certification of an approved maintenance organisation certification (rev_ 01).pdf · certification...

AAC-001 Revision: 01 17 December 2013 PAGE 1 of 44

__________________________________________________________________________________

CAAB Document AAC-001 Rev. 01

CERTIFICATION OF AN APPROVED

MAINTENANCE ORGANISATION

CIVIL AVIATION AUTHORITY OF BOTSWANA

AIRWORTHINESS

ADVISORY

CIRCULAR


Intentionally left blank


TABLE OF CONTENTS

Page number

1. Purpose 5

2. Status of This Advisory Circular 5

3. Related Regulations 5

4. Related Publications 5

5. Background 5

6. Pre-Application Phase 6

7. Pre-Application Meeting 6

8. Formal Application Phase 8

9. Document Evaluation Phase 9

10. Demonstration and Inspection Phase 9

11. Certification Phase 9

12. Explanation of Appendices in This Airworthiness Circular 9

13. APPENDICES

Appendix 1 – AMO POPS Form and Instructions for Completion 11

Appendix 2 – Certification Process Flow Chart 15

Appendix 3 – Certification Job Aid and Schedule of Events 20

Appendix 4 – Application for AMO Certificate and/or Ratings 27

Appendix 5 – Sample Operations Specifications 29

Appendix 6 – Civil Aviation Regulations 40

Appendix 7 – Sample Statement of Compliance 41


1. PURPOSE

1.1 This Advisory Circular (AC) describes the process of applying for and obtaining an Approved Maintenance Organisation (AMO) Certificate to conduct maintenance operations under Botswana Civil Aviation Regulations. The certification process may appear to be a complex undertaking, particularly to a first time applicant. This AC provides basic information applicable to the certification process.

1.2 Because there is a variety of acceptable methods for preparing manuals, a detailed

discussion of acceptable methods for preparing these documents is not in this AC. Applicants will be briefed in as much detail as necessary regarding the preparation of manuals and other documents during meetings with CAAB personnel. The information in this AC and the material referenced in this AC will assist the applicant in completing the process with minimal delays and complications.

1.3 Foreign AMOs wishing to apply for Botswana AMO certificate are advised to consult Airworthiness Advisory Circular (AAC)-018.

2. STATUS OF THIS ADVISORY CIRCULAR This document is Revision 01 of Airworthiness Advisory Circular (AAC)-001. It becomes effective immediately, and supersedes the original version issued on 07 November 2012.

3. RELATED REGULATIONS

Civil Aviation Act, 2011

Civil Aviation (Approved Maintenance Organisations) Regulations

Civil Aviation (Personnel Licensing) Regulations

Civil Aviation (Approved Training Organisations) Regulations

Civil Aviation (Airworthiness) Regulations

Civil Aviation (Air Operator Certification and Administration) Regulations

Civil Aviation (Aircraft Operations) Regulations

4. RELATED PUBLICATIONS

The CAAB (the Authority) publishes the “Flight Safety Publications Guide” that provide more information on advisory circulars and other Flight Safety publications.

5. BACKGROUND 5.1 The certification process is designed to ensure that prospective AMO holders

understand and are capable of fulfilling this duty. When satisfactorily completed, the certification process should ensure that the applicant is able to comply with the Botswana Civil Aviation Act, Civil Aviation Regulations, and the international standards pertaining to the operation of an AMO.

5.2 There are five (5) phases in the certification process. Each phase is described in

sufficient detail to provide a general understanding of the entire certification process. The five (5) are:

(1) Pre-application (2) Formal Application (3) Document Evaluation (4) Demonstration and Inspection (5) Certification

Advisory Circulars (ACs) are intended to provide advice and guidance to illustrate an acceptable means, but not necessarily the only means, of complying with the regulations, or to explain certain regulatory requirements by providing informative, interpretative and explanatory material. Where a regulation contains the words “prescribed by the Authority,” the AC may be considered to prescribe a viable method of compliance, but status of that “prescription” is always “guidance” (never regulation).

Copies may be obtained from the Government

Printer.


5.3 In some cases, the guidance and suggested sequence of events in this AC may not be entirely appropriate. In such situations, the CAAB and the applicant should proceed in a manner that considers existing conditions and circumstances. The applicant however should not expect to be certificated until the CAAB is assured that the Botswana aviation law and its Civil Aviation Regulations will be complied with in an appropriate and continuing manner.

6. PRE-APPLICATION PHASE

6.1 As far in advance as possible of an anticipated start of operations, a prospective

operator should contact the nearest CAAB Office and inform the CAAB of its intent to apply for an AMO. The prospective operator will be invited to meet briefly with CAAB personnel. During this initial meeting, only basic information and general certification requirements will be discussed. If the prospective operator intends to proceed with certification, CAAB Form AIR 143 Prospective Operators Pre-assessment Statement (POPS) will be furnished. A sample of this form with instructions for completing it is in Appendix 1. The POPS should be completed, signed by the prospective operator, and returned to the CAAB Office.

6.2 CAAB 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 section 2. If the information is complete and acceptable, the CAAB will determine which CAAB office will be assigned to the certification project and schedule a pre-application meeting with the prospective operator and the selected CAAB certification team members.

6.3 The CAAB office will designate one certification team member as the Project Manager

(PM).

7. PRE-APPLICATION MEETING

7.1 The purpose of the pre-application meeting is to confirm the information on the POPS and to provide critical certification information to the applicant. It is recommended that the operator’s key management and staff attend these pre-application meetings 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 must be met to be certificated as an Approved Maintenance Organisation. Besides verifying the POPS information at the meeting, the CAAB team should:

1. Ensure the applicant is aware of what is expected and all applicable Civil Aviation

Regulations. 2. Provide an overview of the certification process and the formal application. 3. Answer any applicant questions. 4. Evaluate the results of the meeting and take appropriate action. 5. Provide the applicant with an Application Information Package.

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

7.2 The Application Information Package includes the following:

(1) The applicable certification job aid/schedule of events (See Appendix 3), which

will be used by the CAAB inspector during the certification project.

