OPERATIONS ADVISORY NOTICE (OAN)
OAN Number: 12/18
Issue Date: 21 August 2023
Rev 02
Flight Operations Inspectorate
Civil Aviation Directorate
Transport Malta
Subject: Safety Oversight of AOC holders – Guidance Malta Transport Centre
to Operators Pantar Road
Lija LJA 2021 Malta
1. INTRODUCTION
The purpose of this Operations Advisory Notice is to provide organisations holding an Air
Operator Certificate (AOC), with details of regulatory matters relating to the continuation of
AOCs.
Transport Malta – Civil Aviation Directorate (TM CAD), acting on behalf of the State, is
responsible for discharging the highest level of public safety in respect of all aspects of aviation
activity for which it has regulatory responsibility.
Malta operates a safety oversight system where the State, through TM CAD and the aviation
community share responsibility for the safe and efficient conduct of civil aviation activities.
In the case of operators to whom an AOC has been issued, TM CAD exercises its duty to
ensure that the operator continues to operate safely through an oversight programme
programme.
2. OVERSIGHT OF OPERATORS
TM CAD has a responsibility to ensure that AOC holders continue to maintain and operate
their aircraft safely. The function of the oversight programme is to confirm the effectiveness
of the operator’s organisational structure and the competence of the management team in
discharging their duties in accordance with the legislation.
An inspector will be tasked with the management of the oversight programme for each AOC
holder. In some cases the inspectors may be assisted by one or more inspectors (specialising
in. Dangerous Goods, Cabin Crew, ETOPS etc) as necessary.
The HFOI is responsible to maintain an oversight plan for the operator taking into
considerations the results of past oversight activities and also commensurate with the size
and complexity of the operation.
3. NOTIFICATION & PRE-VISIT QUESTIONNAIRE
Six weeks prior to the audit, the Flight Operations Inspectorate will forward the operator
notification of the audit and a pre-audit questionnaire. This is to be completed by the operator
and returned to the Flight Operations Inspectorate no later than 2 weeks before the audit. This
questionnaire will allow the audit team to prepare for the annual inspection of the operator.
The pre-audit questionnaire contains self-explanatory instructions for compilation.
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During the opening meeting, the operator is requested to provide the audit team with a brief
overview (no more than 15 minutes) of the current operation including an introduction of the
nominated/management personnel, any changes made since the last annual/biennial audit
and any future plans which they wish to discuss.
4. ANNUAL/BIENNIAL PROGRAMME OF INSPECTIONS
The first audit following the grant of a new AOC is conducted as an AOC+4 inspection, which
is conducted 4 months post certification. This inspection comprises checks related to returned
flight documentation / technical records, sampling of crew training records, review of the
management system, and reviewing the set-up of FTL scheme (for operators operating under
ORO.FTL).
Thereafter, the inspections listed below will form part of the Annual/Biennial Audit; however
some inspections can be conducted at intervals throughout the surveillance period. Initially
operators commence on a 12-month cycle however, however it is expected that subsequently
the oversight cycle will be adjusted to a 24-month period. On completion of the annual audit,
a risk assessment is conducted to determine the overall risk of the operator and this then
assists in determining the oversight cycle.
a. Returned Flight Documents (Check 1)
This inspection relates to documents completed during flight. These documents must
be retained by the operator and should enable the reconstruction of the series of flights.
Documents for each flight would include the operational flight plan, performance
calculations, NOTAMS, weather information, fuel calculations, journey log, mass and
balance details and other items e.g. NOTOC, NAT plotting charts etc as appropriate.
In the past, operators were provided with a date for which 12 sectors would be reviewed
from that date. This is no longer the process in practice. The sectors will be selected
during the audit.
b. Technical Records (Check 2)
An inspection of the aircraft technical log system and all other technical documentation,
including the Minimum Equipment List (MEL), to ensure compliance with the approved
maintenance and operational requirements detailed in the regulations as well as mass
and balance documentation.
c. Crew Records Check (Check 3)
A review of the records of selected crew members (flight and cabin) to confirm that all
required initial qualifications, conversion courses and recurrent training has been
completed. This check will also confirm that crew members are technically qualified
and in possession of a valid medical certificate for their allocated duties. The operator
needs to demonstrate compliance with OAN 04/17R1 and OAN 04/18.
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d. Flight Time Limitations In Accordance With Sub-part Q (Check 4A)
A review of crew member’s flight and duty limitations documentation is conducted to
ensure compliance with Sub-part Q and the application Operation Standard Circular
(OSC 08/08).
e. Flight Time Limitations In Accordance With Part FTL and Certification
Specifications (Check 4B)
A review of crew member’s flight and duty limitations documentation is conducted to
ensure compliance with Part FTL and the Certification Specifications.
f. Compliance Monitoring (Check 5A)
The main objectives of Check 5A is to ensure that the compliance system, if fully
functional and that the following criteria are specifically present;
i. Compliance System Documentation;
ii. Functions and responsibilities of the Compliance Manager are clearly defined;
iii. Accountabilities and responsibilities of the system are clearly defined; and
iv. Compliance system covers all the requirements as required by Part ORO.
g. Compliance Monitoring (Check 5B)
The purpose of Check 5B is to check the effectiveness of the compliance monitoring
programme.
