CAP 611 Air Operators' Certificates: Operation of Balloons: Safety Regulation Group

Safety Regulation Group
CAP 611 Air Operators Certificates: Operation of Balloons
www.caa.co.uk
Safety Regulation Group
CAP 611 Air Operators Certificates: Operation of Balloons
1 February 2010
CAP 611
Air Operators Certificates: Operation of Balloons
Civil Aviation Authority 2010 All rights reserved. Copies of this publication may be reproduced for personal use, or for use within a company or organisation, but may not otherwise be reproduced for publication. To use or reference CAA publications for any other purpose, for example within training material for students, please contact the CAA at the address below for formal agreement. ISBN 978 0 11792 331 7 First edition March 1993 Second edition December 2001 Third edition August 2006 Third edition incorporating amendment 1/2007, April 2007 Third edition incorporating amendment 1/2008, July 2008 Third edition incorporating amendment 1/2009, April 2009 Fourth edition 1 February 2010
Enquiries regarding the content of this publication should be addressed to: Flight Operations Inspectorate (General Aviation), Safety Regulation Group, Civil Aviation Authority, Aviation House, Gatwick Airport South, West Sussex, RH6 0YR. The latest version of this document is available in electronic format at www.caa.co.uk, where you may also register for e-mail notification of amendments. Published by TSO (The Stationery Office) on behalf of the UK Civil Aviation Authority. Printed copy available from: TSO, PO Box 29, Norwich NR3 1GN Telephone orders/General enquiries: 0844 477 7300 Fax orders: 0870 600 5533
www.tso.co.uk/bookshop E-mail: caa@tso.co.uk Textphone: 0870 240 3701
CAP 611
Amendment Record
Amendment Number
Amendment Date
Incorporated by
Incorporated on
CAP 611
List of Effective Pages

Chapter Appendix Page iii iv Contents Contents Contents Contents Revision History Revision History Revision History Chapter 1 Chapter 1 Chapter 1 Chapter 1 Chapter 2 Chapter 2 Chapter 2 Chapter 2 Chapter 2 Chapter 2 Chapter 3 Chapter 3 Chapter 3 Chapter 3 Chapter 3 Chapter 4 Chapter 4 Chapter 4 Chapter 4 Chapter 4 Chapter 4 Chapter 4 Chapter 4 Chapter 4 Chapter 4 Chapter 5 Chapter 5 Chapter 5 Chapter 5 Chapter 5 Chapter 6 Chapter 6 Chapter 6 Chapter 7 Chapter 7 Chapter 7 Chapter 7 1 2 3 4 1 2 3 1 2 3 4 1 2 3 4 5 6 1 2 3 4 5 1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 1 2 3 1 2 3 4 Date 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 Chapter Chapter 7 Chapter 7 Chapter 7 Chapter 7 Chapter 7 Chapter 7 Chapter 8 Chapter 8 Annex A Annex A Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex B Annex C Annex C Annex C Annex C Annex C Annex D Annex D Annex D Annex E Annex E Annex E Annex E Annex F Annex F Annex F Annex F Annex F Annex G Annex G Appendix 1 Appendix 1 Appendix 1 Appendix 2 Appendix 2 Appendix 1 Appendix 1 Appendix 1 Appendix 2 Appendix 1 Appendix 1 Appendix 1 Appendix 1 Appendix 2 Appendix 3 Appendix 3 Appendix 4 Appendix 4 Appendix 5 Appendix 5 Appendix 6 Appendix 6 Appendix 6 Appendix 7 Appendix 7 Appendix Page 5 6 7 8 9 10 1 2 1 2 1 1 2 3 4 1 1 2 1 2 1 2 1 2 3 1 2 1 1 2 3 1 1 2 3 1 2 3 4 1 1 2 1 2 1 1 Date 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010 1 February 2010
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Chapte Annex H Annex H Annex H
Appendixr
Page 1
Date 1 February 2010 1 February 2010 1 February 2010
Chapte
Appendixr
Page
Date
Appendix 1 Appendix 2
1 1
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Contents
List of Effective Pages Revision History Chapter 1 Introduction

Purpose Public Transport Operation Applicability The Status of CAP 611 Compliance with Statutory Requirements Inspectors Amendment FODCOMs Air Navigation Order Publications and Address List
iii 1
1 1 1 2 2 3 3 4 4 4
Chapter 2
The Air Operators Certificate (Balloons)

