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Federal Department of the

Environment, Transport, Energy and Communications DETEC

Federal Office of Civil Aviation FOCA

Safety Division – Flight Operations

FOCA GM/INFO Guidance Material / INFORMATION

EASA Air Operations – Air Operator Certificate

This guidance shall assist the commercial operators in the process of varying, revising or changing an air oper-ator certificate (AOC) that has already been granted by FOCA previously.

Scope Guidance material for the variation, revision or change of an already existing air operator certificate of Swiss operators

Who is concerned Swiss AOC holders

valid from 2016-12-01

Purpose for guidance / information

Document Reference 58-11

Registration No. BAZL / 311.120.1-00001/00003

Prepared by Section Operations of Complex Airplanes

Released by SBOC / wer

Distribution Internal/External

CP ISS 1 / REV 2 / 01.12.2016

AOCVariation/Revision/Changes

LEFT BLANK

FOCA Guidance Material / INFORMATION AOC Variation / Revision / Changes

ABB 1

Log of Revision (LoR)

Date Issue Revision Highlight of Revision

01.07.2010 1 0 First Issue

24.05.2012 1 1 Revision

01.12.2016 1 2 New format and correction of legal references

List of Effective Chapters

CP ISS 1 / REV 2 / 01.12.2016

LoA ISS 1 / REV 2 / 01.12.2016

ToC ISS 1 / REV 2 / 01.12.2016

GM 0 ISS 1 / REV 2 / 01.12.2016

Ch. 0.1 ISS 1 / REV 2 / 01.12.2016

Ch. 0.2 ISS 1 / REV 2 / 01.12.2016

Ch. 0.3 ISS 1 / REV 2 / 01.12.2016

Ch. 0.4 ISS 1 / REV 2 / 01.12.2016

GM 1 ISS 1 / REV 2 / 01.12.2016

GM 2 ISS 1 / REV 0 / 01.07.2010

GM 3 ISS 1 / REV 2 / 01.12.2016

GM 4 ISS 1 / REV 2 / 01.12.2016

GM 5 ISS 1 / REV 0 / 01.07.2010

GM 6 ISS 1 / REV 1 / 24.05.2012

GM 7 ISS 1 / REV 2 / 01.12.2016

GM 8 ISS 1 / REV 1 / 24.05.2012

GM 9 ISS 1 / REV 2 / 01.12.2016

Ch. 9.1 ISS 1 / REV 0 / 01.07.2012

Ch. 9.2 ISS 1 / REV 2 / 01.12.2016


ABB 1

List of Abbreviations LoA ISS 1 / REV 2 / 01.12.2016

The following abbreviations are used within this Guidance Material / Information:

Abbreviation Definition

ACJ Advisory Circulars Joint

AEA Association of European Airlines

AFM Aircraft Flight Manual

AMC Acceptable Means of Compliance

AOC Air Operator Certificate

ARO Authority Requirements for Air Op-erations

ATA Air Transport Association

CL Compliance List

DOC Document

EASA European Aviation Safety Agency

EC European Commission

ECAC European Civil Aviation Conference

EU European Union

FAA Federal Aviation Administration

FOCA Federal Office for Civil Aviation

FOM Flight Operations Manual

FSF Flight Safety Foundation

GM Guidance Material

GM/INFO Guidance Material/Information

IATA International Air Transport Associa-tion

ICAO International Civil Aviation Organi-sation

IEM Interpretative and Explanatory Ma-terial

LEP List of Effective Pages

LFV Luftfahrtverordnung

LoR Log of Revision

MEL Minimum Equipment List

MLR Manuals, Logs and Records

Abbreviation Definition

NAT PCO North Atlantic Programme Coordi-nation Office

OD Operational Directives

OM Operations Manual

OPS Operation/Operations

ORO Organisation Requirements for Air Operations

PM Project Manager

PRA Proposed Revision / Amendment

RNAV Area Navigation

RVSM Reduced Vertical Separation Mini-ma

VFR Visual Flight Rules


ToC 1

Table of Contents (ToC) ToC ISS 1 / REV 2 / 01.12.2016

Log of Revision (LoR) ........................................................................................................................ 2

GM 0 Introduction .......................................................................................................................... 2

0.1. Purpose .................................................................................................................................. 2

0.2. Related Material and Documents ........................................................................................... 2

