Air Operator's Certificate Process Manual

Date November 2016

Approval Tier Three
Approver Director of Aviation Safety
Sponsor Group Manager, Aviation Group
Review Date November 2017
CASA Ref D16/444092
 Air Operator's Certificate Process Manual

© Civil Aviation Safety Authority

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<www.casa.gov.au/scripts/nc.dll?WCMS:STANDARD::pc=PC_91264 > for current version.
This is an internal CASA policy manual. It contains guidance material intended to assist CASA
officers and delegates in carrying out their regulatory responsibilities and is available to the
public for information purposes only.
You should not rely on this manual as a legal reference. Refer to the civil aviation legislation—
including the Civil Aviation Act 1988 (Cth), its related regulations and any other legislative
instruments—to ascertain the requirements of, and the obligations imposed by or under, the
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Preface
As a Commonwealth government authority, CASA must ensure that the decisions we make,
and the processes by which we make them, are effective, efficient, fair, timely, transparent,
properly documented and otherwise comply with the requirements of the law. At the same
time, we are committed to ensuring that all of our actions are consistent with the principles
reflected in our Regulatory Philosophy.
Most of the regulatory decisions CASA makes are such that conformity with authoritative
policy and established procedures will lead to the achievement of these outcomes.
Frequently, however, CASA decision-makers will encounter situations in which the strict
application of policy may not be appropriate. In such cases, striking a proper balance
between the need for consistency and a corresponding need for flexibility, the responsible
exercise of discretion is required.
In conjunction with a clear understanding of the considerations mentioned above, and a
thorough knowledge of the relevant provisions of the civil aviation legislation, adherence to the
procedures described in this manual will help to guide and inform the decisions you make,
with a view to better ensuring the achievement of optimal outcomes in the interest of safety
and fairness alike.

Shane Carmody
Chief Executive Officer and
Director of Aviation Safety

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Table of contents

Preface 3
Glossary 5
Revision history 7
Introduction 8
1. Air Operator's Certification Process 11
1.1 Enquiry 12
1.2 Application 16
1.3 Assessment 21
1.4 Certification 75
2. Cancelling an Air Operator’s Certificate 78
2.1 Cancellations at the AOC holders request 79
2.2 Cancellations as a result of CASA action 82
3. Other AOC-related CASA Approvals and Exemptions 83
3.1 Perform Enquiry 84
3.2 Facilitate Enquiry 84
3.3 Complete and submit application 84
3.4 Review application 85
3.5 Provide advice to Applicant 85
3.6 Respond to CASA 85
3.7 Create an estimate 85
3.8 Payment 85
3.9 Perform Technical Assessment 86
3.10 Provide advice to Applicant 86
3.11 Respond to CASA 87
3.12 Perform verification and testing 87
3.13 Provide advice to Applicant 87
3.14 Respond to CASA 87
3.15 Issue subordinate permission 88
3.16 Receive Instrument of Approval, Exemption or Refusal 89

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Glossary

Acronyms and abbreviations

Acronym / abbreviation Description

ANAA Air Navigation, Airspace and Aerodromes

AOC Air Operator's Certificate
CAAP Civil Aviation Advisory Publication
CAO Civil Aviation Order
CASA Civil Aviation Safety Authority
CAR Civil Aviation Regulations 1988
CASR Civil Aviation Safety Regulations 1998
CSC Client Services Centre
SPL Special Purpose Lane

Definitions
Term Definition

Air Operator’s Certificate Also referred to in this manual as AOC. Under Section 27 of the Civil
Aviation Act 1988, an AOC is a permission issued by CASA allowing a
person, or a body with legal personality, to conduct the commercial
activities as prescribed in regulation 206 of the Civil Aviation
Regulations 1988 (CAR), including regular public transport, charter
and aerial work.

Consequently, operating these commercial activities without an AOC

is illegal and is punishable by law.
AOC Operator A legal entity (a natural person or a body with legal personality) who
holds an Air Operator’s Certificate.
Applicant A legal entity (a person or organisation) applying for an Air Operator’s
Certificate - also referred to as the proposed certificate holder in this
manual. Refer to the Handbook to see who may apply for an Air
Operator’s Certificate.
Application This refers to the application for an Air Operator’s Certificate and all
supporting documentation sent to CASA.

Civil Aviation Act 1988 Also referred to as ‘The Act’ in this manual.

Civil Aviation Advisory Also referred to in this Manual as CAAP. CAAPs are advisory in
Publications nature and provide guidance and information in a designated subject
area, or show a method acceptable to an authorised person or CASA
for complying with a related Civil Aviation Regulation. CAAPs should

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Term Definition

always be read in conjunction with the referenced regulations.

CASA Delegate A CASA officer who has the authority to make all decisions to issue,
vary, refuse, suspend or cancel an Air Operator’s Certificate under
Section 28 of the Civil Aviation Act 1988.
CASA Inspector A CASA officer who conducts the assessment to ensure that the
Applicant has satisfactorily met the requirements set by legislation for
the issue of an Air Operator’s Certificate.
CASA Operations Within the process maps, refers to CASA Regional Office staff and
members of the project team who undertake assessment and related
activities.
CASA Project Manager The CASA Project Manager is responsible for managing the overall
assessment process and, in particular, the coordination of the project
team members in the Assessment Phase. The CASA Project Manager
is also responsible for monitoring and reviewing the progress of the
assessment including the assessment cost.
CASA Project Team This is a group of CASA staff responsible for assessing an application
for an AOC. The size of the CASA Project Team is determined by the
scope and complexity of the AOC application. In some cases, the
team could be comprised of only one CASA Inspector.
CASA Regional Office The CASA Regional Manager has overall responsibility for effective
management of a CASA Regional Office, ensuring that the office
achieves required performance through standardisation of operations,
consistent application of processes and efficient use of resources.
CASA Team Leader A CASA Officer who is responsible for task allocations, resource
management and consistent application of processes within their
team. The Team Leader liaises with CASA Project Managers and the
CASA Regional Manager to ensure adequate resources are available
for assessments.
Estimate of Costs Also referred to as ‘Estimate’ in this manual.
Initial issue The first issue of an AOC to a particular applicant.
Client Services Centre CASA’s single point of contact for regulatory services under the
direction of Industry Permissions. CSC processes applications,
provides information to Applicants and receives payments. It registers
tracks and monitors compliance with service delivery standards.
Renewal of an AOC or The issue of an AOC:
subsequent issue of an AOC • to the holder of an expiring AOC
• which contains no changes to the authorisations of the expiring
AOC.
Variations The approval of changes to an AOC applied for either:
• with a request for subsequent issue of an expiring AOC
• in a request unrelated to AOC expiry.

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Revision history
Amendments/revisions of this Manual are recorded below in order of most recent first.

Version No. Date Parts/Sections Details

1.1 November 2016 All Formatted into new template.

1.0 October 2012 All First Issue

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Introduction

Purpose
The purpose of this manual is to provide CASA staff and industry with a national standard
procedure for processing an issue, variation, renewal or cancellation of an Air Operator’s
Certificate (AOC) including its subordinate permissions.
By adhering to the work steps outlined in this manual, a standard approach consistent with
regulatory requirements will be created and maintained when issuing, varying, renewing or
cancelling an AOC.

Scope of the manual

This manual sets out the process to issue, vary, renew or cancel an Air Operator’s Certificate
(AOC) for the following commercial activities, prescribed in regulation 206 of the Civil Aviation
Regulations 1988:
• Regular Public Transport (RPT)
• Charter operations (CHTR)
• Aerial work activities.
It covers the process from Enquiry Phase to Certificate Issue.

Where to start

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How to use this manual

This manual describes the high level processes relating to the Air Operator’s Certificate. To
understand the rationale behind the processes described in this manual, the reader must refer
to the AOC Handbook and the relevant AOC Application Forms.

Figure 1: Air Operator's Certificate Manual Suite

Manual structure
The sections in the Manual outlining the AOC processes contain the following:

Overview Describes what information the section covers.

Purpose Explains why the process is necessary.

Context Describes the context of the process [and outcomes] with regard to regulations.

References Lists any CASA information either related or being referred to by the section.

Process map Visually describes the flow of activities of a process, may also refer to sub or
other processes.
Process steps Identifies the workflow steps contained in the activities shown in the process
maps.

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Manual legend
The following manual legend provides a brief description of the types of process shapes used
in the process maps.

Figure 2: Process Map Legend

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1. Air Operator's Certification Process

Overview of the AOC process

The AOC certification process contains four phases:
1. Enquiry
2. Application
3. Assessment
4. Certification.
This manual describes each phase using process maps. Where applicable complex process
steps are broken down further (green boxes).

Figure 3: AOC Process Hierarchy

The AOC process covers the following scenarios:

• Initial issue of an Air Operator’s Certificate (also referred to in this Manual as ‘initial
issue’)
• Subsequent issue with no changes (also referred to in this Manual as ‘renewal’)
• Changing an AOC (also referred to in this Manual as a ‘variation’).

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1.1 Enquiry

Purpose
The Enquiry Phase provides applicants with information on the steps necessary to apply for
an Air Operator’s Certificate.
It also:
• enables applicants to view all the information they require for their application for an
Air Operator’s Certificate
• directs where an Applicant can find the relevant AOC application form, which is
needed to apply for an Air Operator’s Certificate.

Content
Section 27 of the Civil Aviation Act 1988 (the Act) states, among other things, that an AOC is
required for commercial operations (prescribed by CAR 206) for aircraft flying into, or out of,
Australian territory; or aircraft flying in Australian territory; or Australian aircraft flying outside
Australian territory.
The Enquiry Phase is an opportunity to educate and guide applicants in submitting a quality
application and supporting documentation, thus reducing the quality assurance effort
necessary in the Application Phase.

References
The following guidance material is applicable to this section:
Handbook
• Volume 1 – AOC General Matters.

AOC Application Form

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Process map

Figure 4: Level 1.1—Enquiry Process Map

Process steps
1.1.1 Perform Enquiry
The Applicant will:
1. Make initial contact with CSC in regards to applying for an AOC.
2. Go to 1.1.2 Facilitate Enquiry.

1.1.2 Facilitate Enquiry

CSC will:
1. Offer non-technical advice as required.
2. Direct the Applicant to relevant forms and guidance material.

Is Statement of Intent required?