(2) A draft set of Operations Specifications (OpSpecs) to be used as a worksheet and throughout the certification process (See Appendix 5).


(3) Other publications or documents the PM believes will be useful to the potential AMO.

(4) Application for Approved Maintenance Organisation Certificate and/or Ratings (See Appendix 4).

7.3 AMO Certification Job Aid/ Schedule of Events Attachment

The Job Aid/Schedule of Events (See Appendix 3) is a key document that lists activities, programs, and required facility and tool acquisitions that must be accomplished or made ready for the CAAB’s inspection before certification. These estimated dates must be logical in terms of sequence. Reasonable time for the Authority to review, inspect, and approve each item or event should also be provided when 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 applicant finds it necessary to revise the schedule of events, the PM should be notified as soon as possible.

7.4 Draft Operations Specifications

During the pre-application meeting participating inspectors will assist the applicant in identifying from the draft Operations Specifications, all statements that accurately describe the applicant’s intended operation including the applicant’s intended authorisations, limitations, provisions and privileges specific to the organisation. The applicant’s draft Operations Specifications will be submitted as a part of its formal application package. (See Appendix 5)

7.5 Application for Approved Maintenance Organisation Certificate and/or Rating

The applicant must complete an Application for Approved Maintenance Organisation Certificate and/or Rating (CAAB Form AIR 145) (See Appendix 4). The Accountable Manager must sign the form. Certain documents (attachments) should be provided with the application as appropriate, such as:

(a) Two (2) completed Maintenance Procedures Manuals

(b) Quality Assurance Program

(c) Statement of Compliance

This attachment should be a complete listing of all Botswana Civil Aviation Regulations applicable to the proposed operation. Pertinent parts and each relevant section of the regulation should be identified and accompanied by a brief description, 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. 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 the date provided is reasonable, and accepted by the Authority. (See examples 1 and 2 below).

EXAMPLE 1 Statement of Compliance

Regulation 25 of the Civil Aviation (Approved Maintenance Organisations) Regulations “Maintenance Procedures Manual” - (4) (a): Maintenance Procedure Manual (MPM) Section 1, Chapter 2, Page 2, paragraph 3. - (5) (e): MPM Section 2, Chapter 2, Page 3, paragraph 1.


EXAMPLE 2 Statement of Compliance

Regulation 31.(4)(a) of the Civil Aviation (Approved Maintenance Organisations) Regulations “Maintenance Records”. The Maintenance Procedures Manual (MPM) Section 5, Chapter 3, Page 22, paragraph 8, instructs maintenance personnel on the requirement to make an entry in the maintenance record after that person maintains, performs preventative maintenance, rebuilds, or modifies an aircraft or product.

Regulation 31(4)(a)(ii) of the Civil Aviation (Approved Maintenance Organisations) Regulations. MPM Section 5, chapter 3, Page 3, paragraph 9, instructs maintenance personnel on the requirements to identify in the maintenance record of the date work was completed.

NOTE: Additional guidance on the Statement of Compliance may be found in Appendix 7 of this Advisory Circular (AAC-001).

(d) Roster, records and qualifications of certifying staff

(e) Resumes of required management personnel

Regulation 20 of the Civil Aviation (Approved Maintenance Organisations) Regulations establishes basic management positions and the minimum qualifications for Approved Maintenance Organisations. Individuals assigned to the required management positions are expected to have a thorough knowledge of the operator’s Maintenance Procedures Manual, operating provisions, and the Civil Aviation Regulations. The managers specified in the Civil Aviation (Approved Maintenance Organisations) Regulations shall be identified and their credentials submitted to the CAAB.

(f) Capability List (g) Training Program (h) Purchase, Lease, and/or contract agreement (if applicable).

8. FORMAL APPLICATION PHASE

8.1 It is recommended that the formal application be submitted at least 90 days before maintenance operations begin, however, the application should be submitted to the CAAB as far in advance of the proposed start-up date as possible.

8.2 The Authority will review the application 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 applicant has a good understanding of the requirements, the formal application should be of sufficient quality to allow any omission, or open question to be resolved during the formal application meeting.

8.3 The formal application meeting should reinforce open communication and working

relationships. The operator’s key management personnel should attend the formal application meeting. The purpose of this meeting is to discuss the formal application and resolve omissions, deficiencies, or open questions. Date conflicts must be resolved. Subsequent phases of the certification process will be fully discussed. The applicant should seek clarification of any item or event that is not clearly understood. The CAAB should respond to any questions the applicant may have and should reinforce the certification process. Based upon the results of the meeting, the CAAB team will determine the package’s acceptability, but the PM will not formally accept the application during the meeting. This delay allows the operator time to resolve any omissions or any deficiencies discussed during the meeting.

8.4 The operator will be notified by letter stating whether the formal application is accepted or rejected. The Authority’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 is not accepted, it will be returned with a written explanation of the reasons for its return.


9. DOCUMENT EVALUATION PHASE

9.1 After the formal application 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 Authority. The CAAB 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 non-compliance with the regulations or safe operating practices is detected, the manual or document will be returned for corrective action. If the manual or documents are satisfactory, they will be approved or accepted, as required by the Civil Aviation Regulations. Approvals will be indicated by letter or by approval of the Operations Specifications. Acceptance of information that does not require formal approval will be indicated by letter or by lack of the Authority’s objection to the information.

9.2 The procedures detailed in the AMO’s manual and other documents must represent the complexity of the planned operation.

9.3 The fully completed Statement of Compliance is the final evolution of the Statement of

Compliance initially submitted with the formal application. The fully completed Statement of Compliance ensures each applicable regulatory requirement has been adequately addressed in the appropriate manual programs, and/or procedures.

10. DEMONSTRATION AND INSPECTION PHASE

Botswana Civil Aviation Regulations require the AMO to demonstrate its ability to comply fully with the regulations before beginning operations. These demonstrations include actual performance of activities and/or operations while being observed by CAAB Inspectors. This includes on-site evaluations of aircraft maintenance equipment and support facilities. During these demonstrations and inspections, the CAAB evaluates the effectiveness of the policies, methods, procedures, and instructions as described in the AMO’s manual and other documents. Emphasis is placed on the AMO’s management effectiveness during this phase. Deficiencies will be brought to the attention of the AMO and corrective action must be taken before a certificate is issued.

