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ANNEX IIU.K.AUTHORITY REQUIREMENTS FOR AIR OPERATIONS[PART-ARO]

ARO.GEN.005ScopeU.K.

This Annex establishes requirements for the administration and management system to be fulfilled by the [F1CAA] for the implementation and enforcement of Regulation (EC) No 216/2008 and its Implementing Rules regarding civil aviation air operations.

Textual Amendments

SUBPART GENGENERAL REQUIREMENTSU.K.

SECTION IU.K.General

ARO.GEN.115Oversight documentationU.K.

The [F2CAA] shall provide all legislative acts, standards, rules, technical publications and related documents to relevant personnel in order to allow them to perform their tasks and to discharge their responsibilities.

Textual Amendments

ARO.GEN.120Means of complianceU.K.
[F3(a) The [F4CAA] shall develop acceptable means of compliance (‘AMC’) that may be used to establish compliance with Regulation (EU) 2018/1139 and its delegated and implementing acts. U.K.

Textual Amendments

Textual Amendments

(b) Alternative means of compliance may be used to establish compliance with Regulation (EU) 2018/1139 and its delegated and implementing acts. U.K.
(c) The [F5CAA] shall establish a system to consistently evaluate whether the alternative means of compliance used by itself or by organisations and persons under its oversight comply with Regulation (EU) 2018/1139 and its delegated and implementing acts. That system shall include procedures to limit, revoke or amend approved alternative means of compliance, if it has been demonstrated by the [F5CAA] that those alternative means of compliance do not comply with Regulation (EU) 2018/1139 and delegated and implementing acts adopted on its basis.] U.K.

Textual Amendments

[F6(d) The [F7CAA] shall evaluate all alternative means of compliance proposed by an organisation in accordance: U.K.
(1)

with point ORO.GEN.120(b) of Annex III (Part-ORO) to this Regulation;

(2)

for balloons with point BOP.ADD.010 of Annex II (Part-BOP) to Commission Regulation (EU) 2018/395 (1) [F3.]

(3)

F8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

by analysing the documentation provided and, if considered necessary, conducting an inspection of the organisation.

When the [F7CAA] finds that the alternative means of compliance are in accordance with the Implementing Rules, it shall without undue delay:

(1)

notify the applicant that the alternative means of compliance may be implemented and, if applicable, amend the approval, specialised operation authorisation or certificate of the applicant accordingly; F9...

(2)

F10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)

F10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ]

Textual Amendments

F9Word in Annex 2 point ARO.GEN.120(d) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(3)(c)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

(e)When the competent authority itself uses alternative means of compliance to achieve compliance with Regulation (EC) No 216/2008 and its Implementing Rules [F11the CAA must make them available to all organisations and persons under its oversight].U.K.

Textual Amendments

F12ARO.GEN.125
F12(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.
F12(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

ARO.GEN.135Immediate reaction to a safety problemU.K.
[F3(a) Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the Council (2), the [F13CAA] shall implement a system to appropriately collect, analyse and disseminate safety information.] U.K.

Textual Amendments

F14(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

(c)Upon receiving the information referred to in (a) F15..., the [F16CAA] shall take adequate measures to address the safety problem.U.K.

Textual Amendments

F15Words in Annex 2 point ARO.GEN.135(c) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(5)(c)(i) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(d)Measures taken under (c) shall immediately be notified to all persons or organisations which need to comply with them under Regulation (EC) No 216/2008 and its Implementing Rules. F17...U.K.

Textual Amendments

F17Words in Annex 2 point ARO.GEN.135(d) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(5)(d) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

SECTION IIU.K.Management

ARO.GEN.200Management systemU.K.
(a)The [F18CAA] shall establish and maintain a management system, including as a minimum:U.K.
(1)

documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EC) No 216/2008 and its Implementing Rules. The procedures shall be kept up to date and serve as the basic working documents within [F19the CAA] for all related tasks;

(2)

a sufficient number of personnel to perform its tasks and discharge its responsibilities. Such personnel shall be qualified to perform their allocated tasks and have the necessary knowledge, experience, initial and recurrent training to ensure continuing competence. A system shall be in place to plan the availability of personnel, in order to ensure the proper completion of all tasks;

(3)

adequate facilities and office accommodation to perform the allocated tasks;

(4)

a function to monitor compliance of the management system with the relevant requirements and adequacy of the procedures including the establishment of an internal audit process and a safety risk management process. Compliance monitoring shall include a feedback system of audit findings to the senior management of the [F20CAA] to ensure implementation of corrective actions as necessary; and

(5)

a person or group of persons, ultimately responsible to the senior management of the [F20CAA] for the compliance monitoring function.

Textual Amendments

Textual Amendments

(b)The [F21CAA] shall, for each field of activity, including management system, appoint one or more persons with the overall responsibility for the management of the relevant task(s).U.K.

Textual Amendments

F22(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F22(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.
ARO.GEN.205Allocation of tasks to qualified entitiesU.K.
(a)Tasks related to the initial certification [F23, specialised operation authorisation] or continuing oversight of persons or organisations subject to Regulation (EC) No 216/2008 and its Implementing Rules shall be allocated by [F24the CAA] only to qualified entities. When allocating tasks, the [F25CAA] shall ensure that it has:U.K.
(1)

put a system in place to initially and continuously assess that the qualified entity complies with Annex V to Regulation (EC) No 216/2008.

This system and the results of the assessments shall be documented.

(2)

established a documented agreement with the qualified entity, approved by both parties at the appropriate management level, which clearly defines:

(i)

the tasks to be performed;

(ii)

the declarations, reports and records to be provided;

(iii)

the technical conditions to be met in performing such tasks;

(iv)

the related liability coverage; and

(v)

the protection given to information acquired in carrying out such tasks.

Textual Amendments

(b)The [F26CAA] shall ensure that the internal audit process and safety risk management process required by ARO.GEN.200(a)(4) covers all certification [F23, authorisation] or continuing oversight tasks performed on its behalf.U.K.

Textual Amendments

ARO.GEN.210Changes in the management systemU.K.
(a)The [F27CAA] shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and its Implementing Rules. This system shall enable it to take action as appropriate to ensure that its management system remains adequate and effective.U.K.

Textual Amendments

(b)The [F28CAA] shall update its management system to reflect any change to Regulation (EC) No 216/2008 and its Implementing Rules in a timely manner, so as to ensure effective implementation.U.K.

