October 2007 THE FIVE PHASE CERTIFICATION AND APPROVAL PROCESS 1.0 PURPOSE

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1 Advisory Circular -AC-GEN003 October 2007 THE FIVE CERTIFICATION AND APPROVAL PROCESS 1.0 PURPOSE This Advisory Circular (AC) is issued to provide general inmation guidance on the Five Phase process applied in the certification approval organisations operators in compliance with the Tanzania Civil Aviation Regulations, REFERENCE 2.1 Regulation 8(1) the Civil Aviation (Air Operator Administration) Regulation 2006 states that An Operator shall not engage in commercial air transport operation unless that operator holds a valid AOC issued by the Authority 2.2 Regulation 61(1) the Civil Aviation (Air Operator Administration) Regulations requires that an aircraft registered in the United Republic Tanzania shall not operate under an AOC unless it is maintained released to service by an AMO approved in accordance with the Civil Aviation (Approved Maintenance Organization) Regulations. 2.3 A person, other than-an air operators certificate or approved maintenance organisation certificate holder shall not operate an Aviation Training Organisation without or in violation, an Approved Training Organisation (ATO) certificate training specifications. [Ref: the Civil Aviation (Approved Training Organisations) Regulations, Part III]. 3.0 THE CERTIFICATION AND APPROVAL PROCESS 3.1 The following certification approval process provides a continuous interaction, from the s initial enquiry to the issue or denial the requested certificate/approval by the Tanzania Civil Aviation Authority. It ensures that the s proposed programmes, systems, arrangements, facilities, documentation, personnel intended methods compliance are thoroughly reviewed, evaluated tested. 3.2 There are five phases in the process air operator organisation certification CAA-AC-GEN003 October 2007 Page 1 8

2 approval respectively. Each phase is described in sufficient detail to provide a general understing the entire process. (See Appendix a detailed flow chart the entire certification or approval process). During certification, the process is followed in sequence in the order indicated below. In order to move to the next phase the preceding phase must be completed successfully. 1 PRE- APPLICATION 2 APPLICATION 3 DOCUMENT EVALUATION 4 DEMONSTRATION AND INSPECTION 5 CERTIFICATION 4.0 PRE-APPLICATION Prospective Applicant/Operator Pre-assessment Statement (PAPS/POPS) 4.1 The PAPS/POPS will be used to evaluate the complexity the proposed operation. This allows the establishment the certification team based on the complexity the certification. The assigned team leader (TL) will be designated as the principal spokesperson the Authority during the certification process. 4.2 An should conduct a thorough review the Tanzania Civil Aviation Regulations, 2006 other applicable regulations advisory material to gain meaningful insight into personnel, facility, equipment documentation requirements. As a result this review, the must address, in the PAPS/POPS, how these requirements will be met. NOTE: Submission the PAPS/POPS by the indicates intent to initiate the certification process. Pre-application Meeting 4.3 During this, the requirements which need to be attached to the mal application will be discussed which should include the following: a) Documentation Manuals: The should indicate all the documentations manuals to be used in compliance with the relevant regulations requirements the applicable operations. The manuals should allow the user to underst its content without further explanation must not contradict any regulatory requirements; (b) Compliance Statement: The compliance statement will ensure that all applicable regulatory requirements are addressed during the certification process. This is done by listing each applicable Tanzania Civil Aviation Regulations, 2006 section, in numerical sequence. After each listed regulation, there must be a brief narrative or specific reference to a manual/document that describes how the will comply with that regulation. The letter compliance must be reviewed to ensure that the has a clear understing the regulation that the proposed method compliance meets the intent the regulation. Personnel Requirements 4.4 Personnel requirements will include among others; a) Key personnel b) Their qualifications CAA-AC-GEN003 October 2007 Page 2 8

3 c) Training requirements d) Human factor human permance issues appropriate to the function that person in the organisation etc 5.0 FORMAL APPLICATION To begin the Formal Application Phase the team will receive the application attachments. As a rule, the team will meet with the after receiving the mal application package. All questions about the proposed operation, the mal application attachments should be resolved at this time. The should consist the certification team members all key management personnel from the s organization. 6.0 DOCUMENT COMPLIANCE In this phase, the s manuals other related documents attachments are carefully thoroughly reviewed either approved, accepted or rejected. This review ensures both conmity to the applicable regulations safe operating practices. The certification team members will conduct evaluation the submitted document/manuals in the fice. 7.0 DEMONSTRATION AND INSPECTION In this phase the certification team will conduct a thorough audit at the s premises to ensure that the s proposed procedures are effective that facilities equipment are in place meet regulatory requirements. The demonstration phase is carried out after satisfactory document compliance phase. 8.0 CERTIFICATION Once the meets the regulatory requirements the Tanzania Civil Aviation Regulations, 2006, the Authority will issue a certificate /or approval with the appropriate s specifications ratings. 9.0 CERTIFICATE VALIDITY Most the certificates issued have a 12 months validity period after initial certification or approval. The certificates approvals remain valid so long as the established stards at certification or approval are maintained complied with. By the Authority DIRECTOR GENERAL CAA-AC-GEN003 October 2007 Page 3 8