Requirement to Hold an AOC(B) Charges Application for an AOC(B) Form of an AOC(B) Variation of an AOC(B) Renewal of an AOC(B) Loss of an AOC(B) Routine Liaison and Audit Visits Variation, Suspension or Revocation of an AOC(B) by the CAA Region of Operation Retention of Documents 1 1 1 2 2 4 4 5 5 6 6
Chapter 3
Organisation
Management and Executive Staff Adequacy and Supervision of Staff Safety Management Facilities Accommodation Operations Library Balloon Library 1 1 2 3 3 3 3
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Instructions to Pilots Legislation and Aeronautical Information Occurrence Reports Disaster Management Balloon Continuing Airworthiness and Maintenance
4 4 4 5 5
Chapter 4
Operations Manual
Purpose and Scope of Manual Flight Crew Responsibilities of Pilots and other Operating Staff Crew Composition Flight, Duty and Rest Period Limitations Balloon Technical Particulars and Operating Procedures Provisions and use of Oxygen and Associated Equipment Life Jackets Wake Turbulence from Aircraft Minimum Equipment Lists Fuel Planning and Management Check Lists Use and Checking of Altimeters Emergency Evacuation Procedures Radio Watch Airfield Operating Minima Take-Off, En-route and Landing Evening Flights Rules of the Air Loading Dangerous Goods, Weapons and Munitions of War Accident Reporting Occurrence Reporting Disaster Management Plan 1 2 2 3 3 4 5 5 5 5 6 6 6 6 6 7 7 7 8 8 8 9 9
Chapter 5
Training and Testing

General Requirements for Flight Crew Training and Testing Training Manual Training and Testing Staff Flying Experience Requirements ANO 2009 Schedule 7: Flight Crew of Aircraft ANO 2009 Schedule 8: Public Transport Operational Requirements Line Pilot Currency Requirements Records of Training and Tests 1 1 2 2 2 3 5 5
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Chapter 6
Safety Equipment and Procedures Training, Practice and Testing Requirements for Flight Crew
Statutory Requirements Provision of Training Basic First-Aid Training and Casualty Handling Fire Training Medical Fitness Company Ground Personnel On Line Emergency and Survival Equipment Training and Testing 1 1 1 2 2 2 3
Chapter 7
Balloon Continuing Airworthiness Management and Maintenance Support Arrangements

Continuing Airworthiness Management and Maintenance Support Arrangements Operators Responsibilities Contracted-Out Maintenance Contracting-Out Component Maintenance Deferred and Carried Forward Defects Technical Records Airworthiness Directives and Manufacturers Technical Information Preparation of Balloon for Flight The Technical Log 1 1 2 3 4 5 5 6 7
Continuing Airworthiness Management and Maintenance Arrangement 3
Chapter 8
Insurance Requirements for Balloon Operators

Introduction Compliance Monitoring Recommendation 1 1 2
Annex A
Useful Publications and Addresses