11. CERTIFICATION PHASE

11.1 After the satisfactory completion of the first four phases, the CAAB will prepare the

Approved Maintenance Organisation Certificate and approve the Operations Specifications (OpSpecs). The OpSpecs contain authorisations, limitations, and provisions specific to the operator’s operation. The AMO must acknowledge receipt of these documents.

11.2 The certificate holder is responsible for continued compliance with Botswana regulations and the authorisations, and provisions of its certificate and OpSpecs. As a certificate holder’s operation changes, the operations specifications will be amended accordingly. The process for amending operating provisions is similar to the certification process. In some cases it may be a less complex procedure depending on the subject of the amendment. The CAAB is responsible for conducting periodic inspections of the certificate holder’s operation to ensure continued compliance with Botswana Civil Aviation Regulations and safe operating practices.

12. EXPLANATION OF APPENDICES IN THIS AIRWORTHINESS CIRCULAR

A. Appendix 1 provides instructions on how CAAB Form AIR 143: Prospective Operator’s Pre-Assessment Statement (POPS) should be completed. Section 1, items 1 through 11, should be completed and signed by the applicant and returned to the appropriate CAAB office. Sections 2 and 3 are reserved for CAAB use.

B. Appendix 2 provides a Certification Process Flow Chart.


C. Appendix 3 provides an AMO certification job aid and schedule of events. D. Appendix 4 provides an Application Form for AMOs. E. Appendix 5 provides Sample Operations Specifications. F. Appendix 6 provides a list of applicable regulations and directives. G. Appendix 7 provides additional guidance on development of a Statement of

Compliance.

End of Advisory Circular


Appendix 1, Page 1 of 4

Prospective Operator’s Pre-Assessment Statement (POPS) Form

Prospective Operator’s Pre-assessment Statement (POPS) (To be completed by Air Operator or Approved Maintenance Organisation)

Section 1A: To be completed by all applicants

1.

Name and mailing address of company (include business name if different from company name)

2. Address of the principal (main) base where operations will be conducted, include address of secondary base of operation, if appropriate (do not use a post office box).

3. Proposed Start-up date: 4. Requested Company identifier in order of preference

1 2 3

5. Management and Key Staff Personnel

Name (Surname) (First Name/s)

Title Telephone and address if different

from company (include country code)

Section 1B. To be completed by Air Operator and/or Approved Maintenance Organisation

6. Air Operator intends to perform its maintenance as an AMO (complete Block 7 and 8)

Air Operator intends to arrange for maintenance and inspections of aircraft and associated equipment to be performed by others (Complete Blocks 7 & 11)

Air Operator intends to perform maintenance under an equivalent system (complete Blocks 7 & 11)

Approved Maintenance Organisation (complete Block 8)

7. Proposed type of operation (Check as many as applicable)

8. Proposed type of Approved Maintenance Organisation Rating(s)

Air Operator Certificate Approved Maintenance Organisation

Passenger and Cargo Airframe Computers

Cargo only Powerplant Instrument

Scheduled Operations Propeller Accessory

Charter Flight Operations Avionics Specialised Service

Section 1C. Blocks 9 and 10 to be completed by Air Operator

9. Aircraft Data (For foreign registered aircraft, please provide a copy of the

lease agreement).

10. Geographic areas of intended operations and proposed route structure

Number and types of aircraft (By make, model, and series)

Number of Passengers seats

or cargo payload capacity



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

13. The statement and information contained on this form denotes intent to apply for a CAAB certificate.

Type of Organisation:

Signature Date

(day/month/year) Name and Title

Section 2. To be completed by the CAAB Flight Safety Directorate Office

Received by (Name and Office):

Date received (day/month/year)

Date forwarded to CAAB Chief Executive Officer (day/month/year):

For:

Information only Action

Remarks:

Section 3. To be completed by the Office of the CAAB Chief Executive Officer

Received by: Date (day/month/year)

Pre-application Number

Assigned Certification Number

Local Office Assigned Responsibility

Date forwarded to local office (day/month/year)

Assigned Team Leader

Date:

Remarks:



Instructions For Completing CAAB Form AIR 143 – Prospective Operator’s Pre-Assessment Statement (Pops). Portions of This Form Are To Be Completed By A Prospective Approved Maintenance

Organisation

SECTION 1A. All applicants shall complete this section.

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

2. This address shall be the physical location where primary operating activities are based. It is where the offices of management required by regulation are located. If the address is the same as item 1, enter “same.” Include secondary business addresses of operation and identify the type of operation conducted.

3. Enter the estimated date when operations or services will begin. • Should not be less than 90 days.

4. This information will be used to assign a company identification number. You may indicate

up to three, three-letter identifiers, such as ABC, XYZ, etc. If all choices have been assigned to other operators or approved maintenance organisations, a randomly selected number will be assigned.

5. Enter the names, titles, and telephone numbers of required management and key staff personnel. This shall include the accountable manager, base maintenance manager, line maintenance manager, workshop manager and quality manager [Regulation 20(2) of the Civil Aviation (Approved Maintenance Organisations) Regulations].

SECTION 1B. All applicants shall complete this section, as appropriate.

6. Indicate if the air operator intends to perform maintenance as an Approved Maintenance

Organisation (AMO) or intends to contract out all or part of its maintenance, or perform its own maintenance using an equivalent system.

7. The proposed type of operation shall be indicated. Check as many boxes as apply.

8. The proposed type of maintenance organisation and ratings shall be indicated. Check as many boxes as apply.

SECTION 1C. Air Operators shall complete Blocks 9, 10.

9. Aircraft data is to be provided here. Indicate number and types of aircraft by make, model,

series, and number of passenger seats or cargo payload capacity. For foreign registered aircraft, provide a copy of the lease agreement.