CSC will determine whether the Applicant is required to submit a Statement of Intent based on
the size and complexity of the proposed operation.
1. If no go to 1.1.5 Allocate pre-application meeting.
2. If yes go to 1.1.3 Send Statement of Intent.
Note: Form 1049 – Application for an AOC initial issue and Form 1214 – Application for an AOC
Variation may be used as a Statement of Intent. The Applicant will need to complete the form as
best as they can with the details of the proposed operations. A Statement of Intent submitted
using these forms will only be treated as a formal application when fully completed, signed and
submitted with the required supporting documentation.

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1.1.3 Send Statement of Intent

The Applicant will:
1. Complete and send Statement of Intent to CASA (CSC).
2. Go to 1.1.4 Offer pre-application meeting.

1.1.4 Offer pre-application meeting

CSC will:
1. Determine whether a pre-application meeting is required based on the information
that has been received from the Applicant.
2. Recommend a pre-application meeting if the Applicant is unsure or the application
appears complex.
Note: A pre-application meeting is required for an initial issue of any AOC or for the addition of
complex operations.

CASA or the Applicant may request a pre-application meeting for other application types.

No pre-application meeting is necessary for an application to renew an expiring AOC or certain

applications to vary an AOC. Please refer to the AOC Handbook Volume 1 – AOC General
Matters for guidance.

Is a Pre-Application meeting required?

CASA advises the Applicant if a pre-application meeting is required.
1. If no proceed to 1.2 Application.
2. If yes go to 1.1.5 Allocate pre-application meeting.

1.1.5 Allocate pre-application meeting

CSC will:
1. Contact the relevant CASA Regional Office to arrange a pre-application meeting.
The CASA Regional Office will:
1. Review the details of any information submitted by the Applicant.
2. Identify the scope of the pre-application meeting, e.g. who (areas of discipline) needs
to attend the meeting, availability of CASA staff etc.
The CASA Team Leader will:
1. Form a project Team. The Project Team could be comprised of one CASA Inspector.
2. Schedule the pre-application meeting.
3. Advise the Applicant of the schedule and venue in conjunction with the CASA
Regional Office.
4. Go to 1.1.6 Start pre-application meeting.

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1.1.6 Start pre-application meeting

The CASA Project Team will:
1. Prepare any guidance material to be provided to the Applicant.
2. Advise the Applicant on any information they need to provide for the pre-application
meeting.
3. Go to 1.1.7 Attend pre-application meeting.

1.1.7 Attend pre-application meeting

The Applicant must:
1. Prepare any information required by CASA for the pre-application meeting.
2. Prepare questions on any areas of the certification process where clarification is
required.
3. Attend the meeting.
4. Go to 1.1.8 Facilitate pre-application meeting.

1.1.8 Facilitate pre-application meeting

The CASA Project Team will:
1. Conduct the meeting.
2. Ensure the Applicant understands the requirements of the certification process and
has an appreciation of the costs and resources that could be involved.
3. Take minutes of the pre-application meeting.
4. Go to 1.1.9 End pre-application meeting.

1.1.9 End pre-application meeting

The CASA Project Manager will:
1. Prepare and finalise minutes of the pre-application meeting.
2. Distribute the minutes to all attendees.
3. Keep a record of the minutes on file.
4. Advise CSC of completion and overall result of the meeting including information
required to calculate an estimate.
5. Proceed to 1.2 Application.

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1.2 Application

Purpose
The purpose of the Application Phase is to:
• assess a submitted application for completeness and administrative correctness,
including checking supporting documentation such as operations manual and key
personnel list have been included in the application
• create an estimate based on the application requirements
• allocate the application to the appropriate CASA Regional Office for assessment.

Context
To be granted an AOC, a person or organisation must submit an application for an AOC in a
form approved by CASA (Section 27AA of the Act) and if required, submit documentation
including manuals and other information, in writing, required by CASA to consider the
application.
CASA may refuse to consider an application, or to consider it further, until the Applicant
complies with all the requirements (Section 27AF of the Act).
The Civil Aviation (Fees) Regulations 1995 has prescribed a fee payable at an hourly rate to
be paid for the processing and issue of an AOC. The process to estimate the cost is described
in this Application Phase. CASA is under no obligation to assess the application until the
prescribed fee is paid by the Applicant (Section 97 of the Act).

References
The following guidance material is applicable to this section:
AOC Handbook
AOC Application Form

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Process map

Figure 5: Level 1.2—Application Process Map

Process steps
1.2.1 Complete and Submit AOC Application
The Applicant must:
1. Complete the relevant AOC Application Form.
2. Provide all required supporting documentation.
3. Send the signed AOC Application Form, together with all required supporting
documentation, to CSC.
4. Go to 1.2.2 Perform non-technical assessment.

1.2.2 Perform non-technical assessment

CSC will:
1. Receive the application and supporting documentation and acknowledge receipt via
email.
2. Review the application for completeness.

Is the Application complete?

CSC will ensure the application form is complete and correct.
1. If no go to 1.2.3 Provide advice to Applicant.
2. If yes go to 1.2.5 Determine assessing office.

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1.2.3 Provide advice to Applicant

CSC will:
1. Provide written advice to the Applicant regarding the deficiencies and request the
Applicant addresses the deficiencies before an estimate of costs is made.
2. Go to 1.2.4 Receive Advice.

1.2.4 Receive Advice

The Applicant will:
1. Provide required information to CASA if they wish to continue with their application.
2. Go to 1.2.1 Complete and Submit AOC Application.

1.2.5 Determine assessing office

CSC will:
1. Determine if the application could be processed within CSC or within the Regional
office. The criteria used in determining if the application could be processed within
CSC are set out in 1.2.8 Generate draft AOC.
2. Go to 1.2.6 Submit Fee Estimate.

1.2.6 Submit Fee Estimate

CSC will:
1. Create an estimate, requesting input from CASA Regional Office where necessary.
2. Send an estimate letter to the Applicant. The estimate letter includes the estimate
amount and, if applicable a list of further documentation required.
Note: Though under no obligation to do so, CSC sends a reminder letter at a pre-determined period to
all AOC holders with expiring AOCs. The reminder letter includes an application form pre-
completed with the AOC holder’s details and advice on the costs to renew the AOC. If a
reminder letter has been sent, this work step is not required for AOC renewals with no change.

Pay fee estimate?

For the process to continue, the Applicant must pay the estimate AND provide any further
documentation required by CASA.
1. If no go to 1.2.7 Quit AOC Application.
2. If yes go to 1.2.8 Generate draft AOC.

1.2.7 Quit AOC Application

CSC will:
1. Send a reminder to the Applicant offering a 30 day extension on the estimate and/or
submission of documents, when payment and/or documents are not received after 30
days.

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2. Cancel the estimate and application if the Applicant has not made any payment
and/or submitted requested documents after the 30 day extension.
3. End AOC Process.
The Applicant may:
1. Withdraw the application.
Note: The Applicant must withdraw the application in writing.

1.2.8 Generate draft AOC

CSC will:
1. Receipt the payment.
2. Review additional information supplied by the Applicant.
3. Draft the AOC.
4. For applications that can be processed by CSC, send an email to the CASA Regional
Office requesting confirmation that application will be processed by CSC.
The CASA Regional Office will:
1. Review the AOC application, the draft AOC, compliance report and all other
supporting documents.
2. Advise CSC if the application can be processed by CSC or if the application needs to
be processed by the CASA Regional Office.
Note: Unless otherwise indicated by the CASA Regional Office, these simple changes to an AOC may
be processed by CSC:
- adding aircraft of a similar type (NOT RPT)
- changing, adding or deleting a trading name
- removing an authorisation
- removing a location
- cancellations of certificates at the holder’s request
- renewal of AOCs.

For applications to be processed by CSC, the CASA Regional Office must provide advice on
any issues that may prevent the delegate from issuing the certificate.

Does the application require CASA Regional Office assessment?

CSC will determine the relevant CASA Regional Office to assess the application.
1. If no go to 1.2.9 SPL Assessment.
2. If yes go to 1.2.10 Allocate technical assessment.

1.2.9 SPL Assessment

CSC will:
1. Assess the change to the AOC including:
a. adding aircraft of a similar type (not RPT)
b. changing, adding or deleting a trading name

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c. removing an authorisation
d. renewal of AOCs.
2. Go to 1.4 Certification.

1.2.10 Allocate technical assessment

CSC will:
1. Review advice provided by CASA Regional Office as per 1.2.8 Generate draft AOC -
CASA Regional Office step 2.
2. Attach the application and supporting documentation in CASA’s record management
system.
3. Allocate the job to the CASA Regional Office.
4. Go to 1.2.11 Review workload and required skills to perform technical assessment.

1.2.11 Review workload and required skills to perform technical assessment

The CASA Regional Office will:
1. Accept the job and allocate a Project Manager.
2. Determine if the CASA Regional Office has the resources to assess the application.
3. Proceed to 1.3 Assessment.

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1.3 Assessment

Purpose
The purpose of the Assessment Phase is to:
• establish whether the operations proposed in the AOC application meet the safety
and regulatory requirements for the issue of an Air Operator’s Certificate
• verify all the evidence provided by the Applicant to support their application.

Context
CASA can only issue an AOC if it is satisfied the Applicant has complied with, or is capable of
complying with, the provisions of the Civil Aviation Act 1988 (the Act), Civil Aviation
Regulations 1988 (CAR), Civil Aviation Safety Regulations 1998 (CASR) and the Civil Aviation
Orders (CAOs) that relate to safety (Section 28 of the Act). This includes, but is not limited to:
• the suitability of the organisation to safely conduct the activities authorised by the
AOC
• the qualifications and competence of its personnel
• sufficient facilities
• suitability of procedures and practices to control the organisation to enable the AOC
operations to be conducted safely.

References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 1 – AOC General Matters
• Volume 2 – Flying Operations
• Volume 3 – Airworthiness
• Volume 4 – Special areas

AOC Application Form

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Process map

Figure 6: Level 1.3—Assessment Process Map

Process steps
1.3.1 Establish assessment project team
The CASA Regional Manager must ensure:
1. A Project Manager is appointed.
2. The CASA Project Manager must:
a. assemble staff required to assess the application.
Note: The CASA Project Team may have already been established at the Enquiry Phase to conduct
the pre-application meeting.

The Applicant must:

1. Prepare a project plan and submit to CASA.
The CASA Project Team will:
1. Create a project plan.
2. Advise CSC of the assessment schedule.
CSC will:
1. Contact the Applicant to advise of the schedule dates.
Note: The Applicant will be required to participate during the assessment.