Publications List Address List 1 2
Annex B Appendix 1 Appendix 2
AOC (Balloons) Forms, Notes and Charges Charges Calculation Sheets AOC (Balloons) Assistance Notes for the Completion of AOC(B) Forms for the Grant, Renewal or Variation of an Air Operators Certificate (Balloons) Application Form for an Air Operators Certificate (Balloons)
Appendix 3
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Appendix 4 Appendix 5 Appendix 6 Appendix 7 Annex C Appendix 1 Appendix 2 Annex D Annex E
Variation Form for an Air Operators Certificate (Balloons) Renewal Form for an Air Operators Certificate (Balloons) Return of Operating Data Questionnaire Nominated Postholders for an AOC Company Certificates and Approvals Air Operators Certificate (Balloons) Regulation of Flight Times Approval CAA Liaison and Audit Visits Safety Management
Safety Management Checklist SMS Risk Assessment Matrix Assessment 1 3 3
Annex F Appendix 1 Appendix 2 Annex G
Occurrence Reporting Occurrence Report Form BBAC Balloon Safety Report Training and Testing Requirements
ANO 2009 Schedule 7 Requirements ANO 2009 Schedule 8 Requirements 1 1
Appendix 1 Annex H Appendix 1 Appendix 2
Specimen Training Check Form Technical Log Balloon Sector Record Page Deferred Defect Record Page
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Revision History
Edition 1 Edition 2 The main changes are listed below together with the CAP 611 reference.
Reference Change
March 1993 December 2001
Chapter 6
Paragraph 2.3 A printed syllabus shall be presented to course attendees at the start of ground courses and printed course notes shall be presented at the end. These will serve as an aid memoire during the period between refresher courses. First-aid training is to be given by an instructor qualified for the purpose. In case of doubt about the adequacy of an instructors qualifications, the CAAs Medical Department should be consulted. [First aid] Training is to be followed by the successful completion of an appropriate first-aid test. Fire training must be conducted by a suitably qualified instructor. The following items are considered as the minimum syllabus items: e) Practical fire fighting on a vapour propane fire. Paragraph 5 Company Ground Personnel Good safety management practice indicates that AOC(B) holders ground based personnel should undertake three yearly first-aid and fire courses. This will assist an Operator in complying with its duty of care at an unlicensed airfield (launch site) and, in the event of a serious accident where it is possible that the pilot may be incapacitated, it is likely that the retrieve crew would be the first to attend the scene.
Paragraph 3.1
Paragraph 3.3 Paragraph 4.1 Paragraph 4.2
Edition 3
August 2006
The main changes are listed below. Editorial amendments including updating of contact details and cross-references (in particular to the ANO 2005) are also included.
Reference Chapter 3 Paragraph 3.7 Chapter 4 Paragraph 3.4 Paragraph 9.4 Chapter 8 Annesx A Annex B and Appendices Annex D Annex F Change Additional guidance on Safety Management Systems (SMS) and Risk Assessment (RA). Additional information on medication, alcohol and flying. Additional guidance on wake turbulence. New Chapter regarding Insurance requirements. Updated Publications and Address list. Updated to include new Forms. Re-issued to reflect details of checks undertaken during a CAA visit. Updated Occurrence Report Form.
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Revision History
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Edition 3 amendment 1/2007 The main changes are listed below together with the CAP 611 reference.
Reference Chapter 1 Page 3 Chapter 2 Pages 5 and 6 Annex B Annex B Appendix 1 Annex B Appendix 6 Annex C Appendix 1 Annex G Appendix 1 Change Paragraph 7 updated to reflect current amendment processes. Paragraph cross-references updated.
April 2007
Updated to include new Form Numbers and availability on the CAA website. Updated to reflect the charges valid from 1 April 2007 to 31 March 2008. Updated to include new Form Number and availability on CAA website. EXAMPLE added to Forms. Updated to include new Form Number and availability on CAA website.
Reference Annex B Appendix 1 Annex B Appendix 2 Change Updated to reflect the charges valid from 1 April 2008. Updated to include change to e-mail address.
July 2008
Reference Annex B Appendix 1 Annex F Change Updated to reflect the charges valid from 1 April 2009. Updated to reflect the latest issue of Form 1601.
April 2009
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Revision History
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Edition 4
1 February 2010
The main changes are listed below together with the CAP 611 reference. Editorial amendments including cross-references (in particular to the ANO 2009) are also included.
Reference Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 7 Annex A Annex B Appendix 2 Annex B Appendices 3, 4, 5 & 6 Annex B Appendix 7 Annex C Appendix 1 Annex C Appendix 2 Annex D Annex F Appendix 2 Annex G Annex H Appendix 1 Change Chapter updated in line with Commission Regulation from (EC) No. 2042/ 2003 through to Commission Regulation (EC) No. 1056/2008. Chapter updated in line with Commission Regulation from (EC) No. 2042/ 2003 through to Commission Regulation (EC) No. 1056/2008. Chapter updated in line with Commission Regulation from (EC) No. 2042/ 2003 through to Commission Regulation (EC) No. 1056/2008. Chapter updated in line with Commission Regulation from (EC) No. 2042/ 2003 through to Commission Regulation (EC) No. 1056/2008. Chapter updated in line with Commission Regulation from (EC) No. 2042/ 2003 through to Commission Regulation (EC) No. 1056/2008. EC Regulation and EASA documents added. Notes 7 8 and 9 of Assistance notes for completion updated. , Updated to show latest versions of Forms SRG 1310, SRG 1311, SRG 1312 and SRG 1316. Form SRG 2815 (CAA Form 4) Nominated Postholders for an AOC Company added. New Example of AOC (Balloons) included. ANO reference updated in Form SRG 1309. Annex updated in line with Commission Regulation from (EC) No. 2042/ 2003 through to Commission Regulation (EC) No. 1056/2008. BBAC Balloon Safety Repot included. ANO references updated. Certificate of Release to Service, Pre-flight Check and other minor amendments.
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CAP 611
Chapter 1 Introduction
1 Purpose
The purpose of this publication is to explain the administrative procedure for the issue, variation and renewal of Air Operators Certificates (Balloons) [AOC(B)] and to indicate the requirements to be met by applicants and certificate holders in respect of equipment, organisation, staffing, training and other matters affecting the operation of public transport balloons. Notes: 1) For the purpose of this publication the term Operator is used to describe both applicants and certificate holders. The certificate holder may be a registered corporate body, or a named individual or individuals with or without trading name(s). 2) For the purpose of this publication the use of the pronoun he shall imply she where appropriate.
2
2.1
Public Transport Operation

