[F1 [X1ANNEX Vd U.K. (Part-CAO)
Editorial Information
X1 Inserted by Corrigendum to Commission Implementing Regulation (EU) 2019/1383 of 8 July 2019 amending and correcting Regulation (EU) No 1321/2014 as regards safety management systems in continuing airworthiness management organisations and alleviations for general aviation aircraft concerning maintenance and continuing airworthiness management (Official Journal of the European Union L 228 of 4 September 2019).
Textual Amendments
F1 Inserted by Commission Implementing Regulation (EU) 2019/1383 of 8 July 2019 amending and correcting Regulation (EU) No 1321/2014 as regards safety management systems in continuing airworthiness management organisations and alleviations for general aviation aircraft concerning maintenance and continuing airworthiness management (Text with EEA relevance).
CAO.1 General U.K.
For the purpose of this Annex (Part-CAO):
the competent authority shall be:
for organisations having their principal place of business in a Member State, the authority designated by that Member State;
for organisations having their principal place of business in a third country, the Agency.
‘ owner ’ means the person responsible for the continuing airworthiness of the aircraft, including the following persons:
the registered owner of the aircraft;
the lessee in the case of a leasing contract;
the operator.
SECTION A U.K. ORGANISATION REQUIREMENTS
CAO.A.010 Scope U.K.
This Annex establishes the requirements to be met by a combined airworthiness organisation (CAO) in order to be issued, upon application, an approval for the maintenance and continuing airworthiness management of aircraft and components for installation thereon, and to continue carrying out those activities, where such aircraft are not classified as complex motor-powered aircraft and are not listed in the air operator certificate of an air carrier licensed in accordance with Regulation (EC) No 1008/2008.
F2CAO.A.015 Application U.K.
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Textual Amendments
F2 Deleted by Commission Implementing Regulation (EU) 2020/270 of 25 February 2020 amending Regulation (EU) No 1321/2014 as regards transitional measures for organisations involved in the continuing airworthiness for general aviation and continuing airworthiness management and correcting that Regulation (Text with EEA relevance).
CAO.A.017 Means of compliance U.K.
[F3Alternative means of compliance to the acceptable means of compliance adopted by the Agency may be used by an organisation to demonstrate compliance with Regulation (EU) 2018/1139 and its delegated and implementing acts.]
When an organisation wishes to use alternative means of compliance, it shall, prior to using it, provide the competent authority with a full description of those alternative means of compliance. That description shall include an assessment demonstrating compliance of alternative means of compliance with Regulation (EU) 2018/1139 and its delegated and implementing acts.
The organisation may use those alternative means of compliance subject to prior approval by the competent authority, and upon receipt of the notification as provided for in point CAO.B.017.
Textual Amendments
F3 Substituted by Commission Implementing Regulation (EU) 2020/270 of 25 February 2020 amending Regulation (EU) No 1321/2014 as regards transitional measures for organisations involved in the continuing airworthiness for general aviation and continuing airworthiness management and correcting that Regulation (Text with EEA relevance).
CAO.A.020 Terms of approval U.K.
The CAO shall specify the approved scope of work in its combined airworthiness exposition (CAE), as provided for in point CAO.A.025.
For aeroplanes of more than 2 730 kg maximum take-off mass (MTOM) and for helicopters of more than 1 200 kg MTOM or certified for more than 4 occupants, the scope of work shall indicate the particular aircraft types. Changes to this scope of work shall be approved by the competent authority in accordance with point (a) of point CAO.A.105 and point (a) of point CAO.B.065.
For complete turbine engines, the scope of work shall indicate the engine manufacturer or group or series or type or the maintenance task(s). Changes to this scope of work shall be approved by the competent authority in accordance with point (a) of point CAO.A.105 and point (a) of point CAO.B.065.
A CAO which employs only one person for both planning and carrying out of all maintenance tasks cannot hold privileges for the maintenance of:
aeroplanes equipped with a turbine engine (in the case of aircraft-rated organisations);
helicopters equipped with a turbine engine or with more than one piston engine (in the case of aircraft-rated organisations);
complete piston engines of 450 HP and above (in the case of engine-rated organisations); and
complete turbine engines (in the case of engine-rated organisations).