10. Indicate geographic areas of intended operation and proposed route structure. SECTION 1D. All applicants shall complete this section.

11. Show any information that would assist CAAB 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 approved maintenance organisation selected and a list of the maintenance or inspections it proposes to perform. Also provide all written contracts with this form, if applicable.

12. Identify the Proposed Training. For AOCs identify the type of aircraft and/or simulators intended to be used. For AMOs, identify the type of aircraft by make and model. In addition identify the type of training that the Quality Assurance staff, certifying staff and maintenance personnel will receive based on the ratings requested.

13. The Prospective Operator Pre-assessment Statement (POPS) denotes an intent to seek CAAB certification as an air operator or approved maintenance organisation. It must be signed as follows:

Type of Organisation Authorised Signature Individual Owner or Accountable Manager Partnership At least one partner or Accountable Manager Company, corporation, association, etc. At least one authorised Officer or Accountable Manager

Sections 2 and 3: For CAAB Use


PR

E-A

PP

LIC

AT

ION

PH

AS

E

AP

PR

OV

ED

MA

INT

EN

AN

CE

OR

GA

NIS

AT

ION

CE

RT

IFIC

AT

ION

PR

OC

ES

S

Yes

Ye

s

N

o

N

o

N

o

PR

E-

AP

PL

ICA

TIO

N M

EE

TIN

G

Yes

Y

es

N

o

Appendix 2 – Certification Process Flow Chart. Page 1 of 5

Sta

rt

Initia

l in

quiry

or

request

about

CAAB

cert

ific

ation

Pro

spect

ive

applic

ant

obta

ins

BCARs

and

Advis

ory

Mate

rials

CAAB T

eam

evalu

ate

s

resu

lts

of th

e

meeting

PM

sch

edule

s

and c

onduct

s

pre

-applic

ation

meeting w

ith

applic

ant

Verify

info

rmation

on P

OPS

Advis

e a

pplic

ant

on

appro

priate

sect

ions

of

BCAR

s

Ensu

re a

pplic

ant

unders

tands

min

imum

requirem

ents

for

Form

al Applic

ation

(Em

phasi

ze initia

l

com

plia

nce

state

ment)

Pro

vid

e a

pplic

ant

with c

ert

ific

ation

info

rmation p

ack

age

& p

rovid

e a

n

overv

iew

of th

e

cert

ific

ation p

roce

ss.

Advis

e a

pplic

ant

to

subm

it F

orm

al

Applic

ation w

ith

required

att

ach

ments

as

far

in a

dvance

of

inte

nded o

pera

tions

as

poss

ible

Corr

ect

ive

act

ion

A

Acc

epta

nce

Info

rm a

pplic

ant,

in

writing, of re

aso

ns

for

not

pro

ceedin

g

with c

ert

ific

ation.

Retu

rn P

OPS t

o

applic

ant

Sto

p

Info

rm a

pplic

ant

of

reaso

ns

for

non-a

ccepta

nce

.

(Lett

er)

CAAB r

ece

ives

and r

evie

ws

PO

PS f

or

acc

epta

nce

and

com

ple

teness

(CAAB O

ffic

e

Manager

Ass

igns

a

Cert

ific

ation

Team

)

CAAB

Pro

vid

es

PO

PS F

orm

to

pro

spect

ive

applic

ant

Resu

bm

itte

d

?

Sto

p

Acc

epta

ble

?


CAA TEAM

EVALUATES

RESULTS

OF THE

MEETING

INFORM

APPLICANT, IN

WRITING, OF

REASONS FOR

NOT

PROCEEDING

WITH

CERTIFICATION?

Yes

Yes

Ye

s

Ye

s

N

o

N

o

N

o

N

o

FO

RM

AL

SU

BM

ISS

ION

S

FO

RM

AL

AP

PL

ICA

TIO

N M

EE

TIN

G


A

FO

RM

AL

AP

PL

ICA

TIO

N P

HA

SE

A

MO

PR

OC

ES

S

Applic

ant

subm

its

Form

al

Applic

ation w

ith

required

att

ach

ments

to

CAAB O

ffic

e.

CAAB

Cert

ific

ation

Team

perf

orm

s

curs

ory

revie

w o

f

Form

al

subm

issi

ons.

Manuals

,

Qualif

ications,

Com

plia

nce

Sta

tem

ent,

etc

.

PM

evalu

ate

s CAAB

reso

urc

es

PM

sch

edule

s and

conduct

s Form

al

Applic

ation m

eeting

Revie

w w

ith

applic

ant

all

subm

issi

ons.

Reso

lve a

ll CAAB

reso

urc

e p

roble

m

are

as.

Reso

lve

dis

crepanci

es

and

open q

uest

ions.

Revie

w t

he

fort

hco

min

g

cert

ific

ation

pro

cess

in d

eta

il

Dis

cuss

im

pact

of

not

meeting t

he

schedule

of

events

.

Co

rre

ctive

actio

n

take

n?

B

Acc

epta

ble

Resu

bm

itte

d

with

corr

ect

ions?

Sto

p

Retu

rn a

pplic

ation.

Info

rm a

pplic

ant

of

reaso

ns

for

non-

acc

epta

nce

. (L

ett

er)

Notify

Offic

e a

nd

CA

AB

He

ad

qua

rte

rs.

Sto

p

Retu

rn a

pplic

ation.

Info

rm a

pplic

ant

of

reaso

ns

for

non-

acc

epta

nce

. (L

ett

er)

Notify

Offic

e a

nd

CAAB H

eadquart

ers

.

Acc

epta

ble


N

o

No

Yes


Retu

rn u

nsa

tisf

act

ory

docu

ments

, in

form

applic

ant

of re

aso

ns

for

non-a

ccepta

nce

. (L

ett

er)

DO

CU

ME

NT

EV

AL

UA

TIO

N P

HA

SE

A

MO

PR

OC

ES

S

B

Cert

ific

ation T

eam

evalu

ate

s

applic

ant’s

docu

ments

for

com

plia

nce

and

acc

epta

nce

/appro

val

Acc

epta

ble

C

Yes

Corr

ect

ive

act

ion t

aken?