Note: Check 5A (f) will be conducted the first year and after the first year of operation,
check 5B (g) will be conducted.
h. OCC/Facility and Out Station (Checks 6A and B)
The purpose of this inspection is to assess the suitability of an operator's organisation and
station facilities in relation to the nature and scale of the operations for which he is
certificated. The check consists of two main areas of inspection;
i. Check 6A Operational Control and Facilities / PPoB
ii. Check 6B Out Station Facility
This inspection will verify that adequate resources are in place at base for all operational
personnel to enable the planning and facilitation of a safe operation. The inspection will
review ground operations procedures and processes to ensure compliance with all
regulations and will include an assessment of the operator’s organisation and the
effectiveness of the management in relation to the scale and nature of the operation. This
check also includes requirements to the verify the Principal Place of Business of an
operator (PPoB).
The Out Station Facility will be checked every 3 years.
i. Operations Manual (Checks 7)
This check is to confirm that all operational policies, procedures and instructions are in
compliance with the regulations.
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The operations manual must be fully relevant to the type of operation being undertaken.
The manual should avoid repetition of rule text giving little or no guidance to crews and
should be customised to a high degree. Manuals that are too voluminous can create
significant difficulty for the user.
The check will confirm that the operator has incorporated all short-term notification into
the Operations Manual as permanent revision and that, the ‘approval/acceptance’ and
‘Operations Approval’ documents reflect the correct revision status of the various parts of
the Operations Manual.
Note: This check will not normally be part of the on-site audit.
j. Flight / Cabin Inspection (Checks 8)
Flight Inspection (Check 8)
This check is to confirm that all operational policies, procedures and instructions are in
compliance with the regulations.
The flight inspection provides the opportunity to observe and evaluate the in-flight
operation within the total operational environment of the air transportation system. This
inspection is to check that the operation of the flight deck is in accordance with procedures
published in the Operations Manual and also to check the validity of aircraft documents
and crew licences.
These inspections are further sub-divided into the below operator groups;
Group 1 – operators conducting CAT operations with aircraft with an (Maximum
Operating Passenger Seating Capacity (MOPSC) of 19 seats or less.
Group 2 - operators that conduct CAT operations with aircraft with an MOPSC of more
than 19 seats or with an MCTOM of more than 45360kg.
This will include a flight/training inspection on different types (if applicable) as defined by
the oversight plan.
Cabin Inspection (Check 8A)
This inspection is to check that the operation of the cabin is in accordance with procedures
published in the Operations Manual and will also check cabin safety equipment,
procedures of cabin crew in relation to safety and security and the validity of cabin crew
qualification certificates. Cabin inspections are only applicable to CAT operations where
qualified cabin crew operations are required.
k. Ramp Inspection (Check 9)
This inspection is carried out on a random basis and closely follows the procedures used
in SAFA/SACA inspections.
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The inspection will be carried out after arrival or pre-departure and will check for
compliance with equipment regulations, fuelling procedures, crew licences and aircraft
documents, push-back and de-icing procedures, control of cabin baggage, correct
stowage of hold baggage, cargo/dangerous goods etc.
l. Training Inspection (Check 10)
An inspection of the training facilities used by the Operator will be carried out. This will
include training devices and training facilities to ensure they are adequate and
appropriately equipped for each element of the required training to meet the requirements.
This may include the observation of training conducted by virtual means.
TM CAD issues user approvals on the basis of simulator evaluation and qualification by
another NAAs and submission from the operator as to the suitability of the particular device
in relation to the operator’s aircraft. TM CAD may need to evaluate the simulator in certain
cases to identify what training may be conducted.
Operators approved for mixed/baseline EBT programme will be assessed for compliance
at intervals not exceeding 18 months.
Flight Operations (Training) Inspectors will also assess the competence of authorised
company examiners.
m. Dangerous Goods Inspection (Check 12)
This inspection is to review the operator’s training and qualification programme in relation
to the carriage of and exposure to dangerous goods for both types of operators, those who
are approved and those who are not approved to carry dangerous goods.
The inspections will determine whether the DG training is in line with the DG CBTA model
irrespective of whether the operator is approved to carry or no carry.
For operators with approval for the carriage of dangerous goods the inspection will focus
on procedures established by the operator or handling agent and the facilities provided for
the handling of dangerous goods. The inspection will also check to ensure loading is
carried out according to the requirements.
n. Safety Management System Inspection (Checks 13, 13A & 13B)
The inspection of the operator’s SMS will confirm that published safety accountabilities
continue to be observed at all levels within the organisation and that the SMS continues
to be the responsibility of a senior manager with direct access to the Accountable Manager.
The operator will be required to demonstrate that the necessary levels of communications
and feedback in relation to safety events and incidents continues to reduce hazards and
implement necessary remedial action.
The inspection will also confirm that regular reviews within the organisation at Accountable
Manager level are being carried out to ensure the system is functioning and that corrective
actions which have been identified have been executed.
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Check 13 will be carried out on initial certification. The purpose of this inspection is to
ensure all the required elements of the Safety Management System is documented and in
place.