AOC Handbook
• Volume 1, Chapter 5 - AOC Project Management

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Is a formal application meeting required?

The CASA Project Manager will determine whether a formal application meeting is required
based on the scope of the proposed operation. They will liaise with the Applicant to determine
if they wish to have a formal application meeting.
1. If no go to 1.3.6 Perform Technical Documentation Assessment.
2. If yes go to 1.3.2 Start formal application meeting.

1.3.2 Start formal application meeting

The CASA Project Manager must:
1. Arrange a suitable time and location for the formal application meeting with the
Applicant.
2. Provide the Applicant with a draft agenda for the formal application meeting.
3. Provide the Applicant with a list of documentation required for the formal application
meeting.
4. Go to 1.3.3 Attend formal application meeting.

1.3.3 Attend formal application meeting

The Applicant must:
1. Attend the formal application meeting.
2. Confirm the Applicant’s Project Plan.
3. Ensure all necessary documentation as stipulated by CASA is brought to the meeting.
4. Discuss scope and complexity of the proposed operation.
5. Go to 1.3.4 Facilitate formal application meeting.

1.3.4 Facilitate formal application meeting

The CASA Project Team will:
1. Facilitate the formal application meeting, in accordance with the set agenda and
required documentation.
2. Review the Project Plan and discuss with the Applicant.
3. Go to 1.3.5 End formal application meeting.

1.3.5 End formal application meeting

The CASA Project Team will:
1. Close the formal application meeting.
2. Advise the Applicant of the final Project Plan and any action items.
3. Confirm the assessment schedule with CSC.
4. Proceed to 1.3.6 Perform Technical Documentation Assessment.

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1.3.6 Perform Technical Documentation Assessment*

Proceed to the detailed sub process on the following link:
1.3.6 Perform technical documentation assessment.

1.3.7 Review Estimate

The CASA Project Manager will:
1. Review the original estimate hours against the actual hours taken to perform the
Technical Desktop Assessment.
Note: The Applicant will be required to participate during the assessment.

Is the revised estimate greater than the original estimate?

The CASA Project Manager will determine whether a formal application meeting is required
based on the scope of the proposed operation. They will liaise with the Applicant to determine
if they wish to have a formal application meeting.
1. If no proceed to 1.3.9 Perform verification and testing.
2. If yes go to 1.3.8 Send updated Estimate.

1.3.8 Send updated Estimate

CSC will:
1. Send an updated estimate to the Applicant.

Is new estimate paid?

The Applicant must decide whether they would like to continue with the process by accepting
and paying the revised estimate.
1. If no AOC Process Ends.
2. If yes proceed to 1.3.9 Perform verification and testing.

1.3.9 Perform verification and testing*

Proceed to the detailed sub process on the following link:
1.3.9 Perform verification and testing

1.3.10 Perform Proving Flight, if required*

Proceed to the detailed sub process on the following link:
1.3.10 Conduct Proving Flights

1. Once verification and testing is complete, go to 1.3.11 Finalise documentation and

generate recommendation.
2. Once Proving Flight is complete, go to 1.3.11 Finalise documentation and generate
recommendation.

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1.3.11 Finalise documentation and generate recommendation

The CASA Project Manager will:
1. Ensure all necessary checklists are completed and signed by the respective CASA
Project Team Member.
2. Finalise time recording and calculate total chargeable hours spent in processing the
AOC application.
3. Draft Standard Form Recommendation (SFR).
4. Review draft AOC against what has been applied for and assessed as being capable
of complying with the AOC requirements.
5. Advise the Applicant of the final assessment outcomes and recommendation.
6. Submit all documents to the CASA Team Leader for review.
7. Complete all record management requirements.
The CASA Team Leader will:
1. Review the assessment documentation and SFR.
2. Submit to CASA Regional Manager for sign-off.
3. Go to 1.3.12 Submit recommendation.

1.3.12 Submit recommendation

The CASA Regional Manager will:
1. Review, sign and submit the SFR and other supporting documents, including the
estimate builder to CSC for processing.
2. Go to 1.4 Certification.

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1.3.6 Perform technical documentation assessment

Purpose
This phase establishes whether the documentation provided by the Applicant is complete and
suitable for the proposed operations, and meets the safety and legislative requirements
applicable to the operations proposed in the AOC application.

Context
CASA can only issue an AOC if it is satisfied with the suitability of the application and
information provided in the operations manual and all other supporting documentation.
All documentation is assessed for suitability and mandatory content before an AOC can be
issued. Relevant documents and manuals must be evaluated before Verification and Testing
can begin.
Under subsection 27AC(1)(c) of the Act, CASA may request information or documents that it
reasonably requires to properly consider the application. Section 28(1)(b)(vi) of the Act states
that the delegate must be satisfied that 'the organisation has suitable procedures and
practices to ensure that operations can be conducted safely'.

References
The following guidance material is applicable to this section:
AOC Handbook
• Volume 2 – Flying Operations
• Volume 3 – Airworthiness
• Volume 4 – Special areas

AOC Application Form

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Process map

Figure 7: Level 1.3.6—Technical Documentation Assessment Process Map

Process steps

1.3.6.1 Start Technical Documentation Assessment

CASA Project Team Member must:
1. Gather all documents required for the technical documentation assessment and
conduct the following technical documentation assessments:
Note: These assessments can be done in any order as long as ALL the processes are completed.

Flying Operations Proceed to:

1.3.6.2 Perform flying operations technical documentation assessment

Cabin Safety Proceed to:

1.3.6.3 Perform cabin safety technical documentation assessment

Airworthiness Proceed to:

1.3.6.4 Perform airworthiness technical documentation assessment

Dangerous Goods Proceed to:

1.3.6.5 Perform dangerous goods technical documentation assessment

Perform Safety Proceed to:

Management System 1.3.6.6 Perform safety management system technical documentation
assessment

Aerodromes Proceed to:

1.3.6.7 Perform aerodromes technical documentation assessment

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Alcohol and Other Drugs Proceed to

1.3.6.8 Perform alcohol and other drugs technical documentation
assessment

Ground Operations Proceed to:

1.3.6.9 Perform ground operations technical documentation assessment

Is the documentation satisfactory?

The CASA Project Team Member must ensure the quality and completeness of all
documentation is satisfactory.
1. If no go to 1.3.6.10 Provide advice to Applicant.
2. If yes go to 1.3 Assessment (step 1.3.7).

1.3.6.10 Provide advice to Applicant

The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Advise the Applicant, in writing, that the job may be suspended until the deficiencies
are addressed.
3. Go to 1.3.6.11 Respond to CASA.

1.3.6.11 Respond to CASA

The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.1 Start Technical Documentation Assessment.

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1.3.6.2 Perform flying operations technical documentation assessment

Purpose
The purpose of this phase is to assess if:
• the operations manual addresses all items necessary to ensure operations can be
conducted safely
• all matters required to be addressed have been included, and the procedures and
practices described in the manual comply with the various legislative requirements
• anything written within the operations manual conflicts with material in the Flight
Manual
• Key Personnel have the appropriate qualifications, history and capability.
Context
Section 28(1)(b)(vi) of the Act specifies that the delegate must be satisfied the organisation
has suitable procedures and practices to ensure the proposed operations can be conducted or
carried out safely.
Section 28 of the Act requires that an AOC be issued only if CASA is satisfied that the key
personnel in the organisation have appropriate experience in air operations. The four ‘key
personnel’ are described in the Act. They are the Chief Executive Officer, Head of Flying
Operations, Head of Training and Checking Organisation and Head of Aircraft Maintenance.
References
The following guidance material is applicable to this section:
AOC Handbook
• Volume 1 – Flying Operations

Flying Operations Assessment Forms

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Process map

Figure 8: Level 1.3.6.2—Flying Operations Technical Documentation Assessment Process Map

Process steps
1.3.6.2.1 Start technical documentation assessment
The CASA Project Team Member must:
1. Gather all documents required for the technical documentation assessment.
2. Go to 1.3.6.2.2 Assess Documentation.
1.3.6.2.2 Assess Documentation
The CASA Project Team Member must:
1. Assess Compliance Statement.
2. Assess Operations Manual.
3. Assess Flight Manual.
4. Assess other information required to support the application.

AOC Handbook
• Volume 2 – Flying Operations

Is the documentation satisfactory?

The CASA Project Team Member will:
1. Appraise the Flying Operations manuals, together with supporting documentation as
a complete package.

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2. Determine if flying operations technical documentation is satisfactory based on

completed checklists.
a. If no go to 1.3.6.2.3 Provide advice to Applicant.
b. If yes go to 1.3.6.2.5 Assess Key Personnel.
1.3.6.2.3 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.2.4 Respond to CASA.
1.3.6.2.4 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.2.2 Assess Documentation.
1.3.6.2.5 Assess Key Personnel
The CASA Project Team Member will:
1. Review and assess the organisational structure, the positions and responsibilities of
personnel within the organisation against the proposed scope of operations.
2. Assess qualifications, history and capability of the Chief Executive Officer.
3. Assess qualifications, history and capability of the Head of Flying Operations.
4. Assess qualifications, history and capability of the Chief Pilot.
5. Assess qualifications, history and capability of the Head of Training and Checking.
6. Assess qualifications, history and capability of any other required personnel.

AOC Handbook
• Volume 2 – Flying Operations

Are the assessment criteria met?

The CASA Project Team Member will determine if the Chief Executive Officer, Head of Flying
Operations, Chief Pilot, Head of Training and Checking and any other personnel satisfy the
documentation assessment criteria.
1. If no go to 1.3.6.2.6 Provide advice to Applicant.
2. If yes return to 1.3.6 Perform Technical Documentation Assessment (step 1.3.6.3).
1.3.6.2.6 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.2.7 Respond to CASA.

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1.3.6.2.7 Respond to CASA

The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.2.5 Assess Key Personnel.