Textual Amendments

F29(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

ARO.GEN.220Record-keepingU.K.
(a)The [F30CAA] shall establish a system of record-keeping providing for adequate storage, accessibility and reliable traceability of:U.K.
(1)

the management system’s documented policies and procedures;

(2)

training, qualification and authorisation of its personnel;

(3)

the allocation of tasks, covering the elements required by ARO.GEN.205 as well as the details of tasks allocated;

(4)

certification processes and continuing oversight of certified organisations;

(4a)

[F23the process of authorisation of a high risk commercial specialised operation and continuing oversight of an authorisation holder;]

(5)

[F31declaration processes and continuing oversight of declared organisations;]

(6)

details of training courses provided by certified organisations, and if applicable, records relating to FSTDs used for such training;

(7)

F32. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8)

[F33oversight of operations of other-than complex motor-powered aircraft by non-commercial operators;]

(9)

the evaluation F34... of alternative means of compliance proposed by organisations subject to certification [F23, or authorisation] and the assessment of alternative means of compliance used by the [F35CAA] itself;

(10)

findings, corrective actions and date of action closure;

(11)

enforcement measures taken;

(12)

safety information and follow-up measures; and

(13)

the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008.

Textual Amendments

Textual Amendments

[F36(b) The [F37CAA] shall maintain a list of all organisation certificates and specialised operations authorisations it issued as well as declarations it received.] U.K.

Textual Amendments

Textual Amendments

(c)All records shall be kept for the minimum period specified in this Regulation. In the absence of such indication, records shall be kept for a minimum period of five years subject to applicable data protection law.U.K.

SECTION IIIU.K.Oversight, certification and enforcement

ARO.GEN.300OversightU.K.
[F38(a) The [F39CAA] shall verify: U.K.
(1)

[F36compliance with the requirements applicable to organisations or type of operations prior to the issue of a certificate, approval or authorisation, as applicable;

(2)

[F3continued compliance with the applicable requirements of organisations it has certified, specialised operations it has authorised and organisations from which it received a declaration;]]

(3)

[F33continued compliance with the applicable requirements of non-commercial operators of other-than complex motor-powered aircraft; and]

(4)

implementation of appropriate safety measures mandated by the [F39CAA] as defined in ARO.GEN.135(c) and (d).]

Textual Amendments

(b)This verification shall:U.K.
(1)

be supported by documentation specifically intended to provide personnel responsible for safety oversight with guidance to perform their functions;

(2)

provide the persons and organisations concerned with the results of safety oversight activity;

(3)

be based on audits and inspections, including ramp and unannounced inspections; and

(4)

provide the [F40CAA] with the evidence needed in case further action is required, including the measures foreseen by ARO.GEN.350 and ARO.GEN.355.

Textual Amendments

(c)The scope of oversight defined in (a) and (b) shall take into account the results of past oversight activities and the safety priorities.U.K.
F41(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F41(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.
(f)The [F42CAA] shall collect and process any information deemed useful for oversight, including for ramp and unannounced inspections.U.K.

Textual Amendments

ARO.GEN.305Oversight programmeU.K.
(a)The [F43CAA] shall establish and maintain an oversight programme covering the oversight activities required by ARO.GEN.300 and by ARO.RAMP.U.K.

Textual Amendments

(b)For organisations certified by the [F43CAA], the oversight programme shall be developed taking into account the specific nature of the organisation, the complexity of its activities, the results of past certification and/or oversight activities required by ARO.GEN and ARO.RAMP and shall be based on the assessment of associated risks. It shall include within each oversight planning cycle:U.K.
(1)

audits and inspections, including ramp and unannounced inspections as appropriate; and

(2)

meetings convened between the accountable manager and the [F43CAA] to ensure both remain informed of significant issues.

(c)For organisations certified by the [F43CAA] an oversight planning cycle not exceeding 24 months shall be applied.U.K.

The oversight planning cycle may be reduced if there is evidence that the safety performance of the organisation has decreased.

The oversight planning cycle may be extended to a maximum of 36 months if the [F43CAA] has established that, during the previous 24 months:

(1)

the organisation has demonstrated an effective identification of aviation safety hazards and management of associated risks;

(2)

the organisation has continuously demonstrated under ORO.GEN.130 that it has full control over all changes;

(3)

no level 1 findings have been issued; and

(4)

all corrective actions have been implemented within the time period accepted or extended by the [F43CAA] as defined in ARO.GEN.350(d)(2).

The oversight planning cycle may be further extended to a maximum of 48 months if, in addition to the above, the organisation has established, and the [F43CAA] has approved, an effective continuous reporting system to the [F43CAA] on the safety performance and regulatory compliance of the organisation itself.

[F36(d) For organisations declaring their activity to the [F43CAA], the oversight programme shall be based on the specific nature of the organisation, the complexity of its activities and the data of past oversight activities and the assessment of risks associated with the type of activity carried out. It shall include audits and inspections, including ramp and unannounced inspections, as appropriate.] U.K.
[F23(d1) For organisations holding a specialised operations authorisation, the oversight programme shall be established in accordance with (d) and shall also take into account the past and current authorisation process and the validity period of the authorisation.] U.K.
[F38(e)] For persons holding a licence, certificate, rating, or attestation issued by the [F43CAA] the oversight programme shall include inspections, including unannounced inspections, as appropriate.U.K.
[F38(f)] The oversight programme shall include records of the dates when audits, inspections and meetings are due and when such audits, inspections and meetings have been carried out.U.K.
ARO.GEN.310Initial certification procedure — organisationsU.K.
(a)Upon receiving an application for the initial issue of a certificate for an organisation, the [F44CAA] shall verify the organisation’s compliance with the applicable requirements. This verification may take into account the statement referred to in ORO.AOC.100(b).U.K.

Textual Amendments

(b)When satisfied that the organisation is in compliance with the applicable requirements, the [F44CAA] shall issue the certificate(s), as established in Appendices I and II. The certificate(s) shall be issued for an unlimited duration. The privileges and scope of the activities that the organisation is approved to conduct shall be specified in the terms of approval attached to the certificate(s).U.K.
(c)To enable an organisation to implement changes without prior [F44CAA] approval in accordance with ORO.GEN.130, the [F44CAA] shall approve the procedure submitted by the organisation defining the scope of such changes and describing how such changes will be managed and notified.U.K.
ARO.GEN.330Changes — organisationsU.K.
(a)Upon receiving an application for a change that requires prior approval, the [F45CAA] shall verify the organisation’s compliance with the applicable requirements before issuing the approval.U.K.

The [F45CAA] shall prescribe the conditions under which the organisation may operate during the change, unless the [F45CAA] determines that the organisation’s certificate needs to be suspended.

When satisfied that the organisation is in compliance with the applicable requirements, the [F45CAA] shall approve the change.

Textual Amendments

(b)Without prejudice to any additional enforcement measures, when the organisation implements changes requiring prior approval without having received [F45CAA] approval as defined in (a), the [F45CAA] shall suspend, limit or revoke the organisation’s certificate.U.K.
(c)For changes not requiring prior approval, the [F45CAA] shall assess the information provided in the notification sent by the organisation in accordance with ORO.GEN.130 to verify compliance with the applicable requirements. In case of any non-compliance, the [F45CAA] shall:U.K.
(1)

notify the organisation about the non-compliance and request further changes;

(2)

in case of level 1 or level 2 findings, act in accordance with ARO.GEN.350.