A balloon shall be deemed to fly for the purpose of public transport if valuable consideration is given or promised for the carriage of passengers in the balloon on that flight. A definition of the term 'public transport' is given in the ANO 2009 (as amended) and anyone in doubt as to whether a particular flight may be made without the Operator being the holder of a Certificate should seek legal advice. In relation to an Air Operators Certificate, the 'Operator' is defined as the person for the time being having the management of the balloon.
2.2
3
3.1
Applicability
In the statutory provisions, few distinctions are drawn between small-scale operations with a single balloon and large undertakings operating a large number of balloons from a variety of different operating sites, since the principles of sound operating practice are essentially similar at all levels. Nevertheless, in the application of these principles, it may be necessary to take account of the scale and scope of an Operators flying activities and particular circumstances. Operators may rest assured that the Civil Aviation Authority (CAA) and its inspecting and auditing staff are fully conscious of this and, in dealing with certification matters, will always endeavour to adopt as flexible an approach as is consistent with the maintenance of adequate standards. Operators of balloons should bear this in mind when reading this publication. In this publication the words 'must', 'shall' and 'will' are used to indicate an existing statutory requirement. The word 'should' is used to indicate that the Operator has a degree of latitude, particularly where the nature of the operation affects the degree of compliance. The use of 'should' must not be taken, however, to mean that nothing need be done. If the Operators response is deemed by the CAA to be inadequate, a specific requirement may be applied as a condition of the AOC(B).
3.2
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4
4.1
The Status of CAP 611

Article 12 of the Air Navigation Order (ANO) 2009 (as amended), which is law and failure to comply with which is an offence, requires public transport flights to be conducted under and in accordance with an Air Operators Certificate. Article 12(2) sets out the matters in respect of which the CAA must be satisfied before granting such a certificate. These matters are specified in the Order in rather general terms; for example, the CAA is required to be satisfied with an applicants organisation and other arrangements. The purpose of CAP 611 is to augment and amplify the ANO 2009 (as amended). An applicant will want to know precisely what he needs to do to satisfy the CAA about these matters. CAP 611 provides the necessary guidance. It is not the case that failure to comply with every detail outlined in CAP 611 means that the CAA will refuse to grant an AOC(B). Every application is considered on its merits. It is possible that failure to comply with a particular aspect of CAP 611 will be counter-balanced in some way, thereby enabling the CAA to be satisfied with the overall competence of the applicant. With the introduction of European Regulations, the maintenance support and continuing airworthiness management of a balloon Operator holding an Air Operators Certificate is required to comply with Commission Regulation (EC) No. 2042/2003 as amended, until full adoption of Part-OPS. Therefore Regulation (EC) No. 2042/2003 Annex I Part M Subpart B, M.A.201 (i) as amended must be complied with as follows: Until Part-OPS Regulations are published in the future, balloon Operators where the CAA has issued an operating certificate must: a) be either appropriately approved, pursuant to M.A. Subpart G for the management of continuing airworthiness of the balloon, or contract such an organisation; and b) be either appropriately approved in accordance with M.A. Subpart F or Part-145, or contract such an organisation. NOTE: It is acceptable for continuing airworthiness and maintenance approvals to be combined within one organisation.
4.2
4.3
4.4
4.5
For continuing airworthiness management and maintenance support of balloons, the European Regulations are not copied directly into this CAP 611. Therefore it is essential that the Operators cross-refer to these Regulations to ensure full compliance.
5
5.1
Compliance with Statutory Requirements

