Pre-Application Phase: Initial Inquiry, Requirements and POPS Form

The Pre-Application Phase Version: 2.
1 Version Date: 07/30/2012
LESSON PLAN INFORMATION SHEET

Sponsor ICAO Code Number
AFS-50 ICAO/GSI/AIR/CERT
Course # & Name: 18701, GSI – Airworthiness – Approved Maintenance Organization

and Air Operator Certification
Lesson Title & TAG: The Pre-Application Phase - PRE
Lesson Number: 02
Version: 2.1
Version Date: 07/30/2012
Duration (includes breaks): 3 hours and 40 minutes
Lesson Overview:
This lesson covers the Pre-Application Phase.
Visuals:
SL02-1-PRE through SL02-31-PRE
Training Aids:
Other Pertinent Information:

Reference document, AMO-MAP-001 is needed to complete the mastery test associated with this
lesson.
Computer File Names:

Lesson Plan: LP02-PRE-AMO.pdf
PowerPoint Presentation: SL02-PRE-AMO.ppt
Student Guide: SG02-PRE-AMO.pdf
Mastery Tests & Activities: MT02-PRE-AMO.pdf

MTK02-PRE-AMO.pdf
Other Files:
Instructor References (as revised):

Regulations Other Documents
• MCAR Part 6: Approved Maintenance Organisation • AMO-MAP-001
• MCAR references are version 2.6 (Nov 2011) • AMO-POPS
• Link:
http://www.faa.gov/about/initiatives/iasa/mcar/
18701, GSI – Airworthiness – AMO & AOC Lesson Plan

Page 1 of 34
FOR TRAINING PURPOSES ONLY
The Pre-Application Phase Version: 2.1 Version Date: 07/30/2012
Date Revision
Description of Changes: Change Person:
Revised: No.:
Updated template to conform to current AFS 500 Style Guide
01/2011 2.0 Serco CTR
version.
Updated graphics and ppt. template to a more current
01/2011 2.0 Serco CTR
theme.
01/2011 2.0 Updated references according to latest version of MCARS Serco CTR
Removed Specific Operation Provisions and replace with

01/2011 2.0 Serco CTR
Operations Specifications.
Updated POPS form item line 12. Proposed Training Aircraft
01/2011 2.0 Serco CTR
or Simulator applies only to AOC.
01/2011 2.0 Added email as a method for initial inquiry. Serco CTR
Updated MCAR references (from version 2.6 dated Nov.

07/2012 2.1 S. Wagner
2011)

Page 2 of 34
Lesson Table of Contents
I. Introduction .......................................................................................... 5
A. Review ............................................................................................. 5
B. Purpose............................................................................................ 6
C. Objectives ........................................................................................ 7
D. Overview .......................................................................................... 8
II. Body ..................................................................................................... 9
A. Initial Inquiry.................................................................................... 9
B. Regulatory Requirements and Guidance ............................................ 15
C. The POPS Form ............................................................................... 22
III. Summary ............................................................................................. 30
A. Review ............................................................................................ 30
B. Objectives ....................................................................................... 31
C. Mastery Test ................................................................................... 31
D. Preview ........................................................................................... 33

Page 3 of 34
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Page 4 of 34
PROMPTS CONTENT NOTES
I. INTRODUCTION
SL-1-PRE
A. REVIEW
In the course overview, you learned that the

certification process has five phases.
You learned about the Model Civil Aviation Act

and Model Civil Aviation Regulations (MCARs) on
which this course is based. The MCARs support
the certification process.
You also learned that this course will provide

practice in certification using Model Directives and
Advisory Materials.

Page 5 of 34
B. PURPOSE
SL-2-PRE
The time spent on the Pre-Application Phase will

result in more expeditious handling of the Formal
Application.
In the Pre-Application Phase, the applicant is

provided with current application information and
guidance.
This phase is designed to advise the applicant of

the requirements of the rules and the CAA
guidance material pertaining to an Approved
Maintenance Organisation.

Page 6 of 34
C. OBJECTIVES
SL-3-PRE
Objective
Given an applicant’s submitted Prospective

Operator’s Pre-Assessment Statement (POPS)
form and in accordance with AMO-MAP-001
and MCAR Part 6, you will be able to identify
and list 4 of 6 errors or omissions in the form.
Given an applicant’s submitted Prospective

Operator’s Preassessment Statement (POPS) form
and in accordance with AMO-MAP-001 and MCAR
Part 6, you will be able to identify and list four of
six errors or omissions in the form.