0.3. Terms and Conditions ............................................................................................................ 3

0.4. Legal references..................................................................................................................... 3

GM 1 Import of an aeroplane ......................................................................................................... 4

GM 2 Export of an aeroplane ........................................................................................................ 4

GM 3 Changes of management personnel ................................................................................... 4

GM 4 Revision or new issue of the manual system..................................................................... 5

GM 5 Operator’s name change ..................................................................................................... 5

GM 6 Change of ownership of an aeroplane ................................................................................ 5

GM 7 Change of operations specifications of an aeroplane fleet ............................................... 6

GM 8 Costs and time schedule ..................................................................................................... 6

GM 9 Appendices ........................................................................................................................... 7

9.1. Appendix 1 – Example for an application for foreign ownership .............................................. 7

9.2. Appendix 2 – Homepage addresses/useful links .................................................................... 8


Page 1 of 7

GM 0 Introduction GM 0 ISS 1 / REV 2 / 01.12.2016

All Guidance Material/Information (GM/INFO) are intended to assist the organisation/operator in administrative matters. The administrative requirements and processes will facilitate liaising with the Federal Office of Civil Aviation (FOCA). It is to be considered a tool for the organisa-tion/operator in order to ease processes of obtaining required and defined approvals and au-thorisations issued by the FOCA. Using the GM/INFO will be conducive to establishing compli-ance with FOCA requirements and will lead through the respective certification or variation pro-cess with regard to administrative tasks.

0.1. Purpose Ch. 0.1 ISS 1 / REV 2 / 01.12.2016

This Guidance Material/Information describes the process of variation, revision or change of an existing Air Operator Certificate (AOC). Any request to the FOCA must be sent 60 days prior to the estimated effective date. As some of the processes might be regarded as rather complex, this paper intends to provide additional guidance concerning the following topics:

Import of an aeroplane

Export of an aeroplane

Changes of management personnel

Revision of the manual system

Operator’s name change

Change of Ownership of an aeroplane

Change of Operations Specifications of an aeroplane or fleet

For further information on air operator certificates in Switzerland refer to FOCA’s web page: www.bazl.admin.ch/initial and variation of an air operator certificate

0.2. Related Material and Documents Ch. 0.2 ISS 1 / REV 2 / 01.12.2016

For certain areas (e.g. some subchapters of Operations Manuals) FOCA publishes additional guidance material or sample chapters. These documents provide more information on specific subjects.

In addition FOCA publishes Operational Directives (OD) for particular areas of published regula-tions in order to clarify or define the relevant issues in more detail where required.

If an applicant has the need for further information, please write to the following address:

Federal Office of Civil Aviation (FOCA)

Section Operation of Complex Airplanes

Operation Center 1

CH-8058 Zürich-Flughafen

E-Mail: [email protected]

https://www.bazl.admin.ch/bazl/en/home/specialists/air-transport/operation/aircraft-companies/complex-aeroplanes/commercial-flight-operators/initial-and-variation-of-an-air-operator-certificate--aoc-.html

mailto:[email protected]


Page 2 of 7

0.3. Terms and Conditions Ch. 0.3 ISS 1 / REV 2 / 01.12.2016

When used throughout the GM/INFO the following terms shall have the meaning as defined below:

Term Meaning Reference

shall, must, will These terms express an obligation, a positive command.

EC English Style Guide: Ch. 7.19

may This term expresses a positive permis-sion.


shall not, will not These terms express an obligation, a negative command.


may not, must not These terms express a prohibition. EC English Style Guide: Ch. 7.20

need not This term expresses a negative permis-sion.


should This term expresses an obligation when an acceptable means of compliance should be applied.

EASA Acceptable Means of Compli-ance publications

FOCA policies and requirements

could This term expresses a possibility. http://oxforddictionaries.com/

definition/english/could

ideally This term expresses a best possible means of compliance and/or best expe-rienced industry practice.

FOCA recommendation

Note: To highlight an information or editorial note, a specific note box is used.

The use of the male gender should be understood to include male and female persons.