The issue of a Certificate to an Operator signifies only that the holder is, at that time, considered competent to secure the safe operation of the Operators aircraft. It does not in any way relieve an Operator or an aircraft commander of their responsibility for compliance with statutory requirements and for the safe conduct of a particular flight. International agreements and United Kingdom legislation are generally based on the concept that the ultimate responsibility for the safety of flight operations rests with the Operator and the commander. The issue of a Certificate and the work of the CAA supports this general principle. The statutory requirements for the operation of aircraft are written in general terms. This is in accordance with the principle of Operators responsibility and supports the development of the operating standards and techniques best suited to particular circumstances and conditions. The competence of an Operator to secure the safe
5.2
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operation of aircraft will therefore depend, in part, upon the manner in which the statutory requirements are applied to the particular operation. It is important to appreciate that in the last resort the interpretation of the statutes is a function of the judiciary and that neither the issue of a Certificate nor the expression of any view in this publication should be taken as an indication to the contrary, or as a modification of any statutory requirements. 5.3 With regard to Regulation (EC) No. 2042/2003 (as amended) for continuing airworthiness management and maintenance support, compliance is mandatory. Details of the Regulations including the Acceptable Means of Compliance (AMC) can be found on the European Aviation Safety Agency (EASA) website at www.easa.europa.eu. Any future amendment to Regulation (EC) No. 2042/2003 or the associated Acceptable Means of Complance must be assessed and complied with as appropriate.
5.4
6
6.1
Inspectors
Reference is made in this publication to Flight Operations Inspectorate (General Aviation) (FOI(GA)) Inspectors and Training Inspectors. FOI(GA) Inspectors and Training Inspectors are authorised in accordance with the relevant statutory provisions and the conditions of the AOC(B) to examine documents, premises and equipment, to accompany or observe balloon flights and, if necessary, to issue directions to prevent a balloon from flying. They have extensive experience of commercial operations and a wide knowledge of the operational aspects of ballooning. Training Inspectors are particularly experienced in the techniques of training and testing pilots; they are authorised Type Rating Examiners and are empowered to observe pilots and to inspect licences and records of training and testing. Surveyors from the Survey Department are also authorised persons and may require access to a balloon and its documentation while on the ground. The primary duty of the Inspectors and Surveyors is to ascertain that the required operating and airworthiness standards are being achieved; this duty must be fully discharged. However, it is their aim to work in close collaboration with Operators and their staff to secure, through regular discussion and exchange of views, the highest possible standard of operational safety. It is expected that a relationship of mutual respect will be developed between CAA personnel and the Operators officials, pilots and other staff with whom they come into contact.
6.2 6.3
7
7.1
Amendment
CAP 611 is amended by the CAAs Flight Operations Inspectorate (General Aviation) as required. Supplementary information may be issued by the CAA in the form of 'FODCOMs' which should be retained with this publication. Where appropriate, such material will be included in this publication at the next amendment. Copies of CAP 611 are freely available in electronic format on the CAA website at www.caa.co.uk/cap611. Alternatively, holders may subscribe to the CAAs publishers (see inside cover for contact details) for an amendments service. Change bars in the left margin are used to identify amended text on a page.
7.2
7.3
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8
8.1 8.2
FODCOMs
FODCOMs will be published when it is necessary for the CAA to bring operational matters to the attention of all AOC holders. Each FODCOM will cover a single subject matter. Not all FODCOMs will be applicable to balloon Operators, however, those annotated for all AOC holders or for AOC (Balloon) holders form part of CAP 611 and should be held at the rear of the document whilst they remain valid. FODCOMs will, if appropriate, be incorporated within the main text of CAP 611 in due course. A checklist of current FODCOMs is published on the CAA website at: www.caa.co.uk/fodcoms.
8.3 8.4
9
9.1 9.2
Air Navigation Order