[F31ARO.GEN.345 Declaration — organisations U.K.
[F6(a) Upon receiving a declaration from an organisation carrying out or intending to carry out activities for which a declaration is required, the [F46CAA] shall verify that the declaration contains all the information required: U.K.
(1)

pursuant to ORO.DEC.100 of Annex III (Part-ORO) to this Regulation;

(2)

for balloon operators pursuant to BOP.ADD.100 of Annex II (Part-BOP) to Regulation (EU) 2018/395; or

(3)

for sailplane operators pursuant to SAO.DEC.100 of Annex II (Part-SAO) to Implementing Regulation (EU) 2018/1976.

After having verified the required information, the [F46CAA] shall acknowledge receipt of the declaration to the organisation.]

Textual Amendments

(b) If the declaration does not contain the required information, or contains information that indicates non-compliance with applicable requirements, the [F46CAA] shall notify the organisation about the non-compliance and request further information. If deemed necessary the [F46CAA] shall carry out an inspection of the organisation. If the non-compliance is confirmed, the [F46CAA] shall take action as defined in ARO.GEN.350.] U.K.
ARO.GEN.350Findings and corrective actions — organisationsU.K.
(a)The [F47CAA] shall have a system to analyse findings for their safety significance.U.K.

Textual Amendments

[F36(b) A level 1 finding shall be issued by the [F48CAA] when any significant non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the organisation’s procedures and manuals or with the terms of an approval, certificate, specialised operation authorisation or with the content of a declaration which lowers safety or seriously hazards flight safety.] U.K.

The level 1 findings shall include:

(1)

[F49failure to give the [F48CAA] access to the facilities of the organisation in accordance with point ORO.GEN.140 of Annex III (Part-ORO) to this Regulation, or for balloons operators in accordance with points BOP.ADD.015 and BOP.ADD.035 of Annex II (Part-BOP) to Regulation (EU) 2018/395, during normal operating hours and after two written requests;]

(2)

obtaining or maintaining the validity of the organisation certificate [F23or specialised operations authorisation] by falsification of submitted documentary evidence;

(3)

evidence of malpractice or fraudulent use of the organisation certificate [F23or specialised operations authorisation]; and

(4)

the lack of an accountable manager.

Textual Amendments

Textual Amendments

[F36(c) A level 2 finding shall be issued by the [F50CAA] when any non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the organisation’s procedures and manuals or with the terms of an approval, certificate, specialised operation authorisation or with the content of a declaration which could lower safety or hazard flight safety.] U.K.

Textual Amendments

(d)When a finding is detected during oversight or by any other means, the [F51CAA] shall, without prejudice to any additional action required by Regulation (EC) No 216/2008 and its Implementing Rules, communicate the finding to the organisation in writing and request corrective action to address the non-compliance(s) identified. Where relevant, the [F51CAA] shall inform the State in which the aircraft is registered.U.K.
(1)

In the case of level 1 findings the [F51CAA] shall take immediate and appropriate action to prohibit or limit activities, and if appropriate, it shall take action to revoke the certificate [F23, specialised operations authorisation] or specific approval or to limit or suspend it in whole or in part, depending upon the extent of the level 1 finding, until successful corrective action has been taken by the organisation.

(2)

In the case of level 2 findings, the [F51CAA] shall:

(i)

grant the organisation a corrective action implementation period appropriate to the nature of the finding that in any case initially shall not be more than three months. At the end of this period, and subject to the nature of the finding, the [F51CAA] may extend the three-month period subject to a satisfactory corrective action plan agreed by the [F51CAA]; and

(ii)

assess the corrective action and implementation plan proposed by the organisation and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept these.

(3)

Where an organisation fails to submit an acceptable corrective action plan, or to perform the corrective action within the time period accepted or extended by the [F51CAA], the finding shall be raised to a level 1 finding and action taken as laid down in (d)(1).

(4)

[F3The [F51CAA] shall record all findings it has raised or that have been communicated to it in accordance with point (e) and, where applicable, the enforcement measures it has applied, as well as all corrective actions and the date of action closure for findings.]

Textual Amendments

F52(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

ARO.GEN.355Findings and enforcement measures — personsU.K.
(a)If, during oversight or by any other means, evidence is found by the [F53CAA] that shows a non-compliance with the applicable requirements by a person holding a licence, certificate, rating or attestation issued in accordance with Regulation (EC) No 216/2008 and its Implementing Rules, the [F54CAA] shall act in accordance with ARA.GEN.355(a) [F55to (c)] of Annex VI (Part-ARA) to Commission [F36Regulation (EU) No 1178/2011] (3).U.K.

Textual Amendments

(b)If, during oversight or by any other means, evidence is found showing a non-compliance with the applicable requirements by a person subject to the requirements laid down in Regulation (EC) No 216/2008 and its Implementing Rules and not holding a licence, certificate, rating or attestation issued in accordance with that Regulation and its Implementing Rules, the [F56CAA] shall take any enforcement measures necessary to prevent the continuation of that non-compliance.U.K.

Textual Amendments

[F23ARO.GEN.360 Findings and enforcement measures — all operators U.K.

If, during oversight or by any other means, evidence is found showing a non-compliance with the applicable requirements by an operator subject to the requirements laid down in Regulation (EC) No 216/2008 and its Implementing Rules, the [F57CAA] shall take any enforcement measures necessary to prevent the continuation of that non-compliance.]

Textual Amendments

SUBPART OPSAIR OPERATIONSU.K.

SECTION IU.K.Certification of commercial air transport operators

ARO.OPS.100Issue of the air operator certificateU.K.
(a)The [F58CAA] shall issue the air operator certificate (AOC) when satisfied that the operator has demonstrated compliance with the elements required in ORO.AOC.100.U.K.

Textual Amendments

(b)The certificate shall include the associated operations specifications.U.K.
[F23(c) The [F58CAA] may determine specific operational limitations. Such limitations shall be documented in the operations specifications.] U.K.
ARO.OPS.105Code-share arrangementsU.K.

In considering the safety of a code-share agreement involving a third-country operator, the [F59CAA] shall:

Textual Amendments

(1)

satisfy itself, following the verification by the operator as set out in ORO.AOC.115, that the third-country operator complies with the applicable ICAO standards;

(2)

liaise with the [F60aviation authority] of the State of the third-country operator as necessary.

Textual Amendments

[F49ARO.OPS.110 Lease agreements for aeroplanes and helicopters] U.K.
(a)The [F61CAA] shall approve a lease agreement when satisfied that the operator certified in accordance with Annex III (Part-ORO) complies with:U.K.
(1)

ORO.AOC.110(d), for dry leased-in third country aircraft;

(2)

ORO.AOC.110(c), for wet lease-in of an aircraft from a third country operator;

(3)

[F3ORO.AOC.110(e), for dry lease-out of an aircraft to any operator, except for the cases specified in point ORO.GEN.310 of Annex III;]

(4)

F62. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Textual Amendments

(b)The approval of a wet lease-in agreement shall be suspended or revoked whenever:U.K.
(1)

the AOC of the lessor or lessee is suspended or revoked;

(2)

[F3the lessor is [F63included on the United Kingdom safety list] pursuant to Regulation (EC) No 2111/2005 of the European Parliament and of the Council (4);]

(3)

[F64the authorisation issued in accordance with Commission Regulation (EU) No 452/2014 (5) has been suspended, revoked or surrendered.]