0.4. Legal references Ch. 0.4 ISS 1 / REV 2 / 01.12.2016

Legal Reference Issue Subject

Basic Regulation (EC) No 216/2008

20.02.2008 Common rules in the field of civil aviation and establishing a European Aviation Safety Agen-cy

Commission Regulation (EU) No 965/2012

05.10.2012 Technical requirements and administrative procedures related to air operations:

Annex III: Part-ORO (ORO.MLR.100 and ORO.AOC.135)

ICAO DOC 9376-AN/914

2nd Edition

1997 Preparation of an Operations Manual


Page 3 of 7

GM 1 Import of an aeroplane GM 1 ISS 1 / REV 2 / 01.12.2016

Requesting an import of an aeroplane (or take over from another Swiss AOC-holder) can be divided into two categories:

a) it will be the first aeroplane of this type starting operation under the present AOC

b) the aeroplane type is already available on the AOC of the applicant.

The workload for an applicant as well as for the FOCA will be variably high. In case of category a), revisions in the manual system (OM-A, OM-C and OM-D) are necessary as well as a new issue of the OM-B and MEL. In case of category b) some revision in the manual system is suffi-cient.

The application for a new aeroplane is to be accompanied by the following forms, applications, certificates and revisions:

Form 44.20 / 44.60 (VFR AOC holder) with complete Part B

Application form for the operations specifications (e.g. RVSM, RNAV, AWO, etc.)

Insurance certificate for passenger legal liability (A5 format)

Lease or management contract with the following content

The aeroplane is designated for commercial operation

Lease period minimum 6 months

The lessee (applicant) is responsible for the crew and the maintenance

New issue or revisions of the manual system with the form Proposed Revision / Amendment (PRA) including the list of changes

A filtered “Compliance List AOC (A) Complex” for each manual with the relevant para-graphs (available on the FOCA website under “Initial and variation of an Air Operator Certificate”)1

Application for foreign ownership if applicable (according the example in Appendix 1)

Manufacturer provided manuals (e.g. AFM, FOM, etc.)

Application for User Approval

For a first type of an aeroplane into the fleet a training concept must be submitted

The FOCA will start the examination as soon as all documents required for the application are handed in.

GM 2 Export of an aeroplane GM 2 ISS 1 / REV 0 / 01.07.2010

An export of an aeroplane must be announced to FOCA as soon as possible with the submis-sion of form 44.20 / 44.60 (VFR AOC holder) with complete part B. After the aeroplane has been removed from the AOC, the applicant must review the manual system for possible revi-sion(s). Paragraph GM 4 below describes how to proceed with a revision of the manual system.

GM 3 Changes of management personnel GM 3 ISS 1 / REV 2 / 01.12.2016

Changes of the management personnel have serious impact for an AOC holder. After the ac-ceptance of the nominated person by the FOCA, the AOC holder must submit a revision of the OM-A paragraph 1.2 according to Commission Regulation (EU) No 965/2012, AMC3 ORO.MLR.100 and possibly also a revision of the OM-D. For a complete application for the change of management personnel according to ORO.AOC.135, the following forms and docu-ments must be submitted:

1 See chapter 9.2


Page 4 of 7

Form 44.20 / 44.60 (VFR AOC holder) with complete part A

EASA Form Four

Curriculum vitae of the new nominated person (CV including private address of the ap-plicant)

Incomplete or wrong submissions will be returned to the applicant.

GM 4 Revision or new issue of the manual system

GM 4 ISS 1 / REV 2 / 01.12.2016

A new issue of a manual or a manual system means that every single paragraph of the manual will be checked by a FOCA inspector. A revision, however, means that only the changes are verified to be compliant with rules and regulations.

A revision or a new issue must be submitted to the FOCA containing the following forms and manuals:



Manufacturer provided manuals (e.g. AFM, FOM, etc.) in case the OM-B is affected

GM 5 Operator’s name change

GM 5 ISS 1 / REV 0 / 01.07.2010

The change of an operator’s name will have influence on all certificates. Therefore, the following forms and documents must be submitted:

Form 44.20 / 44.60 (VFR AOC holder) complete

Form 49.05 for the operating licence

Form 54.045 for the confirmation of Swiss or EC character

Certified copy from the register of commerce

GM 6 Change of ownership of an aeroplane

GM 6 ISS 1 / REV 1 / 24.05.2012

For various reasons an AOC holder may wish or be forced to change the owner of an aero-plane, which leads to changes in the Swiss aircraft registry. If the new owner’s headquarter is located outside Switzerland, the Lessee (applicant) must submit a written application for the foreign ownership to the FOCA containing the following documents:

Form 44.20 / 44.60 (VFR AOC holder) with complete part B

Lease or management contract with the following statements:

The aeroplane is designated for commercial operation

Lease period is minimum 6 months

The lessee (applicant) is responsible for crew and maintenance

Or a kind of novation if the existing lease agreement keeps in force

Application for foreign ownership if applicable (according to the example in Appendix 1)

2 See chapter 9.2


Page 5 of 7

GM 7 Change of operations specifications of an aeroplane fleet

GM 7 ISS 1 / REV 2 / 01.12.2016

An AOC holder may wish to add new operations specifications to an aeroplane or a fleet. Such an application should be submitted providing the following forms and documents:

Form 44.20 / 44.60 (VFR AOC holder) with complete part B

Application form for the operations specifications (e.g. RVSM, RNAV, AWO, etc.)



Manufacturer provided manuals (e.g. AFM, FOM, etc.)

Training aspects must be fulfilled

GM 8 Costs and time schedule

GM 8 ISS 1 / REV 1 / 24.05.2012

Costs and time schedule are very individual and can vary depending on the quality of the sub-missions and the resources available within the FOCA. According to the Swiss Aviation Decree for Charges (SR 748.112.11) one working hour of an inspector will be charged with CHF 180.

3 See chapter 9.2


Page 6 of 7

GM 9 Appendices

GM 9 ISS 1 / REV 2 / 01.12.2016

9.1. Appendix 1 – Example for an application for foreign ownership Ch. 9.1 ISS 1 / REV 0 / 01.07.2012

For an application of a Swiss AOC holder to register an aeroplane into the Swiss register with a foreign ownership according to article 3 paragraph 2 of the Swiss Air Navigation Decree (LFV), the following template may be used:

Dear Sirs,

We apply for a permission according to article 3 paragraph 2 of the Swiss Air Navigation Decree (LFV; 748.01) to register following aeroplane into the Swiss register with foreign ownership for commercial operation under our AOC (9999):

Aeroplane: Manufacturer, aeroplane type / model

s/n 8888

Reserved registration: HB-AAA

Proposed registry date: Day-Month-Year

Owner: Company XYZ Holding Inc.

House

Street

Zip Town

Country

AOC-Holder: ZYX Air AG

Address

Zip Town

We thank you for a positive answer in due course.

Yours sincerely

ZYX Air AG

First Name, Name

Responsible management personnel according to OM-A Chapter 13 (Leasing)


Page 7 of 7

Enclosures:

- Form 44.20 (AOC Variation)

- Leasing- or Management-Agreement

- Extract from the chamber of commerce representing the company XYZ Holding Inc.

- Certificates of third party legal liability insurance and passengers legal liability insurance

9.2. Appendix 2 – Homepage addresses/useful links Ch. 9.2 ISS 1 / REV 2 / 01.12.2016

AEA http://www.aea.be/AEAWebsite/Presentation_Tier/Pr_Home.aspx

ATA http://www.air-transport.org/

EASA http://www.easa.eu.int/home/index.html

ECAC http://www.ecac-ceac.org/index.php

EUR Lex http://eur-lex.europa.eu/de/index.htm (laws and agreements)

EUROCONTROL http://www.eurocontrol.be/corporate/public/subsite_homepage/index.html

FOCA https://www.bazl.admin.ch/

FSF http://www.flightsafety.org/home.html

IATA http://www.iata.org/index.asp

ICAO http://www.icao.int/

IHS http://www.ihs.com/

NAT PCO http://www.nat-pco.org/index.htm

http://www.aea.be/AEAWebsite/Presentation_Tier/Pr_Home.aspx

http://www.air-transport.org/

http://www.easa.eu.int/home/index.html

http://www.ecac-ceac.org/index.php

http://eur-lex.europa.eu/de/index.htm

http://www.eurocontrol.be/corporate/public/subsite_homepage/index.html

https://www.bazl.admin.ch/bazl/en/home/specialists/air-transport/operation/aircraft-companies/complex-aeroplanes/commercial-flight-operators/initial-and-variation-of-an-air-operator-certificate--aoc-.html

http://www.flightsafety.org/home.html

http://www.iata.org/index.asp

http://www.icao.int/

http://www.ihs.com/

http://www.nat-pco.org/index.htm