For aircraft other than those mentioned in point (1), for components different from complete turbine engines and for non-destructive testing (NDT)-specialised services, the scope of work shall be controlled by the CAO in accordance with the procedure set out in point (a)(11) of point CAO.A.025. For maintenance of components different from complete engines, the scope of work shall be classified in accordance with the following system ratings:
C1: air conditioning and pressurisation;
C2: auto flight;
C3: communications and navigation;
C4: doors and hatches;
C5: electrical power and lights;
C6: equipment;
C7: engine;
C8: flight controls;
C9: fuel;
C10: helicopter and rotors;
C11: helicopter transmission;
C12: hydraulic power;
C13: indicating and recording system;
C14: landing gear;
C15: oxygen;
C16: propellers;
C17: pneumatic and vacuum systems;
C18: protection from ice/rain/fire;
C19: windows;
C20: structural;
C21: water ballast; and
C22: propulsion augmentation.
Organisations obtaining an approval in accordance with this Annex on the basis of an existing organisation approval issued in accordance with Subpart G or Subpart F of Annex I (Part-M) or Annex II (Part-145) in accordance with paragraph 4 of Article 4, shall include in the scope of work all the necessary details to ensure that the privileges are identical to the ones included in the existing approval.
The CAO approval shall be issued on the basis of the template set out in Appendix I to this Annex.
A CAO may fabricate, in conformity with maintenance data, a restricted range of parts for use in the course of undergoing work within its own facilities, as indicated in their CAE.
CAO.A.025 Combined airworthiness exposition U.K.
The CAO shall provide a manual containing at least the following information:
a statement signed by the accountable manager confirming that the organisation will at all times work in accordance with the requirements of this Annex and the CAE;
the CAE's scope of work;
the title(s) and name(s) of the person(s) referred to in points (a) and (b) of point CAO.A.035;
an organisation chart showing the chains of responsibility between the person(s) referred to in points (a) and (b) of CAO.A.035;
a list of certifying staff with their scope of approval, if such staff exist;
a list of staff responsible for the development and approval of aircraft maintenance programmes (AMPs) with their scope of approval, if such staff exist;
a list of airworthiness review staff with their scope of approval, if such staff exist;
a list of staff responsible for the issuance of permits to fly, if such staff exist;
a general description and location of the facilities;
procedures specifying how the CAO shall ensure compliance with the requirements of this Annex;
the CAE amendment procedure, as provided for in point (b) of point CAO.A.105.
The initial CAE shall be approved by the competent authority.
Amendments to the CAE shall be handled in accordance with point CAO.A.105.
CAO.A.030 Facilities U.K.
The CAO shall ensure that all necessary facilities, including adequate office accommodation are provided for it to be able to carry out all the planned work.
In addition, where the scope of approval of the organisation includes maintenance activities, the CAO shall ensure that:
specialised workshops, hangars and bays provide adequate protection from contamination and the environment;
secure storage facilities are provided for components, equipment, tools and material, under conditions ensuring that unserviceable components and materials are segregated from all other components, material, equipment and tools, that the manufacturer's instructions for storage are complied with and that access to the storage facilities is restricted to authorised personnel.
CAO.A.035 Personnel requirements U.K.
The CAO shall appoint an accountable manager, who shall have an authority for ensuring that all activities of the organisation can be financed so that those activities are carried out in accordance with the requirements of this Annex.
The accountable manager shall nominate a person or group of persons who shall be responsible for ensuring that the CAO is always in compliance with the requirements of this Annex. Those person(s) shall ultimately be responsible to the accountable manager.
All persons referred to in point (b) shall have the relevant knowledge, background and experience related to continuing airworthiness management or maintenance, as appropriate for their functions.
The CAO shall have sufficient appropriately qualified staff for it to be able to carry out the planned work. The CAO shall be entitled to use temporarily subcontracted staff.
The CAO shall assess and record the qualification of all personnel.
Personnel who carry out specialised tasks, such as welding, or non-destructive testing ( ‘ NDT ’ ) inspection other than colour contrast inspections shall be qualified in accordance with an officially-recognised standard
CAO.A.040 Certifying staff U.K.
Certifying staff shall comply with the requirements of Article 5. They shall only exercise their privileges to release maintenance if the CAO has ensured:
that these certifying staff meet the requirements of point (b) of point 66.A.20 of Annex III (Part-66) except when paragraph 6 of Article 5 refers to a national regulation of a Member State, in which case, they shall meet the requirements of such a regulation;
that these certifying staff have an adequate understanding of the relevant aircraft or aircraft component(s) to be maintained, or both, as well as of the organisation procedures required to perform such maintenance.