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1.3.6.3 Perform cabin safety technical documentation assessment

Purpose
The purpose of this phase is to assess if:
• the cabin safety documentation submitted to support the application addresses all
items necessary to ensure operations can be conducted safely
• Cabin Safety personnel have the appropriate qualifications, history and capability.
Context
Civil Aviation Regulation 215 requires the Operations Manual to contain all instructions and
necessary information for cabin crew to perform their duties. An operator should ensure that
all personnel assigned to, or directly involved in, ground and flight operations:
• are properly instructed
• have demonstrated their abilities in their particular duties
• are aware of their responsibilities and the relationship of such duties to the
operation as a whole.
References
The following guidance material is applicable to this section:
AOC Handbook
• Volume 4 – Special Areas

Cabin Safety Forms

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Process map

Figure 9: Level 1.3.6.3—Cabin Safety Technical Documentation Assessment Process Map

Process steps
1.3.6.3.1 Start technical documentation assessment
The CASA Project Team Member must:
1. Gather all documents required for the technical assessment.
2. Go to 1.3.6.3.2 Assess Documentation.
1.3.6.3.2 Assess Documentation
The CASA Project Team Member must:
1. Assess the Cabin Crew Manual.
2. Assess Emergency Procedures Manual.
3. Assess any other supporting documentation required.

Is the documentation satisfactory?

The CASA Project Team Member will:
1. Assess the Cabin Crew Manual and Emergency Procedures Manual together with
supporting documentation as a complete package.
2. Determine if Cabin Safety documentation is satisfactory based on completed
checklists.
a. If no go to 1.3.6.3.3 Provide advice to Applicant.
b. If yes go to 1.3.6.3.5 Assess Personnel.

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1.3.6.3.3 Provide advice to Applicant

The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.3.4 Respond to CASA.
1.3.6.3.4 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.3.2 Assess Documentation.
1.3.6.3.5 Assess Personnel
The CASA Project Team Member will:
1. Assess qualifications, history and capability of the Cabin Safety Manager.
2. Assess qualifications, history and capability of the Cabin Crew Manager.
3. Assess qualifications, history and capability of other required personnel.

Are the assessment criteria met?

The CASA Project Team Member will determine if the Cabin Safety Manager and Cabin Crew
Manager satisfy the documentation assessment criteria.
1. If no go to 1.3.6.3.6 Provide advice to Applicant.
2. If yes return to 1.3.6 Perform Technical Desktop Assessment(step 1.3.6.4).
1.3.6.3.6 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.3.7 Respond to CASA.
1.3.6.3.7 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.3.5 Assess Personnel.

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1.3.6.4 Perform airworthiness technical documentation assessment

Purpose
This phase ensures the manual addresses all items necessary to ensure:
• the required airworthiness and maintenance control of the aircraft
• the manual complies with the various legislative requirements and does not conflict
with material in the Flight Manual. In other words, not only has the form and content
of the manual been assessed, but the meaning has also been evaluated.
Context
To recommend the issue of an AOC, CASA must be satisfied that the Applicant has provided
evidence to show that all the airworthiness requirements pertaining to the aircraft and the
operations to be covered by the AOC have been met. Such evidence will include, but is not
limited to the following:
• airworthiness aspects of the organisation are appropriately managed and controlled
• aircraft airworthiness, maintenance and control
• the nomination of a suitable persons to key positions
• appropriate System of Maintenance (SoM)
• Minimum Equipment List (MEL) and Maintenance Control Manual (MCM), if
required.
References
The following guidance material is applicable to this section:
AOC Handbook
• Volume 3 – Airworthiness

Airworthiness Forms

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Process map

Figure 10: Level 1.3.6.4—Airworthiness Technical Documentation Assessment Process Map

Process steps
1.3.6.4.1 Start technical documentation assessment
The CASA Project Team Member must:
1. Gather all documents required for the technical assessment.
2. Go to 1.3.6.4.2 Assess Documentation.
1.3.6.4.2 Assess Documentation
The CASA Project Team Member must:
1. Assess the Compliance Statement.
2. Assess Operations Manual.
3. Assess Maintenance Control Manual.
4. Assess Aircraft Flight Manual.
5. Assess System of Maintenance Manual.
6. Assess other supporting information.

AOC Handbook
• Volume 3 – Airworthiness

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Is the documentation satisfactory?

The CASA Project Team Member will:
1. Assess the Compliance Statement, Operations Manual, Maintenance Control Manual,
Aircraft Flight Manual, System of Maintenance Manual, together with supporting
documentation as a complete package.
2. Determine if Airworthiness technical documentation is satisfactory based on
completed checklists.
a. If no go to 1.3.6.4.3 Provide advice to Applicant.
b. If yes go to 1.3.6.4.5 Assess Key Personnel.
1.3.6.4.3 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.4.4 Respond to CASA.
1.3.6.4.4 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.4.2 Assess Documentation.
1.3.6.4.5 Assess Key Personnel
The CASA Project Team Member will:
1. Review and assess the organisational structure, the positions and responsibilities of
personnel within the organisation against the proposed scope of operations.
2. Assess qualifications, history and capability of the Head of Aircraft Airworthiness and
Maintenance Control.
3. Assess qualifications, history and capability of the Maintenance Controller.

AOC Handbook
• Volume 3 – Airworthiness

Are the assessment criteria met?

The CASA Project Team Member will determine if the Head of Aircraft Airworthiness and
Maintenance Control and Maintenance Controller satisfy the documentation assessment
criteria.
1. If no go to 1.3.6.4.6 Provide advice to Applicant.
2. If yes return to 1.3.6 Perform Technical Documentation Assessment (step 1.3.6.5).

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1.3.6.4.6 Provide advice to Applicant

The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.4.7 Respond to CASA.
1.3.6.4.7 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.4.5 Assess Key Personnel.

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1.3.6.5 Perform dangerous goods technical documentation assessment

Purpose
This assessment verifies the Applicant has adequate documented procedures and policies for
handling dangerous good to the level that satisfies CASA.
Context
Section 23 of the Act specifies that an aircraft must not carry dangerous goods except in
accordance with the regulations, subject to the conditions to which the regulations permit, or in
accordance with the Aviation Transport Safety Regulations 2005 and subject to the conditions
the regulations permit, or with the written permission of CASA and in accordance with any
conditions specified in the permission.
CASR 92.045 requires an Australian aircraft operator’s dangerous goods manual to set out
the procedures and instructions for the handling and carriage of dangerous goods on the
operator’s aircraft; or specify where those procedures and instructions can be found. It also
specifies that the operator must have, and must use, an appropriate amendment system to
keep all the copies of the manual up-to-date.
References
The following guidance material is applicable to this section:
AOC Handbook
• Volume 4 – Special Areas

Dangerous Goods Forms

Process map

Figure 11: Level 1.3.6.5—Dangerous Goods Technical Documentation Assessment Process Map

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Process steps
1.3.6.5.1 Start technical documentation assessment
The CASA Project Team Member must:
1. Gather all documents required for the technical documentation assessment.
2. Go to 1.3.6.5.2 Assess Documentation.
1.3.6.5.2 Assess Documentation
The CASA Project Team Member must:
1. Assess the Dangerous Goods Manual.
2. Assess the dangerous goods component of the following:
a. Ground Handling
b. Training and checking
c. Operations Manual.
3. Assess other supporting information.

AOC Handbook
• Volume 4 – Special Areas

Is the documentation satisfactory?

The CASA Project Team Member will assess appropriate documentation.
1. If no go to 1.3.6.5.3 Provide advice to Applicant.
2. If yes go to 1.3.6.5.5 Assess Personnel.
1.3.6.5.3 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.5.4 Respond to CASA.
1.3.6.5.4 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.5.2 Assess Documentation.
1.3.6.5.5 Assess Personnel
The CASA Project Team Member will:
1. Assess suitability of the person delegated to the position (however named)
responsible for the oversight of the Dangerous Goods functions within the
organisation e.g. Dangerous Goods Manager.
2. Assess qualifications, history and capability of the Dangerous Goods Expert.

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AOC Handbook
• Volume 4 – Special Areas

Are the nominated persons suitable?

The CASA Project Team Member will determine if the nominated persons satisfy the
documentation assessment criteria.
1. If no go to 1.3.6.5.6 Provide advice to Applicant.
2. If yes go to 1.3.6 Perform Technical Documentation Assessment (step 1.3.6.6).
1.3.6.5.6 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.5.5 Assess Personnel.

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1.3.6.6 Perform safety management system technical documentation

assessment
Purpose
This assessment verifies the Applicant has a systematic, explicit and comprehensive process
for identifying hazards and the risks they bring, and for minimising those hazards.
Context
CAO 82.3 and CAO 82.5 require high and low capacity RPT operators to establish and
maintain an appropriate organisation, with a sound and effective management structure that
uses a safety management system approved by CASA. CASA must be satisfied that the
elements of the Applicant’s Safety Management System are suitable for the operation.
References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 4 – Special Areas

Forms
• Form 040 – Safety Management System Assessment Tools

Process map

Figure 12: Level 1.3.6.6—Safety Management System Technical Documentation Assessment Process Map

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Process steps
1.3.6.6.1 Start technical documentation assessment
The CASA Project Team Member must:
1. Gather all documents required for the assigned technical documentation assessment.
2. Go to 1.3.6.6.2 Assess Documentation.
1.3.6.6.2 Assess Documentation
The CASA Project Team Member must:
1. Assess the SMS element of the Operations Manual or the Safety Systems Manual (if
separate to the Operations Manual).
2. Assess other supporting documentation.

Is the documentation satisfactory?

The CASA Project Team Member will:
1. Assess the SMS element of the Operations Manual SMS documents, together with
supporting documentation, as a complete package.
2. Determine if Safety Management System documentation is satisfactory based on the
assessment outcomes.
a. If no go to 1.3.6.6.3 Provide advice to Applicant.
b. If yes go to 1.3.6.6.5 Assess Personnel.
1.3.6.6.3 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.6.4 Respond to CASA.
1.3.6.6.4 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.6.2 Assess Documentation.
1.3.6.6.5 Assess Personnel
The CASA Project Team Member will:
1. Assess suitability of the person delegated to the position (however named),
performing the functions of a Safety Manager within the organisation.

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Are the nominated persons suitable?

The CASA Project Team Member will determine if the nominated personnel satisfy the
documentation assessment criteria.
1. If no go to 1.3.6.6.6 Provide advice to Applicant.
2. If yes return to 1.3.6 Perform Technical Documentation Assessment (step 1.3.6.7).
1.3.6.6.6 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.6.7 Respond to CASA.
1.3.6.6.7 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.6.5 Assess Personnel.