Textual Amendments

F63Words in Annex 2 point ARO.OPS.110(b)(2) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 355(4)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

[F65(c) The approval of a dry lease-in agreement shall be suspended or revoked whenever: U.K.
(1)

the certificate of airworthiness of the aircraft is suspended or revoked;

(2)

the aircraft is included in the list of operators subject to operational restrictions or it is registered in a State of which all operators under its oversight are [F66included on the United Kingdom safety list] pursuant to Regulation (EC) No 2111/2005.]

Textual Amendments

F66Words in Annex 2 point ARO.OPS.110(c)(2) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 355(4)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

(d)When asked for the prior approval of a dry-lease out agreement in accordance with ORO.AOC.110(e), the [F67CAA] shall ensure:U.K.
(1)

[F3proper coordination with the [F68aviation authority of the state] responsible for the continuing oversight of the aircraft, in accordance with Commission Regulation (EU) No 1321/2014(6), or for the operation of the aircraft, if it is not the same authority;

(2)

that the aircraft is timely removed from the operator's AOC except for the cases specified in point ORO.GEN.310 of Annex III.]

Textual Amendments

Textual Amendments

[F69(e) When asked for prior approval of a dry lease-in agreement in accordance with point ORO.AOC.110(d), the [F70CAA] shall ensure proper coordination with the State of Registry of the aircraft as necessary to exercise the oversight responsibilities of the aircraft.] U.K.

Textual Amendments

Textual Amendments

[F23SECTION Ia U.K. Authorisation of high risk commercial specialised operations

ARO.OPS.150 Authorisation of high risk commercial specialised operations U.K.
(a) Upon receiving an application for the issue of a high risk commercial specialised operations authorisation, the [F71CAA] shall review the operator’s risk assessment documentation and standard operating procedures (SOP), related to one or more planned operations and developed in accordance with the relevant requirements of Annex VIII (Part-SPO). U.K.

Textual Amendments

[F3(b) When satisfied with the risk assessment and SOP, the [F72CAA] shall issue the authorisation, as established in Appendix IV. The authorisation may be issued for a limited or for unlimited duration. The conditions under which an operator is authorised to conduct one or more high risk commercial specialised operations shall be specified in the authorisation.] U.K.

Textual Amendments

(c) Upon receiving an application for a change to the authorisation, the [F73CAA] shall comply with (a) and (b). It shall prescribe the conditions under which the operator may operate during the change, unless the [F74CAA] determines that the authorisation needs to be suspended. U.K.

Textual Amendments

(d) Upon receiving an application for the renewal of the authorisation, the [F75CAA] shall comply with (a) and (b). It may take into account the past authorisation process and oversight activities. U.K.

Textual Amendments

(e) Without prejudice to any additional enforcement measures, when the operator implements changes without having submitted an amended risk assessment and SOP, the [F76CAA] shall suspend, limit or revoke the authorisation. U.K.

Textual Amendments

F77 (f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

ARO.OPS.155 Lease agreements U.K.
(a) The [F78CAA] shall approve a lease agreement involving a third country registered aircraft or a third country operator when the SPO operator has demonstrated compliance with ORO.SPO.100. U.K.

Textual Amendments

F78Word in Annex 2 point ARO.OPS.155(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 355(6) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b) The approval of a dry lease-in agreement shall be suspended or revoked whenever the certificate of airworthiness of the aircraft is suspended or revoked.] U.K.

SECTION IIU.K.Approvals

ARO.OPS.200Specific approval procedureU.K.
(a)Upon receiving an application for the issue of a specific approval or changes thereof, the [F79CAA] shall assess the application in accordance with the relevant requirements of Annex V (Part-SPA) and conduct, where relevant, an appropriate inspection of the operator.U.K.

Textual Amendments

[F38(b) When satisfied that the operator has demonstrated compliance with the applicable requirements, the [F79CAA] shall issue or amend the approval. The approval shall be specified in: U.K.
(1)

the operations specifications, as established in Appendix II, for commercial air transport operations; or

(2)

[F3the list of specific approvals, as established in Appendix III, for non-commercial operations and specialised operations.]]

ARO.OPS.205Minimum equipment list approvalU.K.
(a)When receiving an application for initial approval of a minimum equipment list (MEL) or an amendment thereof from an operator, the [F80CAA] shall assess each item affected, to verify compliance with the applicable requirements, before issuing the approval.U.K.

Textual Amendments

(b)The [F80CAA] shall approve the operator’s procedure for the extension of the applicable rectification intervals B, C and D, if the conditions specified in ORO.MLR.105(f) are demonstrated by the operator and verified by the [F80CAA].U.K.
(c)The [F80CAA] shall approve, on a case-by-case basis, the operation of an aircraft outside the constraints of the MEL but within the constraints of the master minimum equipment list (MMEL), if the conditions specified in ORO.MLR.105 are demonstrated by the operator and verified by the [F80CAA].U.K.
[F36ARO.OPS.210 Determination of distance or local area U.K.

The [F81CAA] may determine a distance or local area for the purpose of operations.]

Textual Amendments

ARO.OPS.215Approval of helicopter operations over a hostile environment located outside a congested areaU.K.
(a)The [F82CAA] shall designate those areas where helicopter operations may be conducted without an assured safe forced landing capability, as described in CAT.POL.H.420.U.K.

Textual Amendments

(b)Before issuing the approval referred to in CAT.POL.H.420 the [F83CAA] shall have considered the operator’s substantiation precluding the use of the appropriate performance criteria.U.K.

Textual Amendments

ARO.OPS.220Approval of helicopter operations to or from a public interest siteU.K.

The approval referred to in CAT.POL.H.225 shall include a list of the public interest site(s) specified by the operator to which the approval applies.

ARO.OPS.225Approval of operations to an isolated aerodromeU.K.

The approval referred to in CAT.OP.MPA.106 shall include a list of the aerodromes specified by the operator to which the approval applies.

[F84ARO.OPS.226 Approval and oversight of evidence-based training programmes U.K.
(a)

Where [F85the CAA] grants an approval for EBT programmes, inspectors must receive qualification and training in EBT principles, application, approval processes and continuing oversight.

(b)

The [F86CAA] shall assess and oversee the EBT programme, together with the processes that support the implementation of the EBT programme and its effectiveness.