By derogation from point (a), in unforeseen circumstances where an aircraft is grounded at a location other than the main base where no appropriate certifying staff are available, the CAO contracted to provide maintenance support may issue a one-off certification authorisation, alternatively:
to one of their employees holding type qualifications for aircraft of similar technology, construction and systems;
to any person with no less than 3 years of maintenance experience and holding a valid ICAO aircraft maintenance licence rated for the aircraft type requiring certification, provided that there is no organisation approved in accordance with this Annex at that location and that the contracted CAO obtains and holds on file evidence of the experience and licence of that person.
The issuance of a one-off certification authorisation shall be reported by the CAO to the competent authority within 7 days of the issuance. The CAO issuing the one-off certification authorisation shall ensure that any such maintenance that could affect flight safety is rechecked.
By derogation from point (a), the CAO may use certifying staff qualified in accordance with the following requirements when providing maintenance support to operators involved in commercial operations, subject to appropriate procedures to be approved as part of the CAE:
for a repetitive preflight airworthiness directive (AD) which specifically states that the flight crew may carry out such an AD, the CAO may issue a limited certifying-staff authorisation to the pilot-in-command on the basis of the flight crew licence held, provided that the CAO ensures that sufficient practical training has been carried out by the pilot-in-command so he/she can accomplish the AD to the required standard;
in the case of aircraft operating away from a supported location, the CAO may issue a limited certifying-staff authorisation to the pilot-in-command, on the basis of the flight crew licence held, provided that the organisation ensures that sufficient practical training has been carried out so that such a commander can accomplish the task to the required standard.
The CAO shall record the details concerning certifying staff and maintain an up-to-date list of all certifying staff, together with details on their scope of approval, as part of the organisation's exposition.
CAO.A.045 Airworthiness review staff U.K.
In order for it to be approved to carry out airworthiness reviews and, if applicable, to issue permits to fly, a CAO shall have appropriate airworthiness review staff who shall comply with all of the following requirements:
they acquired experience in continuing airworthiness of at least 1 year for sailplanes and balloons and of at least 3 years for all other aircraft;
they hold an appropriate licence issued in accordance with Article 5 of this Regulation or an aeronautical degree or equivalent or experience in continuing airworthiness in addition to the referred to in point (1) of at least 2 years for sailplanes and balloons and at least 4 years for all other aircraft;
they acquired appropriate aeronautical-maintenance training.
Before the CAO issues an authorisation to an airworthiness review staff to perfom airworthiness review, the CAO shall nominate the person who will perform an airworthiness review of an aircraft under supervision of the competent authority or under the supervision of a person already authorised as airworthiness review staff of the CAO. If this supervision is satisfactory, the competent authority shall formally accept the staff to become airworthiness review staff.
The CAO shall ensure that its airworthiness review staff can demonstrate appropriate recent continuing airworthiness experience.
Each airworthiness review staff shall be identified in the CAE in a list that contains the airworthiness review authorisation referred in point (b).
The CAO shall maintain a record of all its airworthiness review staff, which shall include details of any appropriate qualification and a summary of relevant continuing airworthiness experience and training of the person concerned, as well as a copy of his or her authorisation. It shall retain that record for a period of at least 2 years after the date at which the person concerned no longer works for the CAO.
CAO.A.050 Components, equipment and tools U.K.
The CAO shall:
hold the equipment and tools specified in the maintenance data provided for in point CAO.A.055, or verified equivalents as listed in the CAE, as necessary for day-to-day maintenance within the scope of the organisation's approval;
have a procedure to ensure that it has access to all other equipment and tools necessary to carry out its work, used only on an occasional basis, where needed.
The CAO shall ensure that the tools and equipment it uses are controlled and calibrated to an officially recognised standard. It shall keep records of such calibrations and the standards used and comply with point CAO.A.090.
The CAO shall inspect, classify and appropriately segregate all incoming components in accordance with points M.A.501 and M.A.504 of Annex I (Part-M) or with points ML.A.501 and ML.A.504 of Annex Vb (Part-ML), as applicable.
CAO.A.055 Maintenance data and work orders U.K.