Notify

Offic

e a

nd

CAAB H

eadquart

ers

Sto

p

Form

al applic

ation, Required

Manuals

, Sta

tem

ent

of

Com

plia

nce

, Tra

inin

g &

Qualif

ication, Lease

/Contr

act

agre

em

ent, e

tc.

FO

RM

AL

SU

BM

ISS

ION

(DE

TA

ILE

D R

EV

IEW

)


N

o

No

Yes


Info

rm a

pplic

ant

of

reaso

ns

for

non-

acc

epta

nce

(Lett

er)

DE

MO

NS

TR

AT

ION

AN

D

INS

PE

CT

ION

PH

AS

E

AM

O P

RO

CE

SS

C

Cert

ific

ation T

eam

evalu

ate

s

applic

ant’s

dem

onst

ration o

f

com

plia

nce

and

Op

era

tion

s S

pe

cific

atio

ns

Pre

pare

and a

ppro

ve

Cert

ific

ate

and O

pera

tions

Speci

fica

tions,

Coord

inate

with C

AAB O

ffic

e, etc

.

Acc

epta

ble

D

Yes

Corr

ect

ive

act

ion t

aken?

Notify

Offic

e a

nd C

AAB

Headquart

ers

Sto

p



Pre

pare

and a

ppro

ve C

ert

ific

ate

and O

pera

tions

Speci

fica

tions,

Coord

inate

with C

AAB O

ffic

e a

nd

Headquart

ers

, etc

.

Issu

e C

ert

ific

ate

and

Opera

tions

Speci

fica

tions

Com

ple

te a

nd D

istr

ibute

Cert

ific

ation a

nd o

ther

inte

rnal CAAB R

eport

s.

Est

ablis

h C

ert

ific

ation a

nd

surv

eill

ance

File

.

Ass

igned I

nsp

ect

ors

est

ablis

h p

ost

cert

ific

ation

surv

eill

ance

pla

n

FIN

AL

CE

RT

IFIC

AT

ION

AC

TIO

NS

CE

RT

IFIC

AT

ION

PH

AS

E

AM

O P

RO

CE

SS

D

Sto

p


Appendix 3 Page 1

Approved Maintenance Organisation Certification Job Aid and Schedule of Events Civil Aviation (Approved Maintenance Organisations) Regulations

Official Name of Company

Location Address

Mailing Address (if different from location)

Pre-certification Number:

Inspector

Initial

Date Received/

Accomplished

Date Returned for Changes

Applicant Proposed

Date CAAB Reference

Maintenance Inspector

Avionics Inspector

I. PRE-APPLICATION PHASE

A. Initial Orientation: Inspector: _______

1. AMO Certification Advisory Circular provided to prospective approved maintenance organisation.

2. Prospective operator’s Pre- assessment Statement (POPS)

B. Certification Team Designated

PM Name Speciality

C. Conduct Pre-application Meeting

1. Verify POPS Information

2. Overview of Certification Process

3. Provide Certification Package:

a. Certification Job Aid

b. Schedule of events

c. Application Form

d. Other Applicable Publications and Documents

4. Explain formal Application submissions

REMARKS:


Appendix 3 Page 2


CAAB Reference

II. FORMAL APPLICATION PHASE

Inspector initial

Date Received/ Accomplished

Date Returned for changes

Applicant Proposed Date

A. Review Applicant’s Submission

1. Formal Application Form

a) Application Form (CAAB Form AIR 145)

2. Formal Application Attachments

(a) Two completed maintenance procedure manuals

(b) Completed Quality Assurance Program

(c) Completed initial training program

(d) Completed Statement of Compliance

(e) Completed schedule of events

(f) Roster, records and qualifications of certifying staff

(g) Qualifications of management personnel

(h) Completed capability list

(i) Completed training program

(j) Purchase, Lease, and/or contract agreement

(k) Draft Operations Specifications

B. Evaluation of CAAB Resources Capability based on Schedule of Events

REMARKS:

C. 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 Formal Application

REMARKS:


Appendix 3 Page 3


CAAB Ref.

III. DOCUMENT EVALUATION PHASE Inspector

initial Date Received/ Accomplished


Applicant Proposed

Date

A. Evaluate Applicable Training Programs

1. Training Maintenance Personnel

a. Initial, appropriate to assigned tasks

b. Knowledge and skills related to human performance

2. Training Certifying Staff

a. Pre-qualification standards identified

b. Basic engineering theory relevant to the airframe structure and systems to the class of aircraft

c. Specific aircraft type on which the person is intended to become the certifying individual including the impact of repairs and system/ structural defects

d. Company procedures relevant to the tasks

e. Knowledge and skills related to human performance

3. Continuation Training

a. Changes in AMO procedures

b. Changes to aircraft types

c. Changes to aeronautical product types

REMARKS:

B. Evaluate Personnel Qualifications

1. Management Personnel

a. Base Maintenance Manager

b. Line Maintenance Manager

c. Workshop manager

d. Quality Manager

e. Other management personnel as assigned

2. Certifying Staff

3. Maintenance Personnel

4. Instructor(s)

REMARKS:


Appendix 3 Page 4


CAAB Ref.

III. DOCUMENT EVALUATION PHASE (Continued)

Inspector initial



Applicant Proposed

Date

C. Evaluate Applicable Manual(s)

1. Completed Maintenance Procedure Manual

2. Completed Quality Assurance System

3. Completed Training Program

4. Completed Safety Management System

5. Other

D. Other Document Evaluations

1. Completed Application Form (CAAB Form AIR 145)

2. Schedule of Events

3. Completed Statement of Compliance

4. Completed Capability List

5. Purchase, Contract, Lease Agreements

6. Test Equipment/Precision Tool Certificate of Calibrations

7. Copy of approved specification(s) for specialized service rating

8. Revised POPS, if appropriate

9. Training Contracts, if appropriate

10. Maintenance Contracts/Agreements

11. Exemption Requests/Justification

REMARKS:


Appendix 3 Page 5


CAAB Ref.