References in this publication to the Air Navigation Order and Rules of the Air Regulations are to the Order and Regulations currently in force. Exemptions, Permissions and Approvals relating to the ANO are usually valid for a finite period and have a notified expiry date. The AOC(B) holder is responsible for ensuring that appropriate Exemptions, Permissions and Approvals remain valid and must apply for re-validation well before time expiry. Operations conducted under the terms of an ANO Exemption, Permission or Approval that has lapsed are in breach of the law.
10
10.1 10.2
Publications and Address List

Several publications are referred to in this publication. They are listed at Annex A. Useful addresses and telephone numbers are listed at Annex A.
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Chapter 2 The Air Operators Certificate (Balloons)

1
1.1
Requirement to Hold an AOC(B)

A balloon registered in the United Kingdom may not fly for the purpose of public transport otherwise than under and in accordance with the terms of an Air Operators Certificate (Balloons) granted to the Operator of that balloon by the Civil Aviation Authority. A definition of the term public transport is given in Chapter 1, paragraph 2.2.
1.2
2
2.1
Charges
A charge is payable on application for, or renewal of, an AOC(B) based on the nominal passenger capacity of the balloons operated, or proposed to be operated, by the AOC(B) holder and listed within the company Operations Manual. A fixed charge is payable on application for a variation to an AOC(B). Details of current charges may be found in The CAAs Official Record Series 5, available in electronic form at www.caa.co.uk/ors5. The AOC(B) Application, Renewal and Variation charges calculation procedures are at Appendix 1 to Annex B.
2.2 2.3
3
3.1
Application for an AOC(B)

