 See chapter 9.2
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
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GM 9 Appendices
GM 9 ISS 1 / REV 2 / 01.12.2016
9.1. Appendix 1 – Example for an application for foreign ownership Ch. 9.1 ISS 1 / REV 0 / 01.07.2012
For an application of a Swiss AOC holder to register an aeroplane into the Swiss register with a foreign ownership according to article 3 paragraph 2 of the Swiss Air Navigation Decree (LFV), the following template may be used:
Dear Sirs,
We apply for a permission according to article 3 paragraph 2 of the Swiss Air Navigation Decree (LFV; 748.01) to register following aeroplane into the Swiss register with foreign ownership for commercial operation under our AOC (9999):
Aeroplane: Manufacturer, aeroplane type / model
s/n 8888
Reserved registration: HB-AAA
Proposed registry date: Day-Month-Year
Owner: Company XYZ Holding Inc.
House
Street
Zip Town
Country
AOC-Holder: ZYX Air AG
Address
Zip Town
We thank you for a positive answer in due course.
Yours sincerely
ZYX Air AG
First Name, Name
Responsible management personnel according to OM-A Chapter 13 (Leasing)
FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes
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Enclosures:
- Form 44.20 (AOC Variation)
- Leasing- or Management-Agreement
- Extract from the chamber of commerce representing the company XYZ Holding Inc.
- Certificates of third party legal liability insurance and passengers legal liability insurance
9.2. Appendix 2 – Homepage addresses/useful links Ch. 9.2 ISS 1 / REV 2 / 01.12.2016
AEA http://www.aea.be/AEAWebsite/Presentation_Tier/Pr_Home.aspx
ATA http://www.air-transport.org/
EASA http://www.easa.eu.int/home/index.html
ECAC http://www.ecac-ceac.org/index.php
EUR Lex http://eur-lex.europa.eu/de/index.htm (laws and agreements)
EUROCONTROL http://www.eurocontrol.be/corporate/public/subsite_homepage/index.html
FOCA https://www.bazl.admin.ch/
FSF http://www.flightsafety.org/home.html
IATA http://www.iata.org/index.asp
ICAO http://www.icao.int/
IHS http://www.ihs.com/
NAT PCO http://www.nat-pco.org/index.htm