The CAO shall hold and use applicable current maintenance data specified in point M.A.401 of Annex I (Part-M) or in point ML.A.401 of Annex Vb (Part-ML), as applicable, in the performance of maintenance, including modifications and repairs. However, in the case of customer-provided maintenance data, it shall only be required to hold such data when the work is in progress.
Before the commencement of maintenance, a written work order shall be agreed between the CAO and the person or organisation requesting maintenance, in a manner that clearly establishes the maintenance to be carried out.
CAO.A.060 Maintenance standards U.K.
When performing maintenance, the CAO shall comply with all of the following requirements:
ensure that any person performing maintenance is qualified in accordance with the requirements of this Annex;
ensure that the area in which maintenance is carried out is well organised and clean (no dirt or contamination);
use the methods, techniques, standards and instructions specified in the maintenance data and work orders referred to in point CAO.A.055;
use the tools, equipment and material specified in point CAO.A.050;
ensure that maintenance is performed in accordance with any environmental limitations specified in the maintenance data referred to in point CAO.A.055;
ensure that proper facilities are used in case of inclement weather or lengthy maintenance;
ensure that the risk of multiple errors during maintenance and the risk of errors being repeated in identical maintenance tasks are minimised;
ensure that an error-capturing method is implemented after the performance of any critical maintenance task;
perform a general verification after completion of maintenance in order to ensure that the aircraft or component is clear of all tools, equipment and any extraneous parts and material and that all access panels removed have been refitted;
ensure that all maintenance performed is properly recorded and documented.
CAO.A.065 Aircraft certificate of release to service U.K.
At the completion of any aircraft maintenance carried out in accordance with this Annex, an aircraft CRS shall be issued in accordance with point M.A.801 of Annex I (Part-M) or point ML.A.801 of Annex Vb (Part-ML), as applicable.
CAO.A.070 Component certificate of release to service U.K.
At the completion of all component maintenance in accordance with this Annex, a component CRS shall be issued in accordance with point M.A.802 of Annex I (Part-M) or point ML.A.802 of Annex Vb (Part-ML), as applicable. An EASA Form 1 shall be issued in accordance with Appendix II to Annex I (Part-M), except as provided for in points (b) or (d) of point M.A.502 of Annex I (Part-M) and point ML.A.502 of Annex Vb (Part-ML) and for components fabricated in accordance with point (c) of point CAO.A.020.
The EASA Form 1 referred to in point (a) may be generated from a computer database.
CAO.A.075 Continuing airworthiness management U.K.
All continuing airworthiness management shall be carried out in accordance with the requirements of Subpart C of Annex I (Part-M) or Subpart C of Annex Vb (Part-ML), as applicable.
For every aircraft managed, the CAO shall:
develop and control the AMP for the aircraft managed and:
in the case of aircraft complying with Annex Vb (Part-ML), approve the AMP and its amendments, or
in the case of aircraft complying with Annex I (Part-M), present the AMP and its amendments to the competent authority for approval, unless the approval is covered by an indirect approval procedure in accordance with point (c) of point M.A.302 of Annex I (Part-M);
provide a copy of the AMP to the owner;
ensure that data used for any modification and repairs complies with points M.A.304 or ML.A.304, as applicable;
ensure that all maintenance is performed in accordance with the AMP and released in accordance with Section A, Subpart H of Annex I (Part-M), Section A of Annex II (Part-145) or Section A, Subpart H of Annex Vb (Part-ML), as applicable;
ensure that all applicable ADs and all operational directives with a continuing airworthiness impact are implemented;
ensure that all defects discovered during maintenance or reported are corrected by an appropriately approved maintenance organisation or by independent certifying staff;
ensure that the aircraft is brought for maintenance to an appropriately approved organisation or to independent certifying staff, whenever necessary;
coordinate the scheduled maintenance, application of ADs, replacement of service-life-limited parts and component inspection in order to ensure the work is carried out properly;
manage and archive all continuing-airworthiness records and, if applicable, the aircraft technical log;
ensure that the mass-and-balance statement reflects the current status of the aircraft.
[F3CAO.A.080 Continuing airworthiness management data U.K.