IV. DEMONSTRATION AND INSPECTION PHASE

Inspector initial



Applicant Proposed

Date

A. Evaluate Organisation Conducting Training

1. Training Facilities

2. Training Schedules

3. Instructor Qualification/Training

4. Management Personnel Training Evaluation

5. Certifying Staff Training Evaluation

a. Basic engineering relevant to type of aircraft structure and systems AMO intends to maintain

b. Aircraft specific to each certifying staff related to impact of repairs and system/structural defects

c. AMO procedures related to the task

d. Assigned tasks and responsibilities

e. Knowledge and skills related to human performance

f. Co-ordination with other maintenance personnel and flight crew

g. Curriculum and standards for training

h. Pre-qualification Evaluation for Certifying Staff

i. Initial Training

j. Continuation Training

k. Other

6. Maintenance Personnel Training Evaluation

a. Assigned tasks and responsibilities

b. Knowledge and skills related to human performance

REMARKS:

B. Inspect Maintenance Base 1. Work Areas 2. Tools 3. Equipment 4. Technical Data 5. Stores (parts, equipment,

materials) 6. Test Equipment/Precision tools 7. Test Stands

REMARKS:


Appendix 3 Page 6


CAAB REF.

IV. DEMONSTRATION AND INSPECTION PHASE (Continued)

Inspector initial



Applicant Proposed

Date

C. Recordkeeping location/system

1. Personnel records

2. Test Equipment/Precision Tool Certificate of Calibrations/Data Sheets

3. Maintenance Records

4. Other

REMARKS:


Appendix 3 Page 7


CAAB Ref.

V. CERTIFICATION PHASE Inspector

initial Date Received/ Accomplished

Date Returned for

changes

Applicant Proposed

Date

A. Complete Form (CAAB Form AIR 145)

B. Prepare Approved Maintenance Organisation Certificate

C. Prepare AMO Operations Specifications

D. Present signed AMO Certificate and Operations Specifications to AMO

REMARKS:

E. Prepare Certification Report

1. Assemble Report/Attachments

(a) Complete POPS

(b) Completed Formal Application Form (CAAB Form AIR 145)

(c) Completed Compliance Statement

(d) Copy of lease/contract agreement(s)

(e) Copy of signed AMO Certificate

(f) Copy of signed AMO OpSpecs

(g) Copy of completed Capability List

(h) Copy of other Contracting States Certificate(s) and Operations Specifications

(i) Copy of maintenance functions under contract

(j) Copy of approved specification(s) if issued a Specialized Service Rating

(k) Certification Job Aid/Schedule of Events

(l) Certification report (Summary of difficulties)

(m) All correspondence between the applicant and CAAB

(n) Suggestions to improve certification process

(o) Distribute Report

REMARKS:

F. Develop Post Certificate Surveillance Program

1. Within Geographic Area 2. Outside Geographic Area

REMARKS:


Appendix 4 Page 1

Application for Approved Maintenance Organisation Certificate and/or Ratings (CAAB Form AIR 145)

REPUBLIC OF BOTSWANA Application for Approved Maintenance Organisation Certificate and/or Ratings

Civil Aviation Authority of Botswana

1. Approved Maintenance Organisation Name, Number, Location and Address

2. Reasons for Submission

a. Official Name of Maintenance Organisation: Number: Original Application for Certificate and Rating

Change in Rating

b. Location where business is conducted: Change in Location or Housing and Facilities

Change in Ownership

Renewal/Re-certification

c. Official Mailing Address of Approved Maintenance Organisation Other (Please Specify)

(Number, Street, City, State, & Zip (if applicable))

d. Doing business As:

3. Ratings Applied for (See Regulation 20 of the AMO Regulations):

Airframe Powerplant Propeller Avionics Computer Instrument

Class 1 Class 1 Class 1 Class 1 Class 1 Class 1

Class 2 Class 2 Class 2 Class 2 Class 2 Class 2

Class 3 Class 3 Class 3 Class 3 Class 3

Class 4 Class 4

Accessories Limited Specialized Service (List Process

Specification(s)) Class 1 Airframe Accessories Computer

Class 2 Powerplant Landing Gear Rotor Blades

Class 3 Propeller Floats Fabric

Class 4 Instruments Avionics Emergency Equip.

Non-Destructive Test

4. List of Maintenance Functions contracted to an Outside Organisation:

5. Applicants Certification

Name of Owner (Include name(s)) of individual Owner, all partners, or corporation name given the Sate, province, or country and date of incorporation

I hereby certify that I have been authorised by the approved maintenance organisation identified in item 1 above to make this application and that statements attached thereto are true and correct to the best of my knowledge.

Date: Authorised Signature: Print Name of Authorised Signature: Title:


Appendix 4 Page 2

Application for Approved Maintenance Organisation Certificate and/or Ratings (CAAB Form AIR 145)

For CAAB Use Only

Record of Action Approved Maintenance Organisation Inspection

For CAAB Use Only

6. Remarks (Identify by item number. Include deficiencies found and ratings denied)

7. Findings - Recommendations 8. Date of Inspection

A Station was found to comply with requirements of Civil Aviation (Approved Maintenance Organisation) Regulations.

B

Station was found to comply with requirements of Civil Aviation (Approved Maintenance Organisation), except for deficiencies listed in item 6.

C Recommend Certificate with rating applied for on application be issued.

D Recommend Certificate with rating applied for on application (EXCEPT those listed in item) be issued.