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1.3.6.7 Perform aerodromes technical documentation assessment

Purpose
This phase verifies if the Applicant has procedures and policies in place to manage and
mitigate safety issues and risks relating to aircraft operations and nominated ports.
Context
CASA must be satisfied that the aerodrome (port) is suitable for the landing and take-off of the
type of aircraft operated under an AOC. The AOC holder must conduct operations in
accordance with CAR 92 and 92A.
References
The following guidance material is applicable to this section:

Air Navigation, Airspace and Aerodromes Forms

Process map

Figure 13: Level 1.3.6.7—Aerodromes Technical Documentation Assessment Process Map

Process steps
1.3.6.7.1 Notify ANAA of AOC application
The CASA Project Team will:
1. Send Air Navigation, Airspace and Aerodromes (ANAA) branch supporting
information and data on proposed aircraft operations including nominated ports.
Note: Detailed list of the supporting information / data is contained in the AOC Handbook.

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Is an analysis required?
The ANAA will determine if a detailed analysis is required on proposed aircraft operations and
nominated ports based on the received information.
1. If no return to 1.3.6 Perform Technical Documentation Assessment (step 1.3.6.8).
2. If yes go to 1.3.6.7.2 Conduct Analysis.
1.3.6.7.2 Conduct Analysis
The ANAA will:
1. Conduct a further analysis on the proposed aircraft operations and nominated ports to
determine if risks and issues pertaining to airspace, aerodromes, airways design and
ARFFS are appropriately managed and mitigated.
Note: ANAA may request additional materials such as documentation relating to the Applicant’s port
inspections, SMS and/or safety case.

Are there any issues or risks preventing the AOC from being issued?
The ANAA will decide whether there are any unmanaged issues or inadequately mitigated
risks relating to aircraft operations and nominated ports that may prevent the AOC from being
issued.
1. If no return to 1.3.6 Perform Technical Documentation Assessment (step 1.3.6.8).
2. If yes go to 1.3.6.7.3 Provide advice to Applicant.
1.3.6.7.3 Provide advice to Applicant
The ANAA must:
1. Document the deficiencies in the management / mitigation of issues and risks relating
to aircraft operations into the nominated ports.
2. Send documented deficiencies to the Applicant and copy in the CASA Project
Manager.
3. Go to 1.3.6.7.4 Respond to CASA.
1.3.6.7.4 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
Note: Detailed list of the supporting information / data is contained in the AOC Handbook.

3. Go to 1.3.6.7.2 Conduct Analysis.

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1.3.6.8 Perform alcohol and other drugs technical documentation assessment

Purpose
The purpose of this assessment is to assess if the Applicant has effective policies and
strategies to address the risks of inappropriate drug and alcohol use by safety-sensitive
employees.
Context
Section 34 of the Act specifies that the regulations may make provision for and in relation to
the development, implementation and enforcement of drug and alcohol management plans
covering persons who perform, or are available to perform, safety-sensitive aviation activities.
Under Part 99.030 of the CASRs, an Air Operator’s Certificate holder is required to develop a
Drugs and Alcohol Management Plan which complies with the regulations.
References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 4 – Special Areas

Alcohol and Other Drugs Forms

Process map

Figure 14: Level 1.3.6.8—Alcohol and Other Drugs Technical Documentation Assessment Process Map

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Process steps
1.3.6.8.1 Start technical documentation assessment
The CASA Project Team Member must:
1. Gather all documents required for the technical documentation assessment.
2. Go to 1.3.6.8.2 Assess DAMP and other supporting information.
1.3.6.8.2 Assess DAMP and other supporting information
The CASA Project Team Member will:
1. Assess the Drug and Alcohol Management Plan Policy.
2. Assess the Drug and Alcohol Education Program.
3. Assess the Drug and Alcohol Testing Program.
4. Assess the Drug and Alcohol Response Program.
5. Assess other AOD supporting information.
Note: Detailed list of the supporting information / data is contained in the AOC Handbook.

Do the DAMP and other supporting documentation meet the assessment criteria?
The CASA Project Team Member will determine if the DAMP document meets the
assessment criteria.
1. If no go to 1.3.6.8.3 Provide advice to Applicant.
2. If yes return to 1.3.6 Perform Technical Desktop Assessment (step 1.3.6.9).
1.3.6.8.3 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.8.4 Respond to CASA.
1.3.6.8.4 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.8.2 Assess DAMP and other supporting information.

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1.3.6.9 Perform ground operations technical documentation assessment

Purpose
The purpose of this phase is to verify that there is appropriate management, training, control
and safe application of these activities, and that the operator, given the fleet and the
operations proposed, has the ability to conduct ground handling activities relating to aircraft
safely, and within the requirements of the applicable legislation.
The assessment includes verifying that the operator has policies and processes in place to
effectively monitor and oversight any external service provider contracted to perform the
ground handling functions on their behalf.
Context
Section 28 of the Act states that the organisation must have a sufficient number of suitably
qualified and competent employees to conduct of carry out the AOC operations safely.
Paragraph 2.1 of CAO 82.1 requires the operator to provide and maintain facilities and
documentation sufficient to enable the operator to conduct services with safety and in
compliance with Appendix 1.
References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 4 – Special Areas

Ground Operations Forms

Process map

Figure 15: Level 1.3.6.9—Ground Operations Technical Documentation Assessment Process Map

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Process steps
1.3.6.9.1 Start technical documentation assessment
The CASA Project Team Member must:
1. Gather all documents required for the technical documentation assessment.
1.3.6.9.2 Assess documentation
The CASA Project Team Member must:
1. Assess Ground Handling Manual.
2. Assess Passenger Services Manual.
3. Assess Ground Handling Training Manual.
4. Assess the ground operations component of the following, as required:
a. Operations Manual
b. Load Control Manual including weight and balance
c. Aircraft Loading Manual
d. Management Policy and Procedures Manual
e. Safety Systems Manual.
5. Assess other supporting information.

Is the documentation satisfactory?

The CASA Project Team Member will assess appropriate documentation.
1. If no go to 1.3.6.9.3 Provide advice to Applicant.
2. If yes go to 1.3.6.9.5 Assess Personnel.
1.3.6.9.3 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.9.4 Respond to CASA.
1.3.6.9.4 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.9.2 Assess documentation.
1.3.6.9.5 Assess Personnel
The CASA Project Team Member will:
1. Assess suitability of the person delegated to the position (however named),
responsible for the oversight of the ground operation functions within the organisation
e.g. Ground Operations Manager.

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2. Assess qualifications, history and capability of the other required ground personnel.

Are the nominated persons suitable?

The CASA Project Team Member will determine if the nominated persons satisfy the
documentation assessment criteria.
1. If no go to 1.3.6.9.6 Provide advice to Applicant.
2. If yes return to 1.3.6 Perform Technical Documentation Assessment.
1.3.6.9.6 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.6.6.7 Respond to CASA.
1.3.6.9.7 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.6.9.5 Assess Personnel.

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1.3.9 Perform verification and testing

Purpose
Verification and testing serves two functions:
• to satisfy CASA the facilities, equipment, services, operations and persons conform
to the Applicant’s operations manual to ensure compliance with the legislative
requirement for the AOC issue
• to provide evidence for the granting of other specific approvals related to the AOC.

Context
Section 27AC (2) of the Act allows CASA to give a written notice to the Applicant for an AOC
to permit an authorised officer to carry out an inspection or test that is reasonably required by
CASA to properly consider an AOC application. Inspections and tests could include any of the
following items:
• any aircraft covered by the application
• any aeronautical product that is a part of, or that relates to, any aircraft
• any personnel, facilities, procedures or practices used, or proposed to be used, for a
purpose covered by the application.

References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 4 – Special Areas

Process map

Figure 16: Level 1.3.9—Verification and Testing Process Map

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Process steps

1.3.9.1 Plan verification and testing

The CASA Project Manager will:
1. Task the project team with the verification and testing assessment.
2. Define any expectations of the inspection activity.
3. Provide an overview of the activities.
4. Go to 1.3.9.2 Start verification and testing.

1.3.9.2 Start verification and testing

The CASA Project team member will:
1. Arrange appointments with Applicant.

Flying Operations and Proceed to:

Cabin Safety 1.3.9.3 Perform Flying Operations and Cabin Safety Verification and
Testing

Airworthiness Proceed to:

1.3.9.4 Perform airworthiness verification and testing

Dangerous Goods Proceed to:

1.3.9.5 Perform dangerous goods verification and testing

Perform Safety Proceed to:

Management System 1.3.9.6 Perform safety management system verification and testing

Ground Operations Proceed to:

1.3.9.7 Perform Ground Operations Verification and Testing

2. Once all the assessments are complete, go to 1.3.9.8 End verification and testing.

1.3.9.8 End verification and testing

The CASA Project Manager will:
1. Finalise verification and testing with the CASA Project Team.

Is verification and testing satisfactory?

CASA Project Team Member will determine if verification and testing is satisfactory based on
completed checklists. Compile a report to confirm inspector outcomes.
1. If no go to 1.3.9.9 Provide advice to Applicant.
2. If yes return to 1.3 Assessment (step 1.3.10).

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1.3.9.9 Provide advice to Applicant

The CASA Project Team must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Advise the Applicant, in writing, that the job may be suspended until the deficiencies
are addressed.
3. Go to 1.3.9.10 Respond to CASA.

1.3.9.10 Respond to CASA

The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.2 Start verification and testing.

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1.3.9.3 Perform Flying Operations and Cabin Safety Verification and Testing
Purpose
The purpose of this section is to describe how CASA will confirm that the operator will be able
to comply with the policies and procedures described in their Operations Manual.
Context
Under paragraph 28(1)(b) of the Act, an Applicant must, in part, satisfy CASA that:
• operations can be conducted safely having regard to the nature of the AOC
operations
• the organisation’s chain of command is appropriate
• key personnel have appropriate experience in air operations
• the organisation has a sufficient number of suitably qualified and competent
employees
• the facilities are suitable
• organisation has suitable procedures and practices.
An operator needs to ensure all personnel involved in ground and flight operations, are
properly instructed and have demonstrated their abilities in their particular duties and are
aware of their responsibilities and the relationship of such duties to the operation as a whole.
References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 2 – Flying Operations
• Volume 4 – Special Areas

Forms
• Flying Operations Forms
• Cabin Safety Forms

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Process map

Figure 17: Level 1.3.9.3—Flying Operations and Cabin Safety Verification and Testing Process Map

Process steps
1.3.9.3.1 Conduct capability assessments on Flying Ops key personnel
The CASA Project Manager will:
1. Liaise with the project team to schedule verification and testing activities.
The CASA Project Team will:
1. Create scenarios for Key Personnel responses.
2. Create pertinent examination questions according to these scenarios.
3. If required, conduct a capability assessment on the key person.
4. Go to 1.3.9.3.2 Conduct capability assessments on Cabin Safety Personnel.
1.3.9.3.2 Conduct capability assessments on Cabin Safety Personnel
The CASA Project Manager will:
1. Liaise with the project team to schedule Verification and Testing activities.
The CASA Project Team will:
1. Create scenarios.
2. Create pertinent examination questions according to these scenarios.
3. If required, conduct a capability assessment.
4. Go to 1.3.9.3.3 Verify Flying Operations manuals and supporting information and
conduct system assessments.