Page 7 of 34
D. OVERVIEW
SL-4-PRE
Overview
Initial Inquiry by Applicant

Regulations and Guidance
POPS Form
Pre-
Pre-Application Meeting
Operations Specifications
The initial inquiry of an applicant seeking

certification of an AMO during the Pre-Application
Phase will be covered in this lesson.
The documents and information that are provided

to the applicant during the Pre-Application Phase
will also be covered.
This lesson will cover some rules on using the

MCARs.
This lesson will also cover the review of the

Prospective Operator’s Pre-Assessment
Statements, known as the POPS.

Page 8 of 34
II. BODY
A. INITIAL INQUIRY
SL-5-PRE
Initial Inquiry
The inquiry is made by individuals or an

organisation by means of a:
Letter Email Phone Call Personal Visit
SL-6-PRE

Page 9 of 34

SL-7-PRE
SL-8-PRE
Compliance
The applicant must be

willing to comply with
CAA regulations in order
to be certified.

Page 10 of 34

SL-9-PRE
The issuance of an AMO certificate and

Operations Specifications is based on the
applicant fulfilling the required responsibilities.
SL-10-PRE
Not Recommended
Altering the Certification Process is NOT

recommended
— it’s like skipping a phase.
10

Page 11 of 34

SL-11-PRE
The applicant is provided with a standard

information package, which includes:
• The Prospective Operator’s Pre-assessment

Statement (POPS) to be completed by the
applicant.
• An Advisory Pamphlet (AMO-MAP-001), which
provides directions on completing the POPS.
• Any other CAA Directive and Advisory material
necessary for certification.
The applicant is instructed to plan for the

attendance of all key management personnel
during the Pre-Application Meeting and the Formal
Application Meeting.
The applicant is instructed to plan to submit the

resumes and qualifications of all key management
personnel at the Pre-Application Meeting.

Page 12 of 34
1. Knowledge Check
SL-12-PRE
 Question:
What phase is associated with the initial
inquiry?
 Answ er:

Page 13 of 34

SL-13-PRE
 Question:
How is the initial inquiry made?
 Answ er:

Page 14 of 34
B. REGULATORY REQUIREMENTS AND

GUIDANCE
SL-14-PRE
MCAR 6.2.1.5
An application is
submitted on a
form and in a
manner
prescribed by
the Authority.
14
The regulatory requirements for the certification

of an AMO are found in MCAR Part 6.
 Question: Are there any questions

concerning 6.2.1.5 or the notes to 6.2.1.5?

Page 15 of 34

SL-15-PRE
During the Pre-Application Phase, as with the

other phases, the inspector’s work includes:
SL-16-PRE
GSI Inspector’s Work Includes:
Assisting
Evaluating
Inspecting
Assessing
Reporting
Making Recommendations
16
Making recommendations when performing

certification functions must be based on fact—not
opinion—and must be carefully and fully
documented.

Page 16 of 34
It is important for the CAA inspector to realize

that the simplicity or complexity of the
certification process is based on the Inspector’s
assessment of the applicant’s proposed operation.
The inspector must also realise that some

applicants, even though they are proposing a
simple operation, may lack basic understanding of
what is required for certification.
Other applicants may propose a very complex

operation but be well prepared and
knowledgeable.

Page 17 of 34

SL-17-PRE
As mentioned previously, model advisory

pamphlets provide guidance to the applicant
concerning the certification process.
By following the guidance in AMO-MAP-001, the

applicant will be in compliance with all regulatory
requirements of MCAR Part 6 for certification of
an AMO.

Page 18 of 34

SL-18-PRE
A CAA Model Advisory Pamphlet to Part 6 was

developed to provide the direction and guidance
for the certification process.
Part 6 and the Directive to Part 6 will be used for

the certification process followed in this course.
Both can be used as a model by States in
developing standards for AMO certification.

Page 19 of 34
1. Knowledge Check
SL-19-PRE
 Question:
What MCAR Part addresses the application
for an AMO certificate?
 Answ er:

Page 20 of 34

SL-20-PRE
 Question:
What mechanism does the CAA use to
provide essential overall instruction,
guidance, and requirements for CAA
personnel to accomplish their job functions
and to provide explanatory material to the
aviation community?
 Answ er:

Page 21 of 34
C. THE POPS FORM
SL-21-PRE
What is the POPS?
The POPS form has many uses:

– Its submission is the applicant’s intent to start the
certification process.
– It is an indication for the CAA to commit resources
and plan activities.
– It is used to obtain a certification number to allow
the CAA to keep track of each specific certification
in progress.
21
SL-22-PRE
Reviewing the POPS Form
The GSI Inspector’s POPS form review

responsibilities include:
– Be alert to your own limitations.
– Coordinate with other specialties.
– Fully document all deficiencies.
– Communicate deficiencies with the applicant and
CAA management personnel.
– Recommend rejecting or accepting the POPS form
as is.
22

Page 22 of 34

SL-23-PRE
POPS Form
AOC only
23

Page 23 of 34
The following sections are covered during the

cursory review of the POPS.
SL-24-PRE
POPS Form Section 1A
Prospective Operator’s Pre-assessment Statement (POPS)

(To be completed by Air Operator or Approved Maintenance Organisation)
Section 1A. To be completed by all applicants
1. Name and mailing address of company (include 2. Address of the principal (main) base where
business name if different from company name): operations will be conducted (include address
of secondary base of operation, if appropriate;
do not use a post office box):
3. Proposed start-up date: 4. Requested company identifier in order of preference:

1. 2. 3.
5. Management and key staff personnel
Name (surname) Title Telephone and address if different from
(first name/s) company (include country code)
24
Section 1A, used by the AMO:

• Item 1 – Company name and mailing address
• Item 2 – Physical address of the principal
(main) base of operations
• Item 3 – Proposed start-up date. Ninety days
after formal application submitted (AMO-MAP
001, 6(a), p. 5)
• Item 4 – Requested company identifier
• Item 5 – Management and key staff personnel,
name, title, telephone number, and address

Page 24 of 34

SL-25-PRE
POPS Form Section 1B
Section 1B. To be completed by Air Operator and/or Approved Maintenance Organisation

6. Air Operator intends to perform its maintenance as an AMO (complete block 7 and 8)
Air Operator intends to arrange for maintenance and inspections of aircraft and associated
equipment to be performed by others (complete blocks 7 and 11)
Air Operator intends to perform maintenance under an equivalent system (complete blocks 7
and 11)
Approved Maintenance Organisation (complete block 8)
7. Proposed type of operation (check 8. Proposed type of Approved Maintenance Organisation
as many as applicable) rating(s)
Air Operator Certificate – Part 8/9 Approved Maintenance Organisation Part 6
Passengers and Cargo Airframe Computers
Cargo Only Powerplant Instrument
Scheduled Operations Propeller Accessory
Charter Flight Operations Avionics Specialised Service
25
Section 1B, used by AOC and AMO:

• Item 6 – To be completed by the AMO
• Item 8 – Proposed Type of AMO rating(s)

Page 25 of 34

SL-26-PRE
POPS Form Section 1C
Section 1C. Blocks 9 and 10 to be completed by Air Operator.

9. Aircraft data (For foreign-registered aircraft, 10. Geographic areas of intended operations and
please provide a copy of the lease agreement) proposed route structure
Numbers and types of Number of passenger seats
aircraft (by make, model, or cargo payload capacity
and series)
26
Section 1C used by AOC only

• Items 9 and 10 – To be completed by an AOC

Page 26 of 34

SL-27-PRE
POPS Form Section 1D
Section 1D. To be completed by all applicants

11. Additional information that provides a better understanding of the proposed operation or business
(Attach additional sheets, if necessary)
12. Proposed training (aircraft and/or simulator for AOC only)
13. Type of organisation
The statement and information contained on this form denotes an intent to apply for a CAA certificate.
Signature Date (day/month/year) Name and title
27
Section 1D used by AOC and/or AMO:

• Item 11 – To provide additional information
that provides a better understanding of the
proposed operation.
• Item 12 – To provide its proposed training.
This is completed for AOC only.
• Item 13 – Type of organisation (individual,
partnership, corporation, company, Ltd., etc.),
with the appropriate signature, date, printed
name, and title.
• Signature block by accountable manager

Page 27 of 34

SL-28-PRE
POPS Section 2
Section 2. To be completed by the CAA official

Received by (name and office): Date received
(day/month/year)
Date forwarded to Director Civil Aviation (DCA) For: Action Information only
(day/month/year):
Remarks:
28
Section 2, used by the CAA

• Name, office, and date in which POPS was
received by the CAA
• Date the POPS was forwarded to the Director
of Civil Aviation Office
• CAA Remarks

Page 28 of 34

SL-29-PRE
POPS Section 3
Section 3. To be completed by the Office of the Director Civil Aviation

Received by: Pre-Application number:
Date (day/month/year): Assigned certification number:
Local office assigned responsibility: Date forwarded to local office (day/month/year):
Remarks:
29
Section 3, used by the Office of the Director Civil

Aviation, DCA
• Name and date POPS was received

• Pre-Application number and assigned
certification number
• Local office assigned responsibility by the DCA
• Date POPS was forwarded to the local office
assigned responsibility
• CAA remarks
 Question: What questions do you have

about the POPS form or anything else we
have covered in this lesson?