(c)

Upon receiving an application for the approval of an EBT programme, the [F87CAA] shall:

(1)

ensure the resolution of level 1 findings in the areas that will support the application of the EBT programme;

(2)

assess the capability of the operator to support the implementation of the EBT programme. The following elements shall be considered as a minimum:

(i)

the maturity and capability of the operator’s management system in the areas that will support the application of the EBT programme — in particular, flight crew training;

(ii)

the operator’s EBT programme suitability — the EBT programme shall correspond to the size of the operator, and the nature and complexity of its activities, taking into account the hazards and associated risks inherent in those activities;

(iii)

the adequacy of the operator’s record-keeping system, in particular with regard to flight crew training, checking and qualifications records in particular ORO.GEN.220 and ORO.MLR.115 points (c) and (d);

(iv)

the suitability of the operator’s grading system to assess the pilot competencies;

(v)

the competence and the experience of the instructors and other personnel involved in the EBT programme in the use of the processes and procedures that support the implementation of the EBT programme; and

(vi)

the operator’s EBT implementation plan and a safety risk assessment supporting the EBT programme in order to demonstrate how an equivalent level of safety to that of the current training programme can be achieved.

(d)

The [F88CAA] shall grant an EBT programme approval when the assessment concludes that the compliance with at least ORO.FC.146, ORO.FC.231, and ORO.FC.232 is ensured.

(e)

F89. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

Textual Amendments

F85Words in Annex 2 point ARO.OPS.226(a) substituted (16.6.2021) by The Aviation Safety (Amendment) (No. 2) Regulations 2021 (S.I. 2021/614), regs. 1(1), 2(2)(a)

F86Word in Annex 2 point ARO.OPS.226(b) substituted (16.6.2021) by The Aviation Safety (Amendment) (No. 2) Regulations 2021 (S.I. 2021/614), regs. 1(1), 2(2)(b)

F87Word in Annex 2 point ARO.OPS.226(c) substituted (16.6.2021) by The Aviation Safety (Amendment) (No. 2) Regulations 2021 (S.I. 2021/614), regs. 1(1), 2(2)(b)

F88Word in Annex 2 point ARO.OPS.226(d) substituted (16.6.2021) by The Aviation Safety (Amendment) (No. 2) Regulations 2021 (S.I. 2021/614), regs. 1(1), 2(2)(b)

F89Annex 2 point ARO.OPS.226(e) omitted (16.6.2021) by virtue of The Aviation Safety (Amendment) (No. 2) Regulations 2021 (S.I. 2021/614), regs. 1(1), 2(2)(c)

Textual Amendments

[F90ARO.OPS.230 Determination of disruptive schedules U.K.

For the purpose of flight time limitations, the [F91CAA] shall determine, in accordance with the definitions of ‘ early type ’ and ‘ late type ’ of disruptive schedules in point ORO.FTL.105 of Annex III, which of those two types of disruptive schedules shall apply to all CAT operators under its oversight.

Textual Amendments

Textual Amendments

ARO.OPS.235 Approval of individual flight time specification schemes U.K.
(a) The [F92CAA] shall approve flight time specification schemes proposed by CAT operators if the operator demonstrates compliance with Regulation (EC) No 216/2008 and Subpart FTL of Annex III to this Regulation. U.K.

Textual Amendments

(b) Whenever a flight time specification scheme proposed by an operator deviates from the applicable certification specifications issued by the [F93CAA], the [F94CAA] shall apply the procedure described in Article 22(2) of Regulation (EC) No 216/2008. U.K.

Textual Amendments

(c) Whenever a flight time specification scheme proposed by an operator derogates from applicable implementing rules, the [F95CAA] shall apply the procedure described in Article 14(6) of Regulation (EC) No 216/2008. U.K.

Textual Amendments

(d) Approved deviations or derogations shall be subject, after being applied, to an assessment to determine whether such deviations or derogations should be confirmed or amended. The [F96CAA] shall conduct an independent assessment based on information provided by the operator. The assessment shall be proportionate, transparent and based on scientific principles and knowledge.] U.K.

Textual Amendments

[F97ARO.OPS.240 Specific approval of RNP AR APCH U.K.
(a)

When compliance with the requirements in SPA.PBN.105 has been demonstrated by the applicant, the [F98CAA] shall grant a generic specific approval or a procedure-specific approval for RNP AR APCH.

(b)

In the case of a procedure-specific approval, the [F98CAA] shall:

(1)

list the approved instrument approach procedures at specific aerodromes in the PBN approval;

(2)

establish coordination with the [F99aviation authorities] for these aerodromes, if appropriate; and

(3)

take into account possible credits stemming from RNP AR APCH specific approvals already issued to the applicant.]

Textual Amendments

Textual Amendments

[F23SECTION III U.K. Oversight of operations

ARO.OPS.300 Introductory flights U.K.

The [F100CAA] may establish additional conditions for introductory flights carried out in accordance with Part-NCO in the [F101United Kingdom]. Such conditions shall ensure safe operations and be proportionate.]

Textual Amendments

SUBPART RAMPRAMP INSPECTIONS OF AIRCRAFT OF OPERATORS UNDER THE REGULATORY OVERSIGHT OF ANOTHER STATEU.K.

ARO.RAMP.005ScopeU.K.

This Subpart establishes the requirements to be followed by the [F102CAA] when exercising its tasks and responsibilities regarding the performance of ramp inspections of aircraft used by third country operators F103... when landed at aerodromes located in the [F104United Kingdom].

Textual Amendments

F103Words in Annex 2 point ARO.RAMP.005 omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 356(2)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

ARO.RAMP.100GeneralU.K.

(a)Aircraft, as well as their crew, shall be inspected against the applicable requirements.U.K.
(b)In addition to conducting ramp inspections included in its oversight programme established in accordance with ARO.GEN.305, the [F105CAA] shall perform a ramp inspection of an aircraft suspected of not being compliant with the applicable requirements.U.K.

Textual Amendments

(c)Within the development of the oversight programme established in accordance with ARO.GEN.305, the [F106CAA] shall establish an annual programme for the conduct of ramp inspections of aircraft. This programme shall:U.K.
(1)

be based on a calculation methodology that takes into account historical information on the number and nature of operators and their number of landings at its aerodromes, as well as safety risksF107...

(2)

F108. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F107Word in Annex 2 point ARO.RAMP.100(c)(1) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 356(3)(b)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

F109(d). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

F110ARO.RAMP.105

(a)F110. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.
(b)F110. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.
(c)F110. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

[F111ARO.RAMP.106Alcohol testingU.K.

(a)The CAA’s programme of ramp inspections shall include arrangements for alcohol testing on flight crew members and cabin crew members, based on random selection or on reasonable suspicion that the individual is under the influence or in excess of the prescribed limit of alcohol.U.K.
(b)The procedures for alcohol testing shall meet recognised quality standards that ensure accurate testing results and these procedures and quality standards shall be detailed in guidance published by the CAA.U.K.
(c)A flight crew member or cabin crew member:U.K.
(i)

who refuses to cooperate with alcohol testing; or

(ii)

whose alcohol test produces a reading in excess of the prescribed limit of alcohol,

shall not be allowed to continue their duties on the flight in question.

