Pre-application phase

A prospective operator who intends to apply for an AOC should enter into preliminary discussions with CAA RM and should be provided with complete information concerning the type of operations which may be authorized, the data to be provided by the applicant and the procedures which will be followed in the processing of the application. It is essential that the applicant has, in this pre-application phase, a clear understanding of the form, content and documents required for the formal application.

Initial Inquiry and CAA RM Response

The pre-application phase commences with the applicant making an initial inquiry by letter, or personal visit to CAA RM.

CAA RM should advise the applicant to thoroughly review the CAA RM regulations (RAC’s), directives, circulars and DGCAA RM orders for Acceptable Means of Compliance and provide guidance concerning personnel, facilities, equipment and technical data requirements and an explanation of the certification process, in a standard information package for applicants for an AOC.

The standard information package will include:

  1. A form for the prospective operator’s pre-assessment statement to be completed by the applicant.
  2. Instructions for completing the pre-assessment statement form.
  3. An advisory pamphlet.

The purpose of the prospective operator’s pre-assessment statement is to establish the intent of the applicant to continue with the process for certification and to thus enable CAA RM to commit resources and plan the certification process.

CAA RM Action on Receipt of a Completed Prospective Operator’s Pre-Assessment Statement

On receipt of a completed prospective operator’s pre-assessment statement, CAA RM Head of Flight Operation Division will appoint a project manager (flight operations inspector) which will form a certification commission (Order 02/GEN 28.05.2012) which consists of:

  • Vice director Flight Safety Control and Oversight as president of commission;
  • Head of Flight operation division;
  • Head of Airworthiness division;
  • Head of Economic affairs international relations;
  • Head of Legal, rulemaking human resources division;
  • Head of Quality control division;
  • Head of SMS Service;
  • Head of International relations division;
  • Head of Aeromedical service.

Further, every Head of division may delegate personnel from their divisions to take part on certification assessment. It is preferable, for Head of Flight operation division to delegate one flight operation inspector and one cabin safety inspector, for Head of Airworthiness division - two airworthiness inspectors ( maintenance & avionics).

CAA RM certification commission will conduct a review of the applicant’s pre-assessment statement and, if the information provided is considered acceptable, the project manager will schedule a pre-application meeting with the applicant.

Pre-Application Meeting

The purpose of the pre-application meeting is to confirm the information provided in the pre-assessment statement to determine whether or not the applicant has sufficient knowledge of the appropriate RAC’s requirements and to confirm, for the applicant, the expectations of CAA RM.

The pre-application meeting should be attended by the CAA RM project manager and certification commission and the key management personnel of the applicant. The applicant should be prepared to discuss, in general terms, all aspects of the proposed operations.

The applicant should be provided with an overview of the certification process and made aware of CAA RM division responsible for financial, economic and legal matters, and for the necessary assessment of the applicant’s financial resources and ability to support the proposed operations. It is essential that the financial, economic and legal assessments are commenced early since an AOC should not be granted without a satisfactory assessment of these aspects from the appropriate department.

CAA RM project manager and the certification commission should prepare an application package for delivery at the pre-application meeting. This application package should contain:

  1. The advisory pamphlet already discussed.
  2. A list of the documents that should be provided with the formal application. (AOC Initial application checklist);

The required documents should be discussed in detail at the pre-application meeting to provide the applicant with as much assistance as possible.

Subsequent to the pre-application meeting, the certification commission will evaluate the results of the meeting. Should the certification commission consider that the applicant is not ready to make a formal application, advice should be given on further preparation and another pre-application meeting should be scheduled or, alternatively, the applicant may be advised to withdraw the intent to apply for certification.

Should the certification commission establish that the information provided in the pre-application statement is satisfactory and that the applicant has a clear understanding of the certification process, the applicant should then be invited to prepare and proceed with a formal application.