Page 29 of 34
III. SUMMARY
SL-30-PRE
Summary
The initial inquiry of the applicant
The documents and information

provided to the applicant
The POPS form
30
A. REVIEW
This lesson covered the following topics:
• Initial Inquiry
• Regulatory Requirements and Guidance
provided to the applicant
• The POPS Form

Page 30 of 34
B. OBJECTIVES
SL-31-PRE
Objective
Given an applicant’s submitted POPS form, and

in accordance with AMO-MAP-001 and MCAR
Part 6, you will be able to identify and list 4 of
6 errors or omissions in the form.
31
C. MASTERY TEST
Estimated Time:
Total Time= 40 minutes (30 minutes to complete
test and 10 minutes for debrief)
Materials Needed:
• AMO Lesson 02 Mastery Test POPS Evaluation
(Student copy)
• AMO Lesson 02 Mastery Test Answer Key
(Instructor copy)
• AMO-MAP-001

Page 31 of 34
Directions:
• Direct students to the lesson test in their
Student Guides and AMO-MAP-001 in their
Inspector Handbook/Reference Binder.
• Read the following instructions, which are

included in the students’ Mastery Test.
Evaluate the attached POPS form against
the instructions for completing one, which is
located in AMO-MAP-001 in your Inspector
Handbook/Reference Binder. List any errors
on the attached answer sheet. You should
document your justification by explaining
the error and describing why it is an error in
the space provided. Include where in AMO-
MAP-001 you found your answer. Note: The
date 00/00/00 is not an error.
• They will need to provide the appropriate

references to the indicated errors and indicate
whether the POPS can be accepted or should
be rejected. Students must identify four of the
six errors or omissions on the POPS form.
• After the students have completed the test,

collect worksheets and evaluate each one
using the AMO 02 Mastery Test Answer Key.
• Ensure there are enough copies of the answer

key (corrected POPS) for each student.
• It may be appropriate to dismiss the class on a

break at this time.

Page 32 of 34
Debrief:
• Redistribute the students’ graded answer
sheets and distribute the answer key to
students.
• Provide feedback on the answers and the

answer key.
• Discuss why answers are right or wrong.
• Ask students if they have any questions,

comments, or concerns.
D. PREVIEW
In the next lesson, we will review the conduct of a End of Lesson 02
Pre-Application Meeting.

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Pre-Application Phase: Initial Inquiry, Requirements and POPS Form

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The Pre-Application Phase Version: 2.

1 Version Date: 07/30/2012

LESSON PLAN INFORMATION SHEET

Course # & Name: 18701, GSI – Airworthiness – Approved Maintenance Organization

Other Pertinent Information:

Computer File Names:

PowerPoint Presentation: SL02-PRE-AMO.ppt

Student Guide: SG02-PRE-AMO.pdf

Mastery Tests & Activities: MT02-PRE-AMO.pdf

Instructor References (as revised):

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

Removed Specific Operation Provisions and replace with

Updated MCAR references (from version 2.6 dated Nov.

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

Lesson Table of Contents

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

This page is intentionally left blank.

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

In the course overview, you learned that the

You learned about the Model Civil Aviation Act

You also learned that this course will provide

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

The time spent on the Pre-Application Phase will

In the Pre-Application Phase, the applicant is

This phase is designed to advise the applicant of

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

Given an applicant’s submitted Prospective

Given an applicant’s submitted Prospective

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

Initial Inquiry by Applicant

The initial inquiry of an applicant seeking

The documents and information that are provided

This lesson will cover some rules on using the

This lesson will also cover the review of the

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

The inquiry is made by individuals or an

Letter Email Phone Call Personal Visit

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

The applicant must be

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

The issuance of an AMO certificate and

Altering the Certification Process is NOT

— it’s like skipping a phase.

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

The applicant is provided with a standard

• The Prospective Operator’s Pre-assessment

The applicant is instructed to plan for the

The applicant is instructed to plan to submit the

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

18701, GSI – Airworthiness – AMO & AOC Lesson Plan

PROMPTS CONTENT NOTES

B. REGULATORY REQUIREMENTS AND