(d)When alcohol test data is included in the EASA centralised database in accordance with ARO.RAMP.145, the CAA shall ensure that any personal data of the crew member is excluded.U.K.
(e)“prescribed limit of alcohol” means:U.K.
(i)

in the case of breath, 9 microgrammes of alcohol in 100 millilitres,

(ii)

in the case of blood, 20 milligrammes of alcohol in 100 millilitres, and

(iii)

in the case of urine, 27 milligrammes of alcohol in 100 millilitres.]

Textual Amendments

ARO.RAMP.110Collection of informationU.K.

The [F112CAA] shall collect and process any information deemed useful for conducting ramp inspections.

Textual Amendments

ARO.RAMP.115Qualification of ramp inspectorsU.K.

(a)The [F113CAA] shall have qualified inspectors to conduct ramp inspections.U.K.

Textual Amendments

(b)Ramp inspectors shall:U.K.
(1)

possess the necessary aeronautical education or practical knowledge relevant to their area(s) of inspection;

(2)

have successfully completed:

(i)

appropriate specific theoretical and practical training, in one or more of the following areas of inspection:

(A)

flight deck;

(B)

cabin safety;

(C)

aircraft condition;

(D)

cargo;

(ii)

appropriate on-the-job training delivered by a senior ramp inspector appointed by the [F114CAA];

(3)

[F3maintain the validity of their qualification by undergoing recurrent training and by performing a minimum of 12 inspections per calendar year.]

Textual Amendments

F114Word in Annex 2 point ARO.RAMP.115(b)(2)(ii) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 356(6)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(c)The training in (b)(2)(i) shall be delivered by the [F115CAA] or by any training organisation approved in accordance with ARO.RAMP.120(a).U.K.

Textual Amendments

(d)The [F116CAA] shall develop and maintain training syllabi and promote the organisation of training courses and workshops for inspectors to improve the understanding and uniform implementation of this Subpart.U.K.

Textual Amendments

F117(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

ARO.RAMP.120Approval of training organisationsU.K.

(a)The [F118CAA] shall approve a training organisation, having its principal place of business in the [F119United Kingdom], when satisfied that the training organisation:U.K.
(1)

has nominated a head of training possessing sound managerial capability to ensure that the training provided is in compliance with the applicable requirements;

(2)

has available training facilities and instructional equipment suitable for the type of training provided;

(3)

provides training in accordance with the syllabi developed by the [F120CAA] in accordance with ARO.RAMP.115(d);

(4)

uses qualified training instructors.

Textual Amendments

Textual Amendments

F121(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

(c)The training organisation shall be approved to provide one or more of the following types of training:U.K.
(1)

initial theoretical training;

(2)

initial practical training;

(3)

recurrent training.

ARO.RAMP.125Conduct of ramp inspectionsU.K.

[F3(a) Ramp inspections shall be performed in a standardised manner.] U.K.
(b)When performing a ramp inspection, the inspector(s) shall make all possible efforts to avoid an unreasonable delay of the aircraft inspected.U.K.
[F3(c) On completion of the ramp inspection, the pilot-in-command or, in his/her absence, another flight crew member or a representative of the operator shall be informed of the ramp inspection's results.] U.K.

ARO.RAMP.130Categorisation of findingsU.K.

For each inspection item, three categories of possible non-compliance with the applicable requirements are defined as findings. Such findings shall be categorised as follows:

(1)

a category 3 finding is any detected significant non-compliance with the applicable requirements or the terms of a certificate that has a major influence on safety;

(2)

a category 2 finding is any detected non-compliance with the applicable requirements or the terms of a certificate that has a significant influence on safety;

(3)

a category 1 finding is any detected non-compliance with the applicable requirements or the terms a certificate that has a minor influence on safety.

ARO.RAMP.135Follow-up actions on findingsU.K.

(a)For a category 2 or 3 finding the [F122CAA], shall:U.K.
(1)

communicate the finding in writing to the operator, including a request for evidence of corrective actions taken; and

(2)

inform the [F123aviation authority] of the State of the operator and, where relevant, the State in which the aircraft is registered and where the licence of the flight crew was issued. Where appropriate, the [F124CAA] shall request confirmation of their acceptance of the corrective actions taken by the operator in accordance with ARO.GEN.350 or ARO.GEN.355.

Textual Amendments

Textual Amendments

(b)In addition to (a), in the case of a category 3 finding, the [F125CAA] shall take immediate steps by:U.K.
(1)

imposing a restriction on the aircraft flight operation;

(2)

requesting immediate corrective actions;

(3)

grounding the aircraft in accordance with ARO.RAMP.140; or

(4)

[F126suspending permission under article 255(3) of the Air Navigation Order 2016 and recommending to the Secretary of State that the relevant operator be included on the United Kingdom safety list in accordance with Regulation (EC) No 2111/2005] in accordance with Article 6 of Regulation (EC) No 2111/2005.

Textual Amendments

Textual Amendments

F127(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

ARO.RAMP.140Grounding of aircraftU.K.

(a)In the case of a category 3 finding where it appears that the aircraft is intended or is likely to be flown without completion by the operator or owner of the appropriate corrective action, the [F128CAA] shall:U.K.
(1)

notify the pilot-in-command/commander or the operator that the aircraft is not permitted to commence the flight until further notice; and

(2)

ground that aircraft.

Textual Amendments

(b)The [F129CAA] shall immediately inform the [F130aviation authority] of the State of the operator and of the State in which the aircraft is registered, if relevantF131....U.K.

Textual Amendments

F131Words in Annex 2 point ARO.RAMP.140(b) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 356(9)(b)(iii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(c)The [F132CAA] shall, in coordination with the State of the operator or the State of Registry, prescribe the necessary conditions under which the aircraft can be allowed to take-off.U.K.

Textual Amendments

(d)If the non-compliance affects the validity of the certificate of airworthiness of the aircraft, the grounding shall only be lifted by the [F133CAA] when the operator shows evidence that:U.K.
(1)

compliance with the applicable requirements has been re-established;

(2)

F134. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)

a permit-to-fly or equivalent document of the State of Registry or the State of the operator F135...; and

(4)

permission from third countries which will be overflown, if applicable.

Textual Amendments

F135Words in Annex 2 point ARO.RAMP.140(d)(3) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 356(9)(d)(iii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

Textual Amendments

ARO.RAMP.145ReportingU.K.

(a)Information collected in accordance with ARO.RAMP.125(a) shall be entered into the [F136database maintained by the European Aviation Safety Agency and used by the CAA in accordance with working arrangements established in accordance with article 90(2) of Regulation (EU) 2018/1139 (“the EASA centralised database”)] F137..., within 21 calendar days after the inspection.U.K.