9. CAAB Office Signature(s) of Inspector(s) Printed Names of Inspectors

10. Supervising or Assigned Inspector

ACTION TAKEN CERTIFICATE ISSUED Inspector’s Signature

APPROVED Number

As shown on certificate

Title Issued on date shown Date Inspector’s Printed Name

DISAPPROVED


Appendix 5 Page 1 Sample Operations Specifications (OpSpecs)

SAMPLE OPERATIONS SPECIFICATIONS

Government of Botswana Page 1 of _

TABLE OF CONTENTS

APPROVED MAINTENANCE ORGANISATION

PART A GENERAL EFFECTIVE DATE

A1. Issuance and Applicability 00/00/0000 A2. Definitions and Abbreviations 00/00/0000

A3. Ratings and Limitations 00/00/0000

A4. Exemptions 00/00/0000

A5. Designated Persons 00/00/0000

Effective Date ___________________

Approved Maintenance Organisation Certificate No. __________






PART A1 – Issuance and Applicability

a) These Operations Specifications are issued to …………………………………………………..

an Approved Maintenance Organisation. The approved maintenance organisation certificate holder shall conduct operations in accordance with the Civil Aviation (Approved Maintenance Organisations) Regulations and these Operations Specifications. The certificate holder’s address: Fixed Location Mailing Address

b) The holder of these operations specifications is the holder of Certificate Number ……………..

and shall hereafter be referred to as the certificate holder.

c) These operations specifications are issued as part of this Approved Maintenance Organisation Certificate, and are in effect as of the Effective Date. This certificate and Operations Specifications shall remain in effect until ……

Effective Date ___________________



Appendix 5 Page 3

Sample Operations Specifications (OpSpecs)




PART A2 – Definitions and Abbreviations Unless otherwise defined in these operations specifications, all words, phrases, definitions, and abbreviations have identical meanings to those used in the Botswana Civil Aviation Regulations and Civil Aviation Act, as amended. Additionally, the definitions listed below are applicable to operations conducted in accordance with these Operations Specifications. AOC Air Operator Certificate AMO Approved Maintenance Organisation CAAB Civil Aviation Authority of Botswana CARs Botswana Civil Aviation Regulations Certificate Holder In these Operations Specifications the term “certificate holder” shall mean the holder of the approved maintenance organisation certificate described in these Operations Specifications in Part A paragraph A1 and any of its officers, employees, or agents used in the conduct of operations under this certificate. Class Rating As used with respect to the certification, ratings, privileges, and limitation of aircraft, powerplant, propeller, radio, instrument and accessories within a category having similar operating characteristics. Exemption Authority An authorisation that permits an alternative means of compliance with a regulation. The exemption authority must meet the procedural requirements of Part VII of the Civil Aviation (Approved Maintenance Organisation) Regulations, 2012. Limited Rating Rating issued to AMOs for the performance on particular makes and models of airframes, powerplants, propellers, radios, instruments, accessories, and/or parts. Limited Rating - Rating issued for a special maintenance function when the function is Specialised Services performed in accordance with a specification or data acceptable to the Director Maintenance The inspection, overhaul, repair, preservation, and replacement of parts, but excludes preventive maintenance. MCM Maintenance Control Manual MPM Maintenance Procedure Manual

Effective Date ___________________



Appendix 5 Page 4





PART A2 – Definitions and Abbreviations (..… continued) Preventive Maintenance As defined in the Civil Aviation (Airworthiness) Regulations Fifth Schedule Part I Section (3)(a) that does not involve complex assembly operations. Substantial Maintenance Any activity involving a C-check (routine airframe maintenance) or greater maintenance; any engine maintenance requiring case separation or teardown; and/or major alterations or major repairs performed on airframes, engines, or propellers.

Effective Date ___________________



Appendix 5 Page 5





PART A3 – Ratings and Limitations The certificate holder is authorised the following ratings and/or limitations: 3.1.1 Class Ratings

3.1.1.1 LIMITED RATINGS

Ratings Manufacture Make/Model Limitations Capability List

Number and Date

3.1.1.2 LIMITED RATINGS – SPECIALIZED SERVICE

Rating Specification Limitations

Effective Date ___________________







PART A4 – Exemption Authority The certificate holder is authorised to perform operations in accordance with the provisions, conditions, and/or limitations set forth in the following exemptions listed in the table below. a) Deviations

Exemption Reference

Date of Exemption Date of Termination Remarks/Reference

Effective Date ___________________







PART A5 – Designated Persons a) The personnel listed in the following table are designated by the Accountable Manager to

officially apply for and receive operations specifications for the certificate holder indicated in Part A paragraph A1 of these operations specifications.

Title Name Part/Paragraph Authorised

Effective Date ___________________






TABLE OF CONTENTS APPROVED MAINTENANCE ORGANISATION

PART D – SPECIFIC AUTHORISATIONS, LIMITATIONS AND PROCEDURES

EFFECTIVE DATE

D1 Work to be performed at a place other than the AMO fixed location

00/00/0000

D2 Air Carrier Geographic Authorisation 00/00/0000

Effective Date ___________________







PART D1

Work to be performed at a place other than the AMO’s Fixed Location

a) Except as otherwise specified in paragraph D2, the certificate holder may perform work at a

place other than its Fixed Location under special circumstances provided it has the facilities, material, equipment and technical personnel to perform the work authorised in the following table.

Work Authorised Maintenance Procedures Manual Reference

b) The certificate holder may not perform continuous operation at a facility other than the organisation’s fixed Location listed in Part A paragraph A1.

Effective Date ___________________







PART D2 – Air Carrier Geographic Authorisation

a) The certificate holder may perform work at a place other than its Fixed Location in support of a

specific AOC Holder provided it has the facilities, material, equipment, technical data, and technical personnel to perform the work authorized in accordance with the provisions, conditions, and/or limitations set forth in the following table.

Location AOC Holder

AOC Maintenance

Contract Number

Aircraft Model

AOC MCM Reference

AMO MPM Reference

Provisions/ Conditions/ Limitations

b) The certificate holder is limited to the model of aircraft listed above specific to the AOC Holder identified.

Effective Date ___________________




The certificate number on the reverse side of this form identifies the certificate holder whose name appears in Part A1 of these Operations Specifications.

1. The Civil Aviation Authority of Botswana issues the Operations Specifications appearing

on the reverse side to the certificate holder.

2. The certificate holder hereby makes application for the Operations Specifications

appearing on the reverse side (if this application amends previously approved Operations Specifications, briefly describe changes).