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1.3.9.3.3 Verify Flying Operations manuals and supporting information and conduct
system assessments
The CASA Project Team Member must:
1. Verify that all policies and procedures covered in the Manuals and supporting
documentation are in place or will be implemented.
2. Go to 1.3.9.3.4 Verify Cabin Safety manuals and supporting information and conduct
system assessments.
1.3.9.3.4 Verify Cabin Safety manuals and supporting information and conduct system
assessments
The CASA Project Team Member must:
1. Verify that policies and procedures in the Manuals and supporting documentation are
in place or have been implemented.

Do the Key Personnel, Manuals and supporting documentation meet the verification
criteria?
1. If no go to 1.3.9.3.5 Provide advice to Applicant.
2. If yes return to 1.3.9 Verification and Testing (step 1.3.9.4).
1.3.9.3.5 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.3.6 Respond to CASA.
1.3.9.3.6 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.3.1 Conduct capability assessments on Flying Ops key personnel.

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1.3.9.4 Perform airworthiness verification and testing

Purpose
The purpose of this section is to describe how CASA will confirm that the operator will be able
to comply with the policies and procedures described in their Operations Manual.
Context
For an AOC to be issued, the Applicant must also satisfy CASA that all the airworthiness
requirements pertaining to the aircraft and operation have been met. This includes providing
evidence of the airworthiness of aircraft, control of continuing airworthiness, that the aircraft is
properly equipped, and that safety systems are in place to ensure the conduct of safe
operations.
References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 3 – Airworthiness

Forms
• Airworthiness Forms
Process map

Figure 18: Level 1.3.9.4—Airworthiness Verification and Testing Process Map

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Process steps
1.3.9.4.1 Conduct capability assessments Airworthiness key personnel
The CASA Project Manager will:
1. Liaise with the project team to schedule verification and testing activities.
The CASA Project Team must:
1. Create scenarios for Key Personnel responses.
2. Create pertinent examination questions according to those scenarios.
3. Conduct a capability assessment on the key person.

Do the Airworthiness key personnel meet the verification and testing criteria, including
Part 42 personnel if required?
The CASA Project Team Member must check the following:
1. Does the Head of Aircraft Maintenance and Maintenance Control meet the
assessment criteria?
2. Does the Maintenance Controller meet the assessment criteria?
3. Part 42 approvals where required.
a. If no go to 1.3.9.4.2 Provide advice to Applicant.
b. If yes go to 1.3.9.4.4 Verify manuals and supporting information, and conduct
systems assessments.
1.3.9.4.2 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.4.3 Respond to CASA.
1.3.9.4.3 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.4.1 Conduct capability assessments Airworthiness key personnel.
1.3.9.4.4 Verify manuals and supporting information, and conduct systems
assessments
The CASA Project Team Member must:
1. Verify the details outlined in the manuals and supporting documentation are in place
and implemented.
2. Test processes and procedures identified in the manuals.

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Does the Operations Manual and supporting information meet the verification and
testing criteria?
The CASA Project Team Member must check the following:
1. Does the Operations Manual meet the assessment criteria?
2. Does the Compliance Statement meet the assessment criteria?
3. Does the supporting information meet the assessment criteria?
a. If no go to 1.3.9.4.5 Provide advice to Applicant.
b. If yes return to 1.3.9 Verification and Testing (step 1.3.9.5).
1.3.9.4.5 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.4.6 Respond to CASA.
1.3.9.4.6 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.4.4 Verify manuals and supporting information, and conduct systems
assessments.

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1.3.9.5 Perform dangerous goods verification and testing

Purpose
The purpose of this section is to validate the Dangerous Goods technical documentation
content against what has been implemented and to test the systems documented in the
Dangerous Goods manual.
Context
Where the operator intends to carry dangerous goods, inspections of the facilities and
procedures will be necessary. The procedures to be assessed will include acceptance,
examination, storage, loading, notification to crew and in-flight emergencies.
References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 4 – Special Areas

Forms
• Dangerous Goods Forms

Process map

Figure 19: Level 1.3.9.5—Dangerous Goods Verification and Testing Process Map

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Process steps
1.3.9.5.1 Conduct capability assessments on Dangerous Goods key personnel
The CASA Project Manager will:
1. Liaise with the project team to schedule verification and testing activities.
The CASA Project Team Member must:
1. Prepare scenarios, including examination questions, to assess the person delegated
to the position (however named), responsible for the oversight of the Dangerous
Goods functions within the organisation e.g. Dangerous Goods Manager.
2. Conduct a capability assessment on the nominated person/s.

Do the Dangerous Goods personnel meet the verification and testing criteria?
The CASA Project Team Member must check that the nominated persons meet the
assessment criteria.
1. If no go to 1.3.9.5.2 Provide advice to Applicant.
2. If yes go to 1.3.9.5.4 Verify manuals and supporting information, and conduct
systems assessments.
1.3.9.5.2 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.5.3 Respond to CASA.
1.3.9.5.3 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.5.1 Conduct capability assessments on Dangerous Goods key personnel.
1.3.9.5.4 Verify manuals and supporting information, and conduct systems
assessments
The CASA Project Team Member must:
1. Verify that systems, equipment, facilities and other safety requirements covered in the
Manuals and supporting documentation are in place or have been implemented.

Does the operator comply with their documented procedures?

1. If no go to 1.3.9.5.5 Provide advice to Applicant.
2. If yes return to 1.3.9 Perform Verification and Testing (step 1.3.9.6).

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1.3.9.5.5 Provide advice to Applicant

The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.5.6 Respond to CASA.
1.3.9.5.6 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.5.4 Verify manuals and supporting information, and conduct systems
assessments.

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1.3.9.6 Perform safety management system verification and testing

Purpose
The purpose of this section is to validate the Safety Management System technical
documentation content against what has been implemented and to test the systems
documented in the Safety Management Manual.
Context
CAO 82.3 and CAO 82.5 require an AOC operator to establish and maintain an appropriate
organisation, with a sound and effective management structure, that uses a safety
management system approved by CASA. CASA ensures safety management systems
outlined in the operator’s manual are in place and have been implemented.
References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 4 – Special Areas

Forms
• Form 040 – Safety Management System Assessment Tools

Process map

Figure 20: Level 1.3.9.6—SMS Verification and Testing Process Map

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Process steps
1.3.9.6.1 Conduct capability assessments on nominated SMS personnel
The CASA Project Manager will:
1. Liaise with the project team to schedule verification and testing activities.
The CASA Project Team must:
1. Prepare scenarios, including examination questions, to assess the person delegated
to perform the functions of a Safety Manager (however named) within the
organisation.
2. Conduct a capability assessment on the nominated person/s.

Do the SMS personnel meet verification and testing criteria?

The CASA Project Team Member must check that the nominated personnel meet the
assessment criteria.
1. If no go to 1.3.9.6.2 Provide advice to Applicant.
2. If yes return to 1.3.9.6.4 Verify manuals and supporting information, and conduct
system assessments.
1.3.9.6.2 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.6.3 Respond to CASA.
1.3.9.6.3 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.6.1 Conduct capability assessments on nominated SMS personnel.
1.3.9.6.4 Verify manuals and supporting information, and conduct system assessments
The CASA Project Team Member must:
1. Verify safety management systems and other safety requirements identified in the
Manuals and supporting documentation, are in place or have been implemented.

Has the safety management system met the verification and testing criteria?
The CASA Project Team Member must check that the safety management systems are in
place, or have been implemented according to the implementation plan agreed with CASA,
and the operator complies with their documented procedures?
2. If no go to 1.3.9.6.5 Provide advice to Applicant.
3. If yes return to 1.3.9 Perform Verification and Testing (step 1.3.9.7).

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1.3.9.6.5 Provide advice to Applicant

The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.6.6 Respond to CASA.
1.3.9.6.6 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.6.4 Verify manuals and supporting information, and conduct system
assessments.

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1.3.9.7 Perform Ground Operations Verification and Testing

Purpose
The purpose of this section is to validate the Ground Operations technical documentation
content against what has been implemented and to test the systems documented in the
relevant manuals.
Context
For an AOC to be issued, the Applicant must also satisfy CASA that all the requirements
pertaining to the ground operations have been met. This shall include all functions that have
been outsourced as well as any system based applications that have been implemented,
including the production of necessary loading documentation and instruction.
References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 4 – Special Areas

Forms
• Ground Operations Forms
Process map

Figure 21: Level 1.3.9.7—Ground Operations Verification and Testing Process Map

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Process steps
1.3.9.7.1 Conduct capability assessments on nominated Ground Operations personnel
The CASA Project Manager will:
1. Liaise with the project team to schedule verification and testing activities.
The CASA Project Team must:
1. Create scenarios for personnel responses.
2. Create pertinent examination questions according to those scenarios.
3. Conduct a capability assessment on the key person/s.

Do the Ground Operations personnel meet the verification and testing criteria?
The CASA Project Team Member must check that the nominated persons meet the
assessment criteria.
1. If no go to 1.3.9.7.2 Provide advice to Applicant.
2. If yes go to 1.3.9.7.4 Verify manuals and supporting information, and conduct system
assessments.
1.3.9.7.2 Provide advice to Applicant
The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.7.3 Respond to CASA.
1.3.9.7.3 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.7.1 Conduct capability assessments on nominated Ground Operations
personnel.
1.3.9.7.4 Verify manuals and supporting information, and conduct system assessments
The CASA Project Team Member must:
1. Verify that systems, equipment, facilities and other safety requirements covered in the
Manuals and supporting documentation are in place or have been implemented.