Textual Amendments

F136Words in Annex 2 point ARO.RAMP.145(a) substituted (20.11.2021) by The Aviation Safety (Amendment) (No. 3) Regulations 2021 (S.I. 2021/1203), regs. 1(2), 10(2)(b)(i)

F137Words in Annex 2 point ARO.RAMP.145(a) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 356(10)(a)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b)The [F138CAA] shall enter into the [F139EASA centralised database] any information useful for the application of Regulation (EC) No 216/2008 and its Implementing Rules and for the accomplishment by the [F140CAA] of the tasks assigned to it by this Annex, including the relevant information referred to in ARO.RAMP.110.U.K.

Textual Amendments

F139Words in Annex 2 point ARO.RAMP.145(b) substituted (20.11.2021) by The Aviation Safety (Amendment) (No. 3) Regulations 2021 (S.I. 2021/1203), regs. 1(2), 10(2)(b)(ii)

F141(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

(d)Whenever information concerning aircraft deficiencies is given by a person to the [F142CAA], the information referred to in ARO.RAMP.110 and ARO.RAMP.125(a) shall be de-identified regarding the source of such information.U.K.

Textual Amendments

F143ARO.RAMP.150

(a)F143. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.
(b)F143. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

ARO.RAMP.155Annual reportU.K.

The [F144CAA] shall prepare and submit to the [F145Secretary of State] an annual report on the ramp inspection system containing at least the following information:

Textual Amendments

(a)

status of the progress of the system;

(b)

status of the inspections performed in the year;

(c)

analysis of the inspection results with indication of the categories of findings;

(d)

actions taken during the year;

(e)

proposals for further improving the ramp inspection system; and

(f)

annexes containing lists of inspections sorted out by State of operation, aircraft type, operator and ratios per item.

ARO.RAMP.160Information to the public F146...U.K.

F147(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .U.K.

Textual Amendments

(b)The [F148CAA] shall publish an aggregated information report annually that shall be available to the public containing the analysis of the information received in accordance with ARO.RAMP.145. The report shall be simple and easy to understand, and the source of the information shall be de-identified.U.K.

Textual Amendments

Textual Amendments

F146Words in Annex 2 point ARO.RAMP.160 heading omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 356(13)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

[F3Appendix I

a

Other type of transportation to be specified.

b

Replaced by the name of the State of the operator.

c

F149. . .

d

For use of the [F150CAA].

e

For use of the [F151CAA].

f

Approval reference, as issued by the [F152CAA].

g

Replaced by the operator's registered name.

h

Operator's trading name, if different. Insert ‘ Dba ’ (for ‘ Doing business as ’ ) before the trading name.

i

The contact details include the telephone and fax numbers, including the country code, and the email address (if available) at which operational management can be contacted without undue delay for issues related to flight operations, airworthiness, flight and cabin crew members' competency, dangerous goods and other matters as appropriate.

j

Operator's principal place of business address.

l

Operator's principal place of business telephone and fax details, including the country code. Email to be provided if available.

k

Insertion of the controlled document, carried on board, in which the contact details are listed, with the appropriate paragraph or page reference. E.g.: ‘ Contact details … are listed in the operations manual, gen/basic, chapter 1, 1.1 ’ ; or ‘ … are listed in the operations specifications, page 1 ’ ; or ‘ … are listed in an attachment to this document ’ .

m

Operator's registered name.

n

Issue date of the AOC (dd-mm-yyyy).

o

Title, name and signature of the [F153CAA] representative. In addition, an official stamp may be applied on the AOC.

AIR OPERATOR CERTIFICATE

(Approval schedule for air transport operators)

Types of operation:

Commercial air transport (CAT)

□Passengers; □Cargo;

□Other a : …

d State of the operator be
[F154Civil Aviation Authority]
AOC # f :

Operator name g

Dba trading name h

Operator address j :

Telephone l :

Fax

Email:

Operational points of contact: i

Contact details, at which operational management can be contacted without undue delay, are listed in … k.

This certificate certifies that … m is authorised to perform commercial air operations, as defined in the attached operations specifications, in accordance with the operations manual, Annex V to Regulation (EU) 2018/1139 and its delegated and implementing acts.
Date of issue n :

Name and Signature o :

Title:

[F155CAA Form 138 Issue 1]

Textual Amendments

[F156Appendix II

Textual Amendments

a

Telephone and fax contact details of the [F157CAA], including the country code. Email to be provided if available.

b

Insertion of associated air operator certificate (AOC) number.

c

Insertion of the operator's registered name and the operator's trading name, if different. Insert ‘ Dba ’ before the trading name (for ‘ Doing business as ’ ).

d

Issue date of the operations specifications (dd-mm-yyyy) and signature of the [F157CAA] representative.

e

Insertion of ICAO designation of the aircraft make, model and series, or master series, if a series has been designated (e.g. Boeing-737-3K2 or Boeing-777-232).

f

Either the registration marks are listed in the operations specifications or in the operations manual. In the latter case, the related operations specifications must make a reference to the related page in the operations manual. In case not all specific approvals apply to the aircraft model, the registration marks of the aircraft may be entered in the remark column to the related specific approval.

g

Other type of transportation to be specified (e.g. emergency medical service).

h

Listing of geographical areas of authorised operation (by geographical coordinates or specific routes, flight information region, or national or regional boundaries).

i

Listing of applicable special limitations (e.g. VFR only, Day only, etc.).

j

List in this column the most permissive criteria for each approval or the approval type (with appropriate criteria).

l

Insertion of applicable precision approach category: LTS CAT I, CAT II, OTS CAT II, CAT IIIA, CAT IIIB or CAT IIIC. Insertion of minimum runway visual range (RVR) in meters and decision height (DH) in feet. One line is used per listed approach category.

k

Insertion of approved minimum take-off RVR in metres. One line per approval may be used if different approvals are granted.

m

The Not Applicable (N/A) box may be checked only if the aircraft maximum ceiling is below FL290.

n

Extended range operations (ETOPS) currently applies only to two-engined aircraft. Therefore, the not applicable (N/A) box may be checked if the aircraft model has less or more than two engines.

o

The threshold distance may also be listed (in NM), as well as the engine type.

p

Performance-based navigation (PBN): one line is used for each complex PBN specific approval (e.g. RNP AR APCH), with appropriate limitations listed in the ‘ Specifications ’ or ‘ Remarks ’ columns, or in both. Procedure-specific approvals of specific RNP AR APCH procedures may be listed in the operations specifications or in the operations manual. In the latter case, the related operations specifications must have a reference to the related page in the operations manual.

q

Specify if the specific approval is limited to certain runway ends or aerodromes, or both.

r

Insertion of the particular airframe or engine combination.

s

Approval to conduct the training course and examination to be completed by applicants for a cabin crew attestation as specified in Annex V (Part-CC) to Regulation (EU) No 1178/2011.

t

Approval to issue cabin crew attestations as specified in Annex V (Part-CC) to Regulation (EU) No 1178/2011.

u

Insertion of the list of type B EFB applications together with the reference of the EFB hardware (for portable EFBs). Either this list is contained in the operations specifications or in the operations manual. In the latter case, the related operations specifications must make a reference to the related page in the operations manual.

v

The name of the person or organisation responsible for ensuring that the continuing airworthiness of the aircraft is maintained and a reference to the regulation that requires the work, i.e. Subpart G of Annex I (Part-M) to Regulation (EU) No 1321/2014.

w

Other approvals or data may be entered here, using one line (or one multi-line block) per authorisation (e.g. short landing operations, steep approach operations, reduced required landing distance, helicopter operations to or from a public interest site, helicopter operations over a hostile environment located outside a congested area, helicopter operations without a safe forced landing capability, operations with increased bank angles, maximum distance from an adequate aerodrome for two-engined aeroplanes without an ETOPS approval).

