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 operator certificate (AOC) that has already been granted by FOCA previously. AOCVariation/Revision/Changes Scope Who is concerned Guidance material for the variation, revision or change of an already existing air operator certificate of Swiss operators 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
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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 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 Abbreviation Definition ACJ AEA AFM AMC AOC ARO ATA CL DOC EASA Advisory Circulars Joint Association of European Airlines Aircraft Flight Manual Acceptable Means of Compliance Air Operator Certificate Authority Requirements for Air Operations Air Transport Association Compliance List Document European Aviation Safety Agency NAT PCO OD OM OPS ORO PM PRA RNAV RVSM North Atlantic Programme Coordination Office Operational Directives Operations Manual Operation/Operations Organisation Requirements for Air Operations Project Manager Proposed Revision / Amendment Area Navigation Reduced Vertical Separation Minima EC European Commission VFR Visual Flight Rules 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 Association ICAO International Civil Aviation Organisation IEM Interpretative and Explanatory Material LEP List of Effective Pages LFV Luftfahrtverordnung LoR Log of Revision MEL Minimum Equipment List MLR Manuals, Logs and Records ABB 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 ToC 1
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 organisation/operator in order to ease processes of obtaining required and defined approvals and authorisations issued by the FOCA. Using the GM/INFO will be conducive to establishing compliance with FOCA requirements and will lead through the respective certification or variation process 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 regulations 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: sboc@bazl.admin.ch Page 1 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 may shall not, will not These terms express an obligation, a positive command. This term expresses a positive permission. These terms express an obligation, a negative command. EC English Style Guide: Ch. 7.19 EC English Style Guide: Ch. 7.21 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 should This term expresses a negative permission. This term expresses an obligation when an acceptable means of compliance should be applied. EC English Style Guide: Ch. 7.22 EASA Acceptable Means of Compliance 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 experienced 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 Commission Regulation (EU) No 965/2012 ICAO DOC 9376-AN/914 2nd Edition 20.02.2008 Common rules in the field of civil aviation and establishing a European Aviation Safety Agency 05.10.2012 Technical requirements and administrative procedures related to air operations: Annex III: Part-ORO (ORO.MLR.100 and ORO.AOC.135) 1997 Preparation of an Operations Manual Page 2 of 7
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 sufficient. 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 paragraphs (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 submission 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 revision(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 acceptance 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 documents must be submitted: 1 See chapter 9.2 Page 3 of 7
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 applicant) 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 paragraphs (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 aeroplane, 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 Page 4 of 7
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: GM 8 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 paragraphs (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 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 submissions 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 Page 5 of 7
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) Page 6 of 7
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 ATA EASA ECAC EUR Lex EUROCONTROL FOCA FSF IATA ICAO IHS NAT PCO http://www.aea.be/aeawebsite/presentation_tier/pr_home.aspx http://www.air-transport.org/ http://www.easa.eu.int/home/index.html http://www.ecac-ceac.org/index.php http://eur-lex.europa.eu/de/index.htm (laws and agreements) http://www.eurocontrol.be/corporate/public/subsite_homepage/index.html https://www.bazl.admin.ch/ http://www.flightsafety.org/home.html http://www.iata.org/index.asp http://www.icao.int/ http://www.ihs.com/ http://www.nat-pco.org/index.htm Page 7 of 7