Does the operator comply with their documented procedures relevant to ground
operations?
2. If no go to 1.3.9.7.5 Provide advice to Applicant.
3. If yes return to 1.3.9 Perform Verification and Testing (step 1.3.9.8).

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1.3.9.7.5 Provide advice to Applicant

The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 1.3.9.7.6 Respond to CASA.
1.3.9.7.6 Respond to CASA
The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 1.3.9.7.4 Verify manuals and supporting information, and conduct system
assessments.

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1.3.10 Conduct Proving Flights

Purpose
The proving flight will verify if the AOC Applicant operates in accordance with their
documented processes and procedures that were provided to CASA for assessment. The
AOC Applicant will demonstrate their ability to implement these processes and procedures to
CASA’s satisfaction.
This section of the manual outlines the process to conduct and assess a proving flight.

Context
Section 27AD allows CASA to require an Applicant to conduct proving flights or carry out other
aircraft tests or demonstrations of procedures to assess whether the Applicant can safely
conduct the operations covered by the AOC application.

References
The following guidance material is applicable to this section:

AOC Handbook
• Volume 1 – AOC General Matters
• Volume 2 – Flying Operations

Process map

Figure 22: Level 1.3.10—Conduct Proving Flight Process Map

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Process steps

1.3.10.1 Define proving flight requirements

The CASA Project Manager must:
1. Notify the Applicant of the requirements and details for the conduct of a proving flight.
2. Request that the Applicant nominates a preferred date.
3. Go to 1.3.10.2 Plan proving flight.

1.3.10.2 Plan proving flight

The Project Team will:
1. Determine if the Applicant’s proposed date is suitable with regard to:
a. CASA internal resource availability
b. the Applicant’s readiness to undertake the proving flight
c. the Applicant satisfying the emergency evacuation demonstration (as required)
d. the Applicant satisfying the documentation and operational evaluation
assessment.
2. Confirm or renegotiate the date for the proving flight with the Applicant.

Is a readiness check workshop required?

The CASA Project Manager must decide if the conduct of a readiness check workshop prior to
the Proving Flight is required.
1. If no go to 1.3.10.5 Design proving flight scenarios.
2. If yes go to 1.3.10.3 Design readiness check.

1.3.10.3 Design readiness check

The CASA Project Manager must task the project team to:
1. Create workshop scenarios that include the areas to be checked.
2. Negotiate with the Applicant, a suitable time and location for the workshop.
3. Provide the Applicant with a draft agenda for the workshop meeting.
4. Provide the Applicant with a list of documentation that is required at the workshop
meeting.
5. Brief all CASA participants on their roles during the readiness check.
6. Go to 1.3.10.4 Perform readiness check.

1.3.10.4 Perform readiness check

The CASA Project Team will:
1. Facilitate the workshop in accordance with the agenda and required documentation.
2. Go to 1.3.10.5 Design proving flight scenarios.

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1.3.10.5 Design proving flight scenarios

The CASA Project Manager will:
1. Finalise the proving flight team.
2. Satisfy international departure formalities e.g. passport, visas & security
arrangements (as required).
3. Conduct an internal briefing to ensure the proving flight team understand their roles,
responsibilities and coordinated scenarios.
The CASA Project Team must:
1. Prepare scenarios for the proving flight based on the assessment checklist items.
2. Attend the internal briefing.
Note: The purpose of this meeting is to coordinate inspection activities to ensure that all necessary
checks are accomplished with minimum disruption to the operation.

3. Go to 1.3.10.6 Conduct Proving Flight Briefing.

1.3.10.6 Conduct Proving Flight Briefing

The CASA Project Team must:
1. Provide the Applicant with a written notice which must clearly describe the scope of
the proving flight.
2. Conduct the briefing with the Applicant prior to proving flight to address expectations
(consideration should be given to the crew duty period involved).
Note: The purpose of this meeting is to ensure that the Applicant’s staff are fully aware of the CASA
Project Team’s intentions and the objectives to be achieved during the proving flight(s).

3. Go to 1.3.10.7 Conduct proving flight.

1.3.10.7 Conduct proving flight

The Project Team must:
1. Conduct scenarios in accordance with the proving flight plan.
2. Observe activities and record findings.

1.3.10.8 Assess Applicant’s performance

The Project Team must:
1. Meet to collate the results of the proving flight.
2. Assess the results and determine if:
a. another proving flight is required
b. any areas of deficiencies can be addressed without further proving flights
c. the result was satisfactory.

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Is CASA fully satisfied with the outcome of the proving flight?

The CASA Project Team must determine if all aspects of the proving flight were satisfactory. A
proving flight cannot be deemed fully satisfactory if there are deficiencies found, whether or
not these deficiencies require another proving flight to be conducted.
1. If no go to 1.3.10.9 Provide advice to Applicant.
2. If yes go to 1.3 Assessment (step 1.3.11).

1.3.10.9 Provide advice to Applicant

The Project Team must:
1. Meet to discuss the deficiencies found during the proving flight.
2. Discuss the required action required from the Applicant to address the deficiencies.
3. Meet and advise the Applicant of the result and discuss the deficiencies.
4. Discuss a satisfactory resolution to the deficiencies.
5. If the resolution requires the conduct of another proving flight, provide the reasons
CASA requires a further proving flight.
6. Go to 1.3.10.10 Respond to CASA.

1.3.10.10 Respond to CASA

The Applicant must:
1. Address the reasons to CASA’s satisfaction.
2. If a further proving flight is required, advise CASA when they are ready to conduct
another proving flight.
a. If a proving flight is required, go to 1.3.10.5 Design proving flight scenarios.
b. If a further proving flight is NOT required, go to 1.3.10.8 Assess Applicant’s
performance.

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1.4 Certification

Purpose
The purpose of the Certification Phase is to:
• finalise an application for Delegate approval
• issue of the AOC to the Applicant, if approved.

Context
If a person applies to CASA for an AOC, CASA must issue the AOC if CASA is satisfied the
Applicant has complied with or is capable of complying with, the safety rules; and is satisfied
about the matters in relation to the Applicant’s organisation, as outlined in Section 28 of the
Civil Aviation Act 1988.

References
The following guidance material is applicable to this section:
AOC Handbook
• Volume 1 - AOC General Matters

CSC Forms

Process map

Figure 23: Level 1.4—Certification Phase Process Map

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Process steps
1.4.1 Perform administrative review on recommendation and final cost
CSC must:
1. Review the recommendation, using the AOC application, to ensure the SFR is
reflecting what was applied for and the recommendation outlines CASA’s decision to
issue or not issue the authorisations requested.
2. Ensure all necessary details in the recommendation are complete.

Is administrative review satisfactory?

CSC must review the AOC Instruction Sheet to ensure all appropriate checklist items have
been checked.
1. If no go to 1.4.2 Provide feedback to CASA regional office for clarification.
2. If yes go to 1.4.3 Finalise AOC documentation.

1.4.2 Provide feedback to CASA regional office for clarification

CSC will:
1. Advise the assessing CASA Regional Office of the issues.
The CASA Regional Office will:
1. Provide clarification and address issues as required.
2. Go to 1.4.1 Perform administrative review on recommendation and final cost.

1.4.3 Finalise AOC documentation

CSC will:
1. Prepare the AOC or Notice of Refusal along with all required information for the
CASA Delegate to sign, using the AOC Instruction Sheet as a guide. The package
will include accounts reconciliation, SFR and cover letter.
2. Submit to CASA Delegate.
Note: The Notice of Refusal must contain a statement advising the Applicant of their rights to appeal
CASA’s decision and the time limits for lodging an appeal with the Administrative Appeals
Tribunal (AAT).

1.4.4 Review AOC documentation

Note: The CASA Delegate must be satisfied the proposed activities, as outlined in the application and
supporting documentation, meet all the safety and legislative requirements.

The CASA Delegate must:

1. Review SFR, final AOC and other supporting documents.
2. Be satisfied that the Applicant has met the requirements for the issue of an AOC.

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Is the CASA Delegate satisfied to issue the AOC based on the recommendation?
The CASA Delegate must be satisfied the Applicant meets all requirements before granting
the AOC.
1. If no go to 1.4.5 Sign Notice of Refusal to issue the AOC.
2. If yes go to 1.4.6 Sign AOC.

1.4.5 Sign Notice of Refusal to issue the AOC

The CASA Delegate will:
1. Discuss the issues and CASA’s planned course of action with the assessing CASA
Regional Office.
2. Sign the Notice of Refusal to Issue the AOC, account reconciliation and other
documents.
3. Go to 1.4.7 Send AOC or Notice of Refusal.

1.4.6 Sign AOC

The CASA Delegate must:
1. Sign the AOC, account reconciliation and other documents requiring delegate’s
signature.
2. Go to 1.4.7 Send AOC or Notice of Refusal.

1.4.7 Send AOC or Notice of Refusal

CSC must:
1. Send the AOC or Notice of Refusal to Issue AOC, and other relevant documents to
the Applicant.
2. Provide a copy of the AOC or Notice of Refusal to Issue AOC to the CASA Regional
Office.
3. Perform other administrative tasks required to close the job.
4. Go to 1.4.8 Receive AOC or refusal.

1.4.8 Receive AOC or refusal

1. The Applicant will receive AOC or Notice of Refusal to Issue AOC.

End of Process

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2. Cancelling an Air Operator’s Certificate

Overview of the AOC Cancellation Process

The AOC cancellation process comprises four phases:
1. Enquiry
2. Application
3. Verification
4. Cancellation.
This manual describes each phase using process maps.

Figure 24: Level 2—AOC Cancellation Process Map

The Cancellation process provides AOC holders information on the circumstances under
which an AOC can be cancelled. In conjunction with the Enforcement Manual, information in
this section will give visibility on the steps CASA takes to cancel an Air Operator’s Certificate
in the following circumstances:
• at the certificate holder’s request
• as a result of an enforcement action.

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2.1 Cancellations at the AOC holders request

Purpose
The purpose of this process is to provide AOC holder’s information on the process CASA
undertakes to cancel an AOC at the request of the AOC holder.

Context
Section 27(3) of the Act specifies if a holder of an AOC makes a request in writing to CASA for
the revocation of the AOC, CASA must cancel the AOC.