4 Appendix - Process Flow Chart. The flow charts on the following pages are representative the Air Operator Certificate (AOC), Approved Maintenance Organization (AMO) Aviation Training Organisation (ATO) Process. PRE-APPLICATION AOC, AMO ATO CERTIFICATION PROCESS PRE-APPLICATION MEETING Verify inmation on on POPS. Advise on on appropriate section TCARs Start Start Initial Initial inquiry inquiry or or request request about about Prospective Prospective obtains obtains TCARs TCARs Advisory Advisory Materials. Materials. Provides Provides POPS POPS Form Form to to prospective prospective receives receives reviews POPS acceptance reviews POPS acceptance completeness completeness (M-FSS Assigns a (M-FSS Assigns a Team) Team) Resubmitted? Acceptance Inm reasons reasons non acceptance. non acceptance. (letter) TL schedules conducts TL schedules conducts pre-application pre-application with with Ensure understs minimum requirements Formal Application (Emphasize initial compliance statement). Provide with certification inmation package & provide overview the the certification process. Advise to to submit Formal Application with required attachments as required attachments as far in advance far in advance intended operations as intended operations as possible. Corrective action taken? Team Team evaluates evaluates results the results the Inm, in in writing, reasons not not proceeding with certification? A Return POPS to to CAA-AC-GEN003 October 2007 Page 4 8

5 A A Appendix - Process Flow Chart. FORMAL APPLICATION AOC, AMO ATO CERTIFICATION PROCESS Applicant Applicant submits Formal Application with submits Formal Application with required required attachments attachments to to Office. Office. Team perms cursory review Team perms cursory review Formal Formal submissions. submissions. Manuals, Manuals, Qualifications, Qualifications, Compliance Compliance Statement, Statement, Etc., Etc., Evaluates Evaluates Resources Resources TL TL schedules schedules conducts conducts Formal Formal Application Application Resubmitted with corrections? Return Return application. application. Inm Inm reasons reasons nonacceptance. nonacceptance. tify tify FORMAL APPLICATION MEETING Review Review with with all all submissions. submissions. Resolve Resolve all all resource resource problem problem areas. areas. Resolve Resolve discrepancies discrepancies open open questions. questions. Review the thcoming Review the thcoming certification certification process process in in detail detail Discuss Discuss impact impact not not the the schedule schedule events. events. Corrective action taken? tify tify Return Return application. application. Inm Inm reasons reasons nonacceptance. nonacceptance. B CAA-AC-GEN003 October 2007 Page 5 8

6 Appendix - Process Flow Chart. DOCUMENT COMPLIANCE AOC, AMO ATO CERTIFICATION PROCESS Team Team reviews reviews Formal Formal Application, Application, Required Required Manuals, Manuals, s s documents documents B Letter Letter Compliance, Compliance, Training Training & compliance compliance C Qualifications, Qualifications, Lease/Contract Lease/Contract acceptance/approval acceptance/approval agreements, agreements, Etc., Etc., Corrective action taken? Return unsatisfactory documents, Inm reasons non-acceptance. tify tify CAA-AC-GEN003 October 2007 Page 6 8

7 C Appendix 1 - Process Flow Chart. INSPECTION AOC, AMO ATO CERTIFICATION PROCESS DEMONSTRATION AND INSPECTION EVALUATED IN THE FIELD Team Team evaluates evaluates 's 's demonstration compliance compliance Evaluate Evaluate Management Effectiveness, Inspect Inspect Station(s) Station(s) Facilities/Housing, Evaluate Evaluate Training, Training, Flight Flight Operations, Operations, Maintenance, Records, Records, etc., etc., Corrective action taken? tify tify Inm reasons reasons non-acceptance. non-acceptance. D CAA-AC-GEN003 October 2007 Page 7 8

8 Appendix - Process Flow Chart. CERTIFICATION AOC, AMO ATO CERTIFICATION PROCESS FINAL CERTIFICATION ACTIONS D Prepare Prepare Approve Approve Certificate Certificate Specific Specific Operating Operating Provision, Provision, Coordinate Coordinate with with Issue Certificate Operations Specifications Complete Distribute other internal Reports. Establish Surveillance File CAA-AC-GEN003 October 2007 Page 8 8