The CAO shall hold and use applicable current maintenance data specified in point M.A.401 of Annex I (Part-M) or point ML.A.401 of Annex Vb (Part-ML), as applicable, for the performance of the continuing airworthiness management tasks referred to in point CAO.A.075 of this Annex (Part-CAO). That data may be provided by the owner, subject to a contract as referred in points M.A.201(h)(2) or M.A.201(i)(1) or M.A.201(i)(3) of Annex I (Part-M), or points ML.A.201(e)(1) or ML.A.201(f) of Annex Vb (Part-ML), in which case the CAO only needs to hold such data for the duration of the contract, unless where it is to retain the data pursuant to point CAO.A.090(b) of this Annex (Part-CAO).]
[F3CAO.A.085 Airworthiness review U.K.
The CAO shall perform any airworthiness reviews in accordance with point M.A.901 of Annex I (Part-M) or point ML.A.903 of Annex Vb (Part-ML), as applicable.]
CAO.A.090 Record-keeping U.K.
The CAO shall retain the following records:
the maintenance records necessary to demonstrate that all requirements of this Annex have been met for the issuance of the CRS, including the subcontractor's release documents; the CAO shall provide a copy of each CRS to the owner of the aircraft, together with a copy of any specific repair or modification data used for the repairs or modifications carried out;
the continuing airworthiness management records required by any of the following:
point M.A.305 and, if applicable, point M.A.306 of Annex I (Part-M);
point ML.A.305 of Annex Vb (Part-ML);
where the CAO has the privilege referred to in point (c) of point CAO.A.095, it shall retain a copy of each airworthiness review certificate (ARC) issued in accordance with point (a) of point ML.A.901 of Annex Vb (Part-ML) and recommendation issued or, as applicable, extended, together with all supporting documents;
where the CAO has the privilege referred to in point (d) of point CAO.A.095, it shall retain a copy of each permit to fly issued in accordance with point 21.A.729 of Annex I (Part-21) to Regulation (EU) No 748/2012.
The CAO shall retain a copy of the records described in point (a)(1), and any associated maintenance data, for a period of 3 years from the date at which it released to service the aircraft or aircraft component to which the work relates.
The CAO shall retain a copy of the records referred to in points (a)(2) to (a)(4) for a period of 2 years from the date at which the aircraft has been permanently withdrawn from service.
All records shall be stored in a manner that ensures protection from damage, alteration and theft.
All computer hardware used for backup of the maintenance records shall be stored in a different location from that containing those data and in an environment that ensures that they remain in good condition.
Where the continuing airworthiness management of an aircraft is transferred to another organisation or person, all the records retained under points (a)(2) to (a)(4) shall be transferred to that organisation or person. From the moment of the transfer, points (b) and (c) shall apply to that organisation or person.
Where the CAO terminates its operation, all retained records shall be transferred as follows:
the records referred to in point (a)(1) shall be transferred to the last owner or customer of the respective aircraft or component or shall be stored as specified by the competent authority;
the records referred to in point (a)(2) to (a)(4) shall be transferred to the owner of the aircraft.
CAO.A.095 Privileges of the organisation U.K.
The CAO shall have the following privileges:
Maintenance
Maintain any aircraft or component for which it is approved at the locations specified in the approval certificate and the CAE.
Arrange for the performance of specialised services at another organisation appropriately qualified under the control of the CAO, in accordance with the appropriate procedures set out in the CAE and approved by the competent authority.
Maintain any aircraft or component for which it is approved at any location, where the need of such maintenance arises either from the unserviceability of the aircraft or the need for supporting occasional maintenance, in accordance with the conditions specified in the CAE.
Issue certificates of release to service upon completion of maintenance, in accordance with point CAO.A.065 or CAO.A.070.
Continuing airworthiness management
Manage the continuing airworthiness of any aircraft for which it is approved.
Approve the AMP, in accordance with point (b)(2) of point ML.A.302, for aircraft managed in accordance with Annex Vb (Part-ML).
Carry out limited continuing airworthiness tasks with any contracted organisation working under their quality system, as listed on the approval certificate.
[F3Extend, in accordance with point M.A.901(f) of Annex I (Part-M) or point ML.A.901(c) of Annex Vb (Part-ML), an ARC that has been issued by the competent authority, another organisation or person as applicable.]
Airworthiness review:
A CAO with its principal place of business in one of the Member States, the approval of which includes the privileges referred to in point (b), may be approved to carry out airworthiness reviews in accordance with point M.A.901 of Annex I (Part-M) or point ML.A.903 of Annex Vb (Part-ML), as applicable, and:
issue the related ARC or recommendation for the issuance of the ARC;
extend the validity of an existing ARC.