Supporting Data (If insufficient space attach additional page)

I certify that the statements submitted as supporting data are true and that I am duly authorised to make this application on behalf of the certificate holder.

Title Signature Date

3. The Operations Specifications set forth on the reverse side are approved.

Effective Date: By direction of the Director, Flight Safety

Amendment No. Signature/Title of Authorized Inspector

4. I hereby accept and receive the Operations Specifications appearing on the reverse side on behalf of the certificate holder.

Accountable Manager

Title Signature Date


Appendix 6

BOTSWANA CIVIL AVIATION REGULATIONS (CARs) SECTION 1 – APPLICABLE PARTS OF CARs

Civil Aviation (Approved Maintenance Organisations) Regulations

Civil Aviation (Dangerous Goods) Regulations

Civil Aviation (Search and Rescue) Regulations

Civil Aviation (Aircraft Nationality and Registration Marks) Regulations

Civil Aviation (Aerial Work) Regulations

Civil Aviation (Airworthiness) Regulations

Civil Aviation (Rules of the Air and Air Traffic Services) Regulations

Civil Aviation (Approved Training Organisations) Regulations

Civil Aviation (Equipment and Instruments) Regulations

Civil Aviation (Aircraft Operations) Regulations

Civil Aviation (Air Operator Certification and Administration) Regulations

Civil Aviation (Personnel Licensing) Regulations

Civil Aviation (Aerodromes) Regulations

Civil Aviation (Licensing of Air Services) Regulations

Civil Aviation (Appeals Tribunal) Regulations

Civil Aviation (Aviation Security) Regulations

Civil Aviation (Aeronautical Telecommunications) Regulations

Civil Aviation (Aeronautical Information Service/Air Navigation Services) Regulations

SECTION 2 – INTERNATIONAL/OVERSEAS OPERATIONS ICAO ANNEXES

Annex 1 to the ICAO Convention: Personnel Licensing

Annex 6 to the ICAO Convention: Operation of Aircraft

Annex 8 to the ICAO Convention: Airworthiness of Aircraft

Annex 19 to the ICAO Convention: Safety Management

OTHER ICAO DOCUMENTS

Document 9683 - Human Factors Training Manual

Document 8335 - Manual of Procedures for Operations Inspection, Certification and Continued Surveillance

Document 9284 - Technical Instructions for Safe Transport of Dangerous Goods by Air

Document 9379 - Manual and Procedures for Establishment and Management of a States Personnel Licensing system

Document 9760 - Airworthiness Manual

Document 9859 - Safety Management System


Appendix 7

1. INFORMATION AND GUIDANCE

1.1 The Statement of Compliance is prepared by the AMO/operator and submitted to the Authority indicating how all the relevant applicable Regulations to the proposed operations have been addressed.

1.2 The statement normally is in a form of a complete listing of all the pertinent sections and sub-parts of the relevant regulations, e.g. AMO, AOC, Airworthiness Regulations as the case may be.

1.3 The initial statement of compliance is submitted together with the formal application for organization and/or manual approval. It aids the certification team in determining where the regulatory requirements have been addressed in the applicant’s manual, program and procedures, it also helps to ensures that they have all been adequately addressed.

1.4 As illustrated in a typical AMO compliance statement below the format should include the Regulation number, the regulation subject, an indication of whether the Regulation is applicable or not, the relevant manual chapter, section, sub-section and page where the Regulation application has been addressed and/or a brief description of the method of compliance.

AMO - STATEMENT OF COMPLIANCE

AMO CARs Reg. No.

TITLE APPLY MPM REF. REMARKS

1 Citation N N/A N/A

2 Interpretation N N/A N/A

3 Application N N/A N/A

6 Requirement for Application N NA NA

10 Changes to the AMO Y MPM Sect. xx CH. yy, Pg. zz

13 AMO Capability Y MPM Sect. xx,

Ch. yy, Pg zz

16 Housing and Facilities requirements

Y MPM Sect. xx, Ch. yy, Pg zz

18 AMO Personnel Training Requirements

Y MPM Sect. xx, Ch. yy, Pg zz

19 AMO Management Personnel Y MPM Sect.xx Ch. yy, Pg.zz

20 Personnel Qualifications and Responsibilities

Y MPM Sect.xx Ch. yy, Pg.zz

21 Man hours MPM Sect.xx Ch. yy, Pg.zz

22 Assessment of personnel MPM Sect.xx Ch. yy, Pg.zz

23 Training of certifying staff MPM Sect.xx Ch. yy, Pg.zz

Being Developed

24 Rest and duty limitations MPM Sect.xx Ch. yy, Pg.zz

25 Record of certifying staff Y MPM Sect.xx Ch. yy, Pg.zz

26 AMO maintenance procedures manual

Y MPM Doc. No.000


1.5 The initial statement of compliance (and later the final statement) provides the only written evidence that the applicant is aware of all the applicable Regulations and understands how to appropriately apply them.

1.6 If at the time of submitting the initial statement of compliance (Formal Application Phase) some of the required methods of compliance have not been developed, the applicant may state that compliance information will be provided in the final statement. However, if it shows total lack of knowledge and understanding of the Regulations the application package should be rejected. A compliance statement such as “Will Comply” is not acceptable.

1.7 It is important to observe that the manuals review and the certification demonstration phase is not carried out until the statement of compliance has been submitted and the certification team is satisfied that all applicable regulatory aspects have been appropriately addressed.

SAMPLE STATEMENT OF COMPLIANCE

BCAR TITLE APPLY MPM REMARKS

BCAR – AMOs Regulations

APPROVED MAINTENANCE

ORGANISATION Y

PART I – Preliminary

Regulation 3.

INTERPRETATION

Y

(“AMO name”) is

aware of this

paragraph

PART IV – Administration

Regulation 20.(1)

MANAGEMENT PERSONNEL

An approved maintenance organisation shall have

an accountable manager acceptable to the

Authority, with corporate authority for ensuring that

all the necessary resources are available to support

the approved maintenance organisation’s approval.

Y Sec III Page 2 The accountable

manager’s duties,

responsibilities and

authorities are identified

in Section III.