[F158CAA Form 139 Issue 1]]

OPERATIONS SPECIFICATIONS

(subject to the approved conditions in the operations manual)

[F159CAA] Contact Details

Telephone a : …; Fax …;

Email: …

AOC b : Operator Name c : Date d : Signature:
Dba Trading Name
Operations Specifications #:

Aircraft Model e :

Registration Marks f :

Types of operations: Commercial operations
□Passengers □Cargo □Others g : …
Area of operation h :
Special Limitations i :
Specific Approvals: Yes No Specification j Remarks
Dangerous Goods □ □
Low Visibility Operations CAT l …
Take-off RVR k: m
Approach and Landing □ □ DA/H: ft RVR: m
RVSM m □N/A □ □
ETOPS n □N/A □ □ Maximum Diversion Time o : min.
Complex navigation specifications for PBN operations p □ □ q
Minimum navigation performance specification □ □
Operations of single-engined turbine aeroplane at night or in IMC (SET-IMC) □ □ r
Helicopter operations with the aid of night vision imaging systems □ □
Helicopter hoist operations □
Helicopter emergency medical service operations □ □
Helicopter offshore operations □ □
Cabin crew training s □ □
Issue of CC attestation t □ □
Use of type B EFB applications □ □ u
Continuing airworthiness □ □ v
Others w

Appendix III

List of specific approvals Non-commercial operations U.K.

Specialised operations (subject to the conditions specified in the approval and contained in the operations manual or pilot's operating handbook) U.K.
a

Insertion of name and contact details.

b

Insertion of the associated number.

c

Issue date of the specific approvals (dd-mm-yyyy) and signature of the [F160CAA] representative.

d

Insertion of the Commercial Aviation Safety Team (CAST)/ICAO designation of the aircraft make, model and series, or master series, if a series has been designated (e.g. Boeing-737-3K2 or Boeing-777-232). The CAST/ICAO taxonomy is available at: http://www.intlaviationstandards.org/

The registration marks shall be either listed in the list of specific approvals or in the operations manual. In the latter case the list of specific approvals shall refer to the related page in the operation manual.

e

Specify the type of operation, e.g., agriculture, construction, photography, surveying, observation and patrol, aerial advertisement, maintenance check flights.

f

List in this column any approved operations, e.g., dangerous goods, LVO, RVSM, PBN, MNPS, HOFO.

g

List in this column the most permissive criteria for each approval, e.g. the decision height and RVR minima for CAT II.

[F161Civil Aviation Authority] a :

List of specific approvals # b :

Name of operator:

Date c :

Signature:

Aircraft model and registration marks d :

Types of specialised operation (SPO), if applicable:

□ e …

Specific approvals f : Specification g Remarks
…
…
…
…

Textual Amendments

F160Word in Annex 2 Appendix 3 footnote substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 64(4)(b)

[F162CAA Form 140 Issue 1]

Textual Amendments

Appendix IV

a

Name and contact details of the [F163CAA]

b

Insertion of associated authorisation number.

c

Insertion of the operator's registered name and the operator's trading name, if different. Insert ‘ Dba ’ before the trading name (for ‘ Doing business as ’ ).

d

Operator's principal place of business address.

e

Operator's principal place of business telephone and fax details, including the country code. Email to be provided if available.

f

Insertion of the Commercial Aviation Safety Team (CAST)/ICAO designation of the aircraft make, model and series, or master series, if a series has been designated (e.g. Boeing-737-3K2 or Boeing-777-232). The CAST/ICAO taxonomy is available at: http://www.intlaviationstandards.org. The registration marks shall be either listed in the list of specific approvals or in the operations manual. In the latter case the list of specific approvals shall refer to the related page in the operation manual.

g

Specify the type of operation, e.g., agriculture, construction, photography, surveying, observation and patrol, aerial advertisement, maintenance check flights.

h

Listing of geographical area(s) or site(s) of authorised operation (by geographical coordinates or flight information region or national or regional boundaries).

i

Listing of applicable special limitations (e.g. VFR only, Day only, etc.).

j

Issue date of the authorisation (dd-mm-yyyy).

l

Title, name and signature of the [F164CAA] representative. In addition, an official stamp may be applied on the authorisation.

AUTHORISATION OF HIGH RISK COMMERCIAL SPECIALISED OPERATIONS

[F165Civil Aviation Authority]: a

Authorisation no: b

Operator name: c

Operator address: d

Telephone: e

Fax

Email:

Aircraft model and registration marks: f
Authorised specialised operation: g
Authorised area or site of operation: h
Special limitations: i
This is to confirm that … is authorised to perform high risk commercial specialised operation(s) in accordance with this authorisation, operator's Standard Operating Procedures, Annex V to Regulation (EU) 2018/1139 and its delegated and implementing acts.
Date of issue j :

Name and Signature l :

Title:

[F166CAA Form 151 Issue 1]]

Textual Amendments

F8Appendix V

F8[. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F8Appendix VI

F8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

(1)

[F6Commission Regulation (EU) 2018/395 of 13 March 2018 laying down detailed rules for the operation of balloons pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council ( OJ L 71, 14.3.2018, p. 10 ).]

(2)

[F3Regulation (EU) No 376/2014 of the European Parliament and of the Council of 3 April 2014 on the reporting, analysis and follow-up of occurrences in civil aviation, amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive 2003/42/EC of the European Parliament and of the Council and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007 ( OJ L 122, 24.4.2014, p. 18 ).]

(4)

[F3Regulation (EC) No 2111/2005 of the European Parliament and of the Council of 14 December 2005 on the establishment of a Community list of air carriers subject to an operating ban within the Community and on informing air transport passengers of the identity of the operating air carrier, and repealing Article 9 of Directive 2004/36/EC ( OJ L 344, 27.12.2005, p. 15 )]

(5)

[F64Commission Regulation (EU) No 452/2014 of 29 April 2014 laying down technical requirements and administrative procedures related to air operations of third country operators pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council ( OJ L 133, 6.5.2014, p. 12 ).]

(6)

[F3Commission Regulation (EU) No 1321/2014 of 26 November 2014 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks ( OJ L 362, 17.12.2014, p. 1 ).]

Textual Amendments