A CAO with its principal place of business in one of the Member States, the approval of which includes the privileges referred to in point (a), may be approved to carry out airworthiness reviews in accordance with point ML.A.903 of Annex Vb (Part-ML) and issue the related ARC.
Permit to fly
A CAO with its principal place of business in one of the Member States, the approval of which includes the privileges referred to in point (c), may be approved to issue a permit to fly in accordance with point (d) of point 21.A.711 of Annex I (Part-21) to Regulation (EU) No 748/2012 for those aircraft for which it can issue the ARC when it attests conformity with the approved flight conditions, in accordance with an adequate procedure provided for in the CAE.
A CAO may be approved for one or more privileges.
CAO.A.100 Quality system and organisational review U.K.
To ensure that the CAO continues to meet the requirements of this Annex, this organisation shall establish a quality system and designate a quality manager.
The quality system shall monitor the carrying out of the activities of the organisation covered by this Annex. It shall monitor in particular:
that all those activities are performed in accordance with the approved procedures;
that all contracted maintenance tasks are carried out in accordance with the contract;
that the organisation continues to comply with the requirements of this Annex.
The records of that monitoring shall be retained for at least the previous 2 years.
Where the organisation holding a CAO approval is additionally approved in accordance with an Annex other than this Annex, the quality system may be combined with that required by the other Annex.
A CAO shall be considered as a small CAO when one of the following condition is met:
The scope of the CAO does only contain aircraft covered by Part-ML.
The CAO does not exceed 10 full-time equivalent staff involved in maintenance.
The CAO does not exceed 5 full-time equivalent staff involved in continuing airworthiness management.
In the case of a small CAO, the quality system may be replaced by regular organisational reviews, subject to the approval of the competent authority. In that case, the CAO shall not contract continuing airworthiness management tasks to other parties.
CAO.A.105 Changes to the organisation U.K.
In order to enable the competent authority to determine continued compliance with this Part, the approved maintenance organisation shall notify it of any proposal to carry out any of the following changes, before such changes take place:
changes affecting the information contained in the approval certificate laid down in Appendix I and the terms of approval of this Annex;
changes of the persons referred to in points CAO.A.035(a) and (b);
changes in the aircraft types covered by the scope of work referred to in point (a)(1) of point CAO.A.020 in the case of aeroplanes of more than 2 730 kg maximum take-off mass (MTOM) and in the case of helicopters of more than 1 200 kg MTOM or certified for more than 4 occupants;
changes in the scope of work referred to in point (a)(2) of CAO.A.020 in the case of complete turbine engines;
changes in the control procedure set out in point (b) of this point.
Any other changes in locations, facilities, equipment, tools, material, procedures, scope of work and staff shall be controlled by the CAO through a control procedure provided for in the CAE. The CAO shall submit a description of those changes and the corresponding CAE amendments to the competent authority within 15 days from the day on which the change took place.
CAO.A.110 Continued validity U.K.
An approval shall be issued for an unlimited duration and shall remain valid subject to:
the organisation remaining in compliance with the requirements of this Annex, in particular how the findings are handled in accordance with point CAO.A.115;
the competent authority being granted access to the organisation to determine continued compliance with the requirements of this Annex;
the competent authority not having surrendered or revoked the approval.
Upon surrender or revocation of the approval, the organisation shall return the approval certificate to the competent authority.
CAO.A.115 Findings U.K.
A Level 1 finding is any significant non-compliance with Part-CAO requirements which lowers the safety standard and seriously hazards flight safety.
A Level 2 finding is any non-compliance with the Part-CAO requirements which may lower the safety standard and possibly hazard flight safety.
After receiving a notification of a finding in accordance with point CAO.B.060, the CAO shall adopt a corrective action plan and demonstrate to the satisfaction of the competent authority that it has taken the necessary corrective action to address the finding within the time period set by that authority.
SECTION B U.K. AUTHORITY REQUIREMENTS
CAO.B.010 Scope U.K.
This Section establishes the administrative requirements to be met by the competent authorities in connection to the requirements for organisations set out in Section A.
CAO.B.017 Means of compliance U.K.