Check 13A this check is carried out for operators who operate aircraft >27,000 kg and
other aircraft who have elected to use flight data monitoring. FDM is considered to be an
inherent part of the whole Safety Management System of an operator. The FDM effectively
allows an operator to compare and verify if their SOP’s match every day line operations. It
also allows the operator to identify areas of major risks.
FDM programme review will determine whether it is compliant with the EOFDM working
Group best practise models from EASA in terms of:
1. Memorandum of understanding definition.
2. Set up of FDM algorithms to suit the operations.
3. Use of pre-accident precursors to determine the likelihood of high risk.
4. Use of FDM KPIs in line with EASA EOFDM.
This in turn shall be fed back to the management system for review and analysis. Trend
analysis is also a commonly associated process. Trends should be one of the end products
of a pro-active FDM programme.
Check 13B will be carried out after the 1st year of operation onwards. The purpose of this
inspection is to check that the documented procedures are implemented, effective and
adequate for the size and scope of the operation in its present form.
o. Accountable Manager Meeting (Check 14)
A formal meeting with the Accountable Manager takes place every year. This meeting is a
review conducted by the Director General, who may delegate the task to the assigned Flight
Operations Inspector and the Head of Flight Operations Inspectorate.
The Flight Operations Inspector will forward their objective assessment of the operator’s
continued compliance with the regulations to the Head of Flight Operations Inspectorate
together with recommendations as to the oversight programme for the ensuing 12 or 24
months.
5. AOC VARIATION & OTHER CHANGES
Following the completion of an approval process, the inspectorate will carry out oversight
activities with a particular focus on crew training procedures, operational control and or
other areas as required. These may be in the form of ad-hoc short notice inspections which
will be notified post approval. Operators are required to provide access to all the necessary
records and make the required personnel for this inspection.
The risk profile of an operator will be reviewed with the application and may be subject to
change.
6. UNANNOUNCED AND ADHOC INSPECTIONS
TM CAD may, at any point, conduct unannounced or adhoc inspections as required by the
oversight programme.
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In accordance with national laws, Regulation (EU) No. 2018/1139 and its relevant
implementing rules, organisations shall provide full access to any documentation, records,
equipment, aircraft and facilities which the Director may wish to inspect or examine.
In this regard the interpretation of providing access to documentation for the of purpose of
examining or inspecting data, may mean one or more of the below:
- Onsite physical access to documents, records, data, a system, aircraft, facility, etc.
- Direct access to a database or system through password access (NB: only viewing
rights are required) for retrieval of data, documents, records, etc.
- Submission to TM CAD, electronic or physical copies of the data, documents or
records for an analysis to be conducted offsite.
The means of access to the above shall be agreed upon by TM CAD with the operator. If
access is refused or cannot be given, a non-compliance shall be issued.
6. GUIDANCE ON FINDINGS
A Level 1 finding is any significant non-compliance with the regulations which lowers the
safety standards and seriously affects flight safety.
A Level 2 finding is any non-compliance with the regulations which could lower the safety
standard and possibly affect flight safety.
An observation is recorded by the inspector when a process or practice is not in
accordance with industry best practice or guidance material, or indicates a particular trend
that could lead to a non-compliance in the future.
After receipt of a finding, the operator shall define a corrective action plan, with specific
emphasis on the root cause, and demonstrate that corrective action has been taken to the
satisfaction of the TM CAD within a period agreed with the TM CAD.
When evidence is found that reveals non-compliance with the regulations TM CAD will
take the following actions.
For level 1 findings, immediate action will be taken to revoke, limit or suspend the AOC in
whole or in part, depending on the extent of the level 1 finding, until successful corrective
action has been taken by the operator.
For level 2 findings, TM CAD will grant a corrective action period appropriate to the nature
of the finding. This period shall not be more than 3 months unless an agreed re-compliance
date is accepted subject to a satisfactory corrective action plan.
In case of failure to comply with the timescale granted by TM CAD, action will be taken to
suspend the AOC in whole or in part.
Findings are issued through Centrik and must be responded to through Centrik. Operators
will be provided with 15 days to determine the root cause analysis and the corrective action
plan. Unless the operator has been issued with a level 1 finding, there is no need to fill out
the “immediate corrective action” field.
Comprehensive instruction on the compilation of a Root Cause Analysis has been
published through OAN 06/18.
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7. COMMUNICATIONS – NOMINATED PERSONS & INSPECTORS
A nominated person’s contact with the TM CAD is with the assigned Inspector. It is desirable
that both individuals develop a professional working relationship and electronic mail is an
acceptable means of communication for day-to-day matters. For more formal
communication such as AOC variation requests, Operations Manual proposed amendments
etc, where a TM CAD approval or acceptance is required, it is necessary to make a
submission in writing. Approval is never given verbally.
To enhance communication, especially in relation to operators with whom there is limited
contact, it is suggested that either a telephone call from the operator to the assigned
inspector from time to time should take place.
Nominated Persons must notify TM CAD of long-term absences from their posts and provide
details of their delegates contact details.
Flight Operations Inspectorate
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