References
The following guidance material is applicable to this section:
AOC Handbook
• Volume 1, Chapter 2 - Air Operator's Certificate (AOC) Overview

CSC Forms

Process map

Figure 25: Level 2.1—AOC Cancellation Requested by AOC Holder Process Map

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Process steps
2.1.1 Perform enquiry
The Operator must:
1. Contact CSC in regards to cancelling an AOC, if they are unsure of the process.
2. Go to 2.1.2 Facilitate enquiry.

2.1.2 Facilitate enquiry

CSC will:
1. Offer advice on the cancellation process as required.

2.1.3 Complete and submit AOC cancellation request

The Operator must:
1. Complete and send a cancellation request to CASA.
2. Go to 2.1.4 Validate Cancellation Request.

2.1.4 Validate Cancellation Request

CSC will:
1. Review the request to cancel, using the Instruction Sheet for AOC Cancellation as a
guide.
2. Ensure that the person requesting the cancellation is the AOC Holder, or in the case
of an organisation, is a person who holds an authority to request a cancellation.

Is the person/organisation authorised to request the cancellation?

CSC must ensure that the person/organisation is authorised to request the cancellation.
1. If no go to 2.1.5 Provide advice to person/organisation and/or AOC holder.
2. If yes go to 2.1.6 Generate draft cancellation instrument.

2.1.5 Provide advice to person/organisation and/or AOC holder

CSC will:
1. Contact the certificate holder and request for proof of authority to request
cancellation.
2. Go to 2.1.4 Validate Cancellation Request.

2.1.6 Generate draft cancellation instrument

CSC will:
1. Create the instrument to cancel AOC.
2. Go to 2.1.7 Submit for delegate signature.

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2.1.7 Submit for delegate signature

CSC will:
1. Package all administrative information, including the draft instrument of cancellation,
and submit to the CASA delegate for signature, using the AOC Instruction Sheet as a
guide.
2. Go to 2.1.8 Sign cancellation instrument.

2.1.8 Sign cancellation instrument

The CSC Delegate must:
1. Sign cancellation instrument.
2. Go to 2.1.9 Send cancellation instrument.

2.1.9 Send cancellation instrument

CSC will:
1. Send cancellation instrument to the operator.
2. Notify the relevant CASA Regional Office of the cancellation.
3. Notify Safety Systems Office.
4. Perform other administrative tasks required to close the job.
5. Go to 2.1.10 Update surveillance program and supporting records.

2.1.10 Update surveillance program and supporting records

The CASA Regional Office will:
1. Update surveillance program and other supporting records pertaining to the AOC
activities.
2. Go to 2.1.11 Receive cancellation instrument.

2.1.11 Receive cancellation instrument

The Operator will:
1. Receive cancellation instrument.

End of Process

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2.2 Cancellations as a result of CASA action

CASA may, following unsuccessful attempts to secure compliance from a certificate holder,
decide to initiate administrative action against the Air Operator’s Certificate. Such
administrative action is carried out in accordance with the CASA Enforcement Manual.
Administrative tasks associated with a cancellation of an AOC as a result of CASA Action are
handled by the Client Services Centre, e.g. updating operator’s AOC record.

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3. Other AOC-related CASA Approvals and Exemptions

Overview of the Approvals and Exemptions Process

This generic process for the issue of approvals and exemptions comprises four phases:
1. Enquiry
2. Application
3. Assessment
4. Issue.
This manual describes each phase by using process maps.
The subordinate permission process provides AOC holders with information on the
circumstances under which permissions, approvals and exemptions tied to an Air Operator’s
Certificate are processed. This generic CASA Regional Office process covers all applications
for AOC subordinate permissions not tied to an AOC application, except applications for
Maintenance Controllers which are handled by the Client Services Centre.

Purpose
The purpose of this process is to provide information to AOC applicants on the process CASA
undertakes to issue an approval or an exemption tied to an Air Operator’s Certificate.

Context
CASA assesses and issues a wide range of approvals, permissions or exemptions in relation
to an Air Operator’s Certificate. Assessing and issuing these approvals, permissions or
exemptions are required by the relevant provision in the Civil Aviation Act 1988, Civil Aviation
Regulations 1988 or Civil Aviation Orders.

References
The following guidance material is applicable to this section:
Please refer to the CASA guidance material relevant to the permission applied for.
Please refer to the CASA forms relevant to the permission applied for.

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Process map

Figure 26: Level 3— Other AOC-Related CASA Approvals and Exemptions Process Map

Process steps

3.1 Perform Enquiry

The Applicant will:
1. Make initial contact with the CASA Regional Office in regards to applying for an
approval or an exemption.
2. Go to 3.2 Facilitate Enquiry.

3.2 Facilitate Enquiry

CASA Regional Office will:
1. Offer advice as required on requirements and associated cost.
2. Direct the Applicant to the relevant forms and guidance material.
Note: If required, the Regional Office will provide an estimate of costs to the Applicant at this stage or
when the application is received.

3. Go to 3.3 Complete and submit application.

3.3 Complete and submit application

The Applicant must:
1. Apply to CASA using appropriate form when available.
2. Go to 3.4 Review application.

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3.4 Review application

CASA Regional Office will:
1. Receive the application and supporting documentation and acknowledge receipt via
email.
2. Review the application for completeness.

Is the Application complete?

CASA Regional Office will ensure the application, including the required supporting
information, are complete.
1. If no go to 3.5 Provide advice to Applicant
2. If yes go to 3.7 Create an estimate.

3.5 Provide advice to Applicant

CASA Regional Office must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 3.6 Respond to CASA.

3.6 Respond to CASA

The Applicant must:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 3.4 Review application.

3.7 Create an estimate

CASA Regional Office must:
1. Create an estimate and send an estimate letter to the Applicant. The estimate letter
includes the estimate amount and, if applicable, a list of further documentation
required.
Note: If the approval being applied for requires the re-issue of the Operations Specifications (Ops
Specs), the CASA Regional Office will include an additional one hour to the estimate to cover
the cost of amending the Ops Specs.

3.8 Payment
The Applicant must:
1. Send payment to CASA.
CASA Regional Office will:
1. Receipt the payment.

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2. Review additional information supplied by the Applicant.

3. If payment and/or documents are not received after 30 days, send a reminder to the
Applicant.
4. Cancel the estimate and application if the Applicant has not made any payment
and/or submitted requested documents after the 30-day extension.
End AOC Process.

3.9 Perform Technical Assessment

Note: The Applicant may be required to participate during the Technical Documentation Assessment.

The CASA Regional Manager must:

1. Determine if the CASA Regional Office has the technical expertise to assess the
application.
2. Determine workload and availability of technical staff to assess the application. The
CASA Regional Office Manager will determine if external resources are required to
assess the application.
3. Appoint a CASA Project Manager.
The CASA Project Manager must:
1. Assemble the assessment team required to assess the application.
The CASA Project Team will:
1. Create a project plan.
2. Contact the Applicant to advise of the assessment schedule.
3. Start technical documentation assessment.
The CASA Project Team Member must:
1. Gather all documents required for the technical documentation assessment.

Is the documentation satisfactory?

The CASA Project Team Member must ensure that the quality and completeness of all
documentation is satisfactory.
1. If no go to 3.10 Provide advice to Applicant.
2. If yes go to 3.12 Perform verification and testing.

3.10 Provide advice to Applicant

The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.

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3.11 Respond to CASA

The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 3.9 Perform Technical Assessment.

3.12 Perform verification and testing

The CASA Project Team Member will:
1. Review the results of the technical assessment to determine if verification and testing
is required.
2. If required, prepare all materials, including checklists, required for verification and
testing.
3. Contact Applicant to schedule verification and testing.
4. Conduct verification and testing. Verification and testing may involve any one or a
combination of the following:
a. sighting evidence of compliance with the requirements
b. testing the suitability, conformity and appropriateness of the submission. This
includes testing or interviewing personnel according to performance criteria.

Is verification and testing satisfactory?

CASA must be satisfied with the integrity of the information submitted with the application.
1. If no go to 3.13 Provide advice to Applicant.
2. If yes go to 3.15 Issue subordinate permission.

3.13 Provide advice to Applicant

The CASA Project Team Member must:
1. Liaise with the Applicant to address any deficiencies that have been found.
Deficiencies must be confirmed to the Applicant in writing.
2. Go to 3.14 Respond to CASA.

3.14 Respond to CASA

The Applicant will:
1. Address the deficiencies cited by CASA.
2. Provide required documentation or advice to CASA in a timely manner.
3. Go to 3.12 Perform verification and testing (step 4).

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3.15 Issue subordinate permission

The CASA Project Manager will:
1. Finalise any other documents to complete the assessment.
2. Finalise time recording and calculate total chargeable hours spent in processing the
AOC application.
3. Draft Standard Form Recommendation (SFR) and/or draft Instrument of Approval or
Exemption.
4. Advise the Applicant of the final assessment outcomes and recommendation.
5. Submit all documents to the Team Leader for review.
6. Complete all record management requirements.
The CASA Team Leader will:
1. Review the assessment documentation, SFR (if applicable) and draft Instrument of
Approval or Exemption.
2. Submit to the CASA Delegate for sign-off.
The CASA Delegate will:
1. Review the recommendation to ensure the Standard Form Recommendation (SFR)
recommendation outlines CASA’s decision to grant or not grant the authorisations
requested, and/or the draft Instrument of Approval or Exemption is reflecting what
was applied for.
2. Ensure all necessary details in the recommendation are complete.
3. Sign the Instrument of Approval or Exemption, if satisfied.
Note: The CASA Delegate must be satisfied that the Applicant meets all the safety and legislative
requirements for the particular approval or exemption applied for.

4. Sign the Notice of Refusal, if the Applicant has not met all the safety and legislative
requirements for the particular approval or exemption applied for.
5. Sign account reconciliation and other documents as required.
CASA Regional Office will:
1. Send the Instrument of Approval, Exemption or Notice of Refusal to Issue, and other
relevant documents, to the Applicant.
2. Where a signed Instrument of Approval affects the details on the Operations
Specifications (Ops Specs), request CSC via email to [email protected] to
re-issue the Ops Specs. The request must include advice on the following:
a. that payment for the re-issue of the Ops Specs has been received by the CASA
Regional Office
b. that the Instrument of Approval has been attached to the relevant CASA
database (i.e. AIRS).
3. Perform other administrative tasks required to close the job.

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3.16 Receive Instrument of Approval, Exemption or Refusal

The Applicant will:
1. Receive Instrument of Approval, Exemption or Notice of Refusal to Issue.

End of Process

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