The Agency shall develop Acceptable Means of Compliance ( ‘ AMC ’ ) that may be used to demonstrate compliance with Regulation (EU) 2018/1139 and its delegated and implementing acts.
Alternative means of compliance may be used to demonstrate compliance with Regulation (EU) 2018/1139 and its delegated and implementing acts
The competent authority shall establish a system to consistently evaluate that all alternative means of compliance used by organisations under its oversight allow for the establishment of compliance with Regulation (EU) No 2018/1139 and its delegated and implementing acts.
The competent authority shall evaluate all alternative means of compliance proposed by an organisation in accordance with point CAO.A.017 by analysing the documentation provided and, if considered necessary, conducting an inspection of the organisation.
When the competent authority finds that the alternative means of compliance are in accordance with Regulation (EU) 2018/1139 and its delegated and implementing acts, it shall without undue delay:
notify the applicant that the alternative means of compliance may be used and, if applicable, amend the approval or certificate of the applicant accordingly;
notify the Agency of their content, including copies of all relevant documentation.
CAO.B.020 Record-keeping U.K.
The competent authority shall establish a system of record-keeping that allows adequate traceability of the process to keep the records for issuing, continuing, changing, suspending or revoking each issued certificate.
The records of the competent authority for the oversight of organisations approved in accordance with this Annex shall include, as a minimum:
the application for an organisation approval;
the organisation approval certificate, including any changes thereto;
a copy of the audit programme of the organisation, listing the dates at which audits were carried out and when they are due;
the continuing-oversight records, including all audit records, as provide for in point CAO.B.055;
all findings, actions required to close the findings and recommendations;
copies of all relevant correspondence with the organisation;
details of any exemption in accordance with point CAO.B.035 and enforcement actions;
any report from other competent authorities relating to the oversight of the organisation;
CAE and its amendments;
copies of any other document approved by the competent authority.
The retention period for the records listed under point (b) shall be at least 5 years.
All records shall be made available to the competent authority of another Member State or the Agency, upon request.
CAO.B.025 Mutual exchange of information U.K.
Where necessary for the performance of their tasks under this Regulation, the competent authorities shall exchange information.
In the case of a potential safety threat involving several Member States, the competent authorities concerned shall assist each other in carrying out the necessary oversight action.
CAO.B.030 Responsibilities U.K.
The competent authority shall conduct the necessary inspections and investigations in order to verify and ensure that the organisations for which it is responsible in accordance with point CAO.1 meets the requirements of Section A of this Annex.
CAO.B.035 Exemptions U.K.
Where a Member State grants an exemption from the requirements of this Annex in accordance with paragraph 2 of Article 71 of Regulation (EU) 2018/1139, the competent authority shall record the exemption. It shall retain those records as provided for in point (b)(6) of point CAO.B.020.
CAO.B.040 Application U.K.
Where facilities of the CAO are located in more than one Member State, the initial certification procedure and continued oversight of the approval shall be carried out in cooperation with the competent authorities designated by the Member States in whose territory the other facilities are located.
CAO.B.045 Initial certification procedure U.K.
Where it has been established that the organisation meets the requirements laid down in points (a) and (b) of CAO.A.035, the competent authority shall formally notify the applicant about the acceptance of the personnel.
The competent authority shall ensure that the procedures specified in the CAE comply with Section A, and that the accountable manager has signed the commitment statement referred to in point (a)(1) of CAO.A.025.
The competent authority shall verify that the organisation complies with Section A.
The competent authority shall convene a meeting with the accountable manager at least once during the investigation for approval to ensure that he or she fully understand the significance of the approval and the statement referred to in point (a)(1) of CAO.A.025
All findings in accordance with point CAO.B.060 shall be confirmed in writing to the applicant organisation.
Before issuing the approval the competent authority shall close all be findings after the organisation has corrected them.
[F2. . . . .]
CAO.B.050 Issuance of the initial certificate U.K.
[F3Where the competent authority has established that the applicant complies with point CAO.B.045, it shall issue the certificate, using the EASA Form 3-CAO template laid down in Appendix I and specifying the terms of approval.]
The competent authority shall include the reference number of the CAO as specified in the EASA Form 3-CAO template laid down in Appendix I.
CAO.B.055 Continuing oversight U.K.
The competent authority shall establish and keep up-to-date, an oversight programme, specifying all CAOs to which it has issued a certificate and the dates at which it has audited and is scheduled to audit those CAOs.