An Operator should apply on the appropriate form, in accordance with the instructions attached to it. These forms and any other information that may be required can be obtained from the Safety Regulation Groups Flight Operations Inspectorate Department. Assistance notes for the completion of AOC(B) forms are at Appendix 2 to Annex B and an example of the Application Form for an AOC(B) is at Appendix 3 to Annex B. The form can be downloaded from the CAA website at www.caa.co.uk/ SRG1310. The application should be accompanied by the appropriate charge and, if possible, by the relevant Operations and Training Manuals (see Chapter 4) and should be submitted as far ahead as possible of the proposed date for the start of operations. A minimum notice of 30 working days is required from the date that the completed Operations and Training Manual is received by the CAA or receipt of the appropriate charge, whichever is the later. Beyond that, the interval between application for and grant of a Certificate will depend primarily upon matters within the control of the Operator. No undertaking can be given that the CAA will be able to reach a decision within a particular period. The CAA cannot begin to process an application until the appropriate charge has been received. The applicant must declare at the time of the application whether the Operator wishes to be approved to Part M Subpart G for continuing airworthiness management and Part M Subpart F or Part-145 for maintenance, or whether this will be contracted to a 3rd party organisation. Copies of the contract(s) shall be supplied to the CAA for approval. If a contracted Part M Subpart G organisation is used, then the Operator must ensure that their details are contained in the contracted organisations Continuing Airworthiness Management Exposition (CAME).
3.2
3.3
3.4
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3.5
On receipt of the application, an Inspector will be assigned to the applicant. The assigned Inspector will be required to carry out a detailed examination of all aspects of the operation, including management structure, adequacy of pilots and ground staff and arrangements for their training, equipment and facilities. A detailed examination will also be made of the Operations and Training Manuals, the company Safety Management System (SMS) and written Risk Assessments. All these matters will be assessed in relation to the scale, scope and circumstances of the applicants proposed operations. Manuals, as amended, will be retained by the CAA during the currency of a Certificate. The proposed balloon(s) must have an EASA Standard Certificate of Airworthiness and a current Airworthiness Review Certificate, with an EASA approved Flight Manual. The Certificate of Registration must also be held by the Operator. The balloon must have an approved Maintenance Programme in accordance with Regulation (EC) No. 2042/2003 Part M Subpart B M.A.302. The necessary paperwork, both operational and administrative, to support balloon operations must be available for the Operators use. This will include an approved Technical Log system in accordance with M.A.306, Loadsheet and Passenger Manifest (normally all combined), and Flight Time Limitations (FTL) forms for each pilot. An examination will be made of the adequacy of arrangements and facilities for balloon maintenance. Operators are required to supply the relevant maintenance arrangements. A proving flight in the balloon for which application is made will be required and will be accompanied or observed by the assigned Inspector. In the case of adverse weather the balloon should still be available for inspection. The assigned Inspector will undertake an audit visit at the applicants proposed operations office. If the audit procedure reveals any significant non-conformity, the Operator will be advised in writing of the details and be advised that it must be addressed.
3.6
3.7 3.8
3.9
3.10
3.11
4
4.1
Form of an AOC(B)
Air Operators Certificates (Balloons) are granted for a 12 month period. The Balloon Group(s) which may be flown, the region(s) in which operations may be conducted and all company trading names will be specified in the Certificate. Included in the AOC(B) will be the General Conditions applicable to all holders and any Special Conditions to be observed by the applicant. A specimen Air Operators Certificate (Balloons) is at Appendix 1 to Annex C. Subject to the Operations Manual, the issue of the FTL approval required by the ANO 2009 (as amended) will be arranged. A specimen Regulation of Flight Times Approval is at Appendix 2 to Annex C.
4.2
5
5.1
Variation of an AOC(B)
If the holder of an AOC(B) requires to apply for the variation of a Certificate as detailed within this paragraph, an application on the appropriate form must be made to the Flight Operations Inspectorate Department giving at least 20 working days before the change is required to become effective. An example of the Variation Form for an AOC(B) is at Appendix 4 to Annex B. The form can be downloaded from the CAA website at www.caa.co.uk/SRG1311.
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5.2
The signed application for variation must be accompanied by the appropriate charge, all pages of the current Certificate and other required documentation as detailed below. On receipt of an application for variation, the assigned Inspector will normally be directed to carry out an investigation, which may include a requirement to accompany or observe a proving flight. Change of the Company Name, Holders Name or Trading Name(s) The AOC(B) holder must provide documentary evidence supporting the proposed change of names. Where limited companies are involved, the company number must be quoted. No trading name that is the same as, or is so similar to an existing trading name that it, in the opinion of the CAA, may lead to future confusion, will be accepted by the CAA. The company Operations Manual will need to be amended to include amended headers and footers. Additional Balloon Groups The holder must confirm that the company Chief Pilot meets the criteria to operate balloons of the additional group proposed. The company Operations Manual will need to be amended, to give details of the additional balloon group, new balloon(s), fuel required figures and load calculation ready reckoner. A copy of the Maintenance and Continuing Airworthiness management arrangements for the new balloon will be required for CAA approval. Confirmation will be required that the additional balloon has an EASA Certificate of Airworthiness, with a current Airworthiness Review Certificate and that the balloon has a CAA Approved Maintenance Programme. Additional Region of Operation The AOC(B) holder must submit written confirmation that permission has been obtained for the proposed operations from the authorities in the country or countries concerned. Arrangements for obtaining aeronautical information and appropriate weather forecasts for the proposed region must be clearly defined. A detailed map showing the proposed operating area must be submitted to the CAA. The necessary amendments to the company Operations Manual must be forwarded to the CAA. Details of proposed changes to the maintenance arrangements, along with written confirmation from the companys maintenance organisation that they are able to supply maintenance support in the proposed Region of Operation must be submitted to the CAA for agreement. Change of Nominated Post Holders A request from an Operator to change a contracted-out Continued Airworthiness Management Organisation (CAMO) will require the submission of a variation application and associated fee.
5.3
5.4 5.4.1 5.4.2 5.4.3
5.4.4 5.5 5.5.1 5.5.2
5.5.3 5.5.4
5.6 5.6.1
5.6.2 5.6.3 5.6.4 5.6.5
5.7 5.7.1
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5.7.2
Except as required in paragraph 5.7.1, a request from an Operator to change the names or the listed duties of the accountable manager or a nominated AOC(B) post holder will not be regarded by the CAA as a request for a variation of the AOC(B). When the Operator submits the name of a new nominee for any of the nominated post holders listed in the Operations Manual, the CAA will require the Operator to produce a written rsum of the proposed persons qualifications. This must be completed on CAA Form 4 (SRG 2815) (see Appendix 7 to Annex B). The CAA reserves the right to interview the nominee or call for additional evidence of his suitability before agreeing the change. Change in Continuing Airworthiness Management and Maintenance Support The Operator must submit the new contract(s) for approval together with evidence that the Operator is contained within the Continuing Airworthiness Management Exposition (CAME).
5.7.3
5.8 5.8.1
6
6.1
Renewal of an AOC(B)
The holder of an Air Operators Certificate (Balloons) wishing to apply for annual renewal of the Certificate should