AC-001 Issue 1, Revision 0 September 2019 PAGE 1 of 44
__________________________________________________________________________________
CAAB Document AC-001
CERTIFICATION OF AN APPROVED
MAINTENANCE ORGANISATION
CIVIL AVIATION AUTHORITY OF BOTSWANA
AIRWORTHINESS
CIRCULAR
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TABLE OF CONTENTS
Page number
1. Purpose 5
2. Status of This Airworthiness 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
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1. PURPOSE
1.1 This Airworthiness 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 Circular (AC)-018.
2. STATUS OF THIS AIRWORTHINESS CIRCULAR This document is Issue 1, Revision 0 of Airworthiness Circular (AC)-001. It becomes effective immediately, and supersedes and replaces Airworthiness Advisory Circular (AAC)-001 Revision 1 issued on 17 December 2013.
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 Airworthiness 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
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
Copies may be obtained from the Government
Printer.
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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.
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(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
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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 Airworthiness 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.
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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
10.1 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. The Authority will check the following items, among others:
(a) Adequacy of lighting; (b) Control of the environment; (c) Availability of facilities to ensure that maintenance of aircraft instruments is
performed in a dust-free environment; (d) Proper storage facilities for parts, tools and material; (e) Secure storage conditions; (f) Storage which prevents deterioration and damage to stored items; (g) Adequately ventilated and environmentally controlled storage facilities.
10.2 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
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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 Airworthiness Circular
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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
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Appendix 1, Page 2 of 4
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:
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Appendix 1, Page 3 of 4
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.
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Appendix 1, Page 4 of 4
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
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Appendix 2 – Certification Process Flow Chart. Page 1 of 5
Sta
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AC-001 Issue 1, Revision 0 September 2019 PAGE 16 of 44
Yes
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AC-001 Issue 1, Revision 0 September 2019 PAGE 17 of 44
N
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No
Yes
Appendix 2 – Certification Process Flow Chart. Page 3 of 5
Retu
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AC-001 Issue 1, Revision 0 September 2019 PAGE 18 of 44
N
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Appendix 2 – Certification Process Flow Chart. Page 4 of 5
Info
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AC-001 Issue 1, Revision 0 September 2019 PAGE 19 of 44
Appendix 2 – Certification Process Flow Chart. Page 5 of 5
Pre
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AC-001 Issue 1, Revision 0 September 2019 PAGE 20 of 44
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 Airworthiness 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:
AC-001 Issue 1, Revision 0 September 2019 PAGE 21 of 44
Appendix 3 Page 2
Approved Maintenance Organisation Certification Job Aid and Schedule of Events Civil Aviation (Approved Maintenance Organisations) Regulations
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:
AC-001 Issue 1, Revision 0 September 2019 PAGE 22 of 44
Appendix 3 Page 3
Approved Maintenance Organisation Certification Job Aid and Schedule of Events Civil Aviation (Approved Maintenance Organisations) Regulations
CAAB Ref.
III. DOCUMENT EVALUATION PHASE Inspector
initial Date Received/ Accomplished
Date Returned for changes
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:
AC-001 Issue 1, Revision 0 September 2019 PAGE 23 of 44
Appendix 3 Page 4
Approved Maintenance Organisation Certification Job Aid and Schedule of Events Civil Aviation (Approved Maintenance Organisations) Regulations
CAAB Ref.
III. DOCUMENT EVALUATION PHASE (Continued)
Inspector initial
Date Received/ Accomplished
Date Returned for changes
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:
AC-001 Issue 1, Revision 0 September 2019 PAGE 24 of 44
Appendix 3 Page 5
Approved Maintenance Organisation Certification Job Aid and Schedule of Events Civil Aviation (Approved Maintenance Organisations) Regulations
CAAB Ref.
IV. DEMONSTRATION AND INSPECTION PHASE
Inspector initial
Date Received/ Accomplished
Date Returned for changes
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:
AC-001 Issue 1, Revision 0 September 2019 PAGE 25 of 44
Appendix 3 Page 6
Approved Maintenance Organisation Certification Job Aid and Schedule of Events Civil Aviation (Approved Maintenance Organisations) Regulations
CAAB REF.
IV. DEMONSTRATION AND INSPECTION PHASE (Continued)
Inspector initial
Date Received/ Accomplished
Date Returned for changes
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:
AC-001 Issue 1, Revision 0 September 2019 PAGE 26 of 44
Appendix 3 Page 7
Approved Maintenance Organisation Certification Job Aid and Schedule of Events Civil Aviation (Approved Maintenance Organisations) Regulations
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:
AC-001 Issue 1, Revision 0 September 2019 PAGE 27 of 44
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:
AC-001 Issue 1, Revision 0 September 2019 PAGE 28 of 44
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
AC-001 Issue 1, Revision 0 September 2019 PAGE 29 of 44
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. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 30 of 44
Appendix 5 Page 2 Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 2 of _
APPROVED MAINTENANCE ORGANISATION
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 31 of 44
Appendix 5 Page 3
Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 3 of _
APPROVED MAINTENANCE ORGANISATION
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 32 of 44
Appendix 5 Page 4
Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 4 of _
APPROVED MAINTENANCE ORGANISATION
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 33 of 44
Appendix 5 Page 5
Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 5 of _
APPROVED MAINTENANCE ORGANISATION
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 34 of 44
Appendix 5 Page 6
Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 6 of _
APPROVED MAINTENANCE ORGANISATION
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 35 of 44
Appendix 5 Page 7
Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 7 of _
APPROVED MAINTENANCE ORGANISATION
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 36 of 44
Appendix 5 Page 8
Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 8 of _
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 37 of 44
Appendix 5 Page 9
Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 9 of _
APPROVED MAINTENANCE ORGANISATION
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 38 of 44
Appendix 5 Page 10
Sample Operations Specifications (OpSpecs)
SAMPLE OPERATIONS SPECIFICATIONS
Government of Botswana Page 10 of _
APPROVED MAINTENANCE ORGANISATION
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 ___________________
Approved Maintenance Organisation Certificate No. __________
AC-001 Issue 1, Revision 0 September 2019 PAGE 39 of 44
Appendix 5 Page 11 Sample Operations Specifications (OpSpecs)
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
AC-001 Issue 1, Revision 0 September 2019 PAGE 40 of 44
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
AC-001 Issue 1, Revision 0 September 2019 PAGE 41 of 44
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
AC-001 Issue 1, Revision 0 September 2019 PAGE 42 of 44
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.
AC-001 Issue 1, Revision 0 September 2019 PAGE 43 of 44
Intentionally left blank
AC-001 Issue 1, Revision 0 September 2019 PAGE 44 of 44