The competent authority shall audit, at, periods not exceeding 24 months each CAO to which it has issued an approval. Those audits shall concentrate, in particular, on the changes to the organisation notified to it in accordance with the procedure specified in point (b) of point CAO.A.105.
A relevant sample of the aircraft managed by the CAO, if the organisation is approved to do so, shall be surveyed at every 24-month period. The size of the sample shall be decided by the competent authority based on the result of prior audits and earlier product surveys.
The competent authority shall confirm in writing any finding during those audits to the CAO.
The competent authority shall record any findings during those audits, any actions required to close the findings and any recommendations issued.
The competent authority shall convey a meeting with the accountable manager of the CAO at least once every 24 months.
CAO.B.060 Findings U.K.
When during audits or by any other means, evidence is found showing non-compliance to the Part-CAO requirements, the competent authority shall take the following actions:
for Level 1 findings, immediate action shall be taken by the competent authority to revoke, limit or suspend in whole or in part, depending upon the extent of the Level 1 finding, the CAO approval, until successful corrective action has been taken by the organisation; and
for Level 2 findings, the competent authority shall grant a corrective action period of no more than 3 months, appropriate to the nature of the finding — in certain circumstances, at the end of this first period and subject to the nature of the finding, the competent authority can extend this 3-month period subject to a satisfactory corrective action plan.
Action shall be taken by the competent authority to suspend in whole or in part the approval in case of failure to comply within the timescale set out by the competent authority.
CAO.B.065 Changes U.K.
Upon receiving an application for a change in accordance with point (a) of point CAO.A.105, the competent authority shall verify the organisation's compliance with the applicable requirements before issuing the approval of the change.
The competent authority may indicate the conditions under which the CAO shall operate during the change unless the competent authority determines that the organisation's certificate shall be suspended because of the nature or extent of the changes.
For changes not requiring prior approval, the competent authority shall assess during the oversight activities that the CAO complies with the approved control procedure provided for in point (b) of point CAO.A.105 and complies with the applicable requirements.
CAO.B.070 Suspension, limitation and revocation U.K.
The competent authority shall:
suspend an approval on reasonable grounds in the case of a potential safety threat; or
suspend, revoke or limit an approval pursuant to point CAO.B.060.
Appendix I
Combined airworthiness organisation (CAO) certificate — EASA Form 3-CAO U.K.
Within the approval class(es) and rating(s) established by the competent authority, the scope of work specified in the CAE defines the exact limits of approval. It is therefore essential that the approval class(es) and rating(s) and the organisations scope of work are matching.
An aircraft rating , in relation to the maintenance privileges, means that the CAO may carry out maintenance on the aircraft and any component (including engines), in accordance with aircraft maintenance data or, if agreed by the competent authority, in accordance with component maintenance data, only whilst such components are fitted to the aircraft. Nevertheless, such aircraft-rated CAO may temporarily remove a component for maintenance in order to improve access to that component except when such removal creates the need for additional maintenance not eligible for the requirements of point (b). This will be subject to a control procedure in the CAE to be approved by the competent authority.
An engine rating (turbine, piston or electrical) means that the CAO may carry out maintenance on the uninstalled engine and engine components, in accordance with engine maintenance data or, if agreed by the competent authority, in accordance with component maintenance data, only whilst such components are fitted to the engine. Nevertheless, such engine-rated CAO may temporarily remove a component for maintenance in order to improve access to that component except when such removal creates the need for additional maintenance not eligible for the requirements of point (c). An engine-rated CAO may also carry out maintenance on an installed engine during base and line maintenance subject to a control procedure in the CAE to be approved by the competent authority.
A component rating (other-than-complete engines) means that the CAO may carry out maintenance on uninstalled components (excluding complete engines) intended for fitment to the aircraft or engine. This CAO may also carry out maintenance on an installed component (other-than-complete engines) during base and line maintenance or at an engine maintenance facility subject to a control procedure in the CAE to be approved by the competent authority.
An non-destructive testing (NDT) rating is a self-contained rating not necessarily related to a specific aircraft, engine or other component. The NDT rating is only necessary for a CAO that carries out NDT as a particular task for another organisation. A CAO approved with an aircraft, engine or component rating may carry out NDT on products they are maintaining subject to the CAE containing NDT procedures, without the need for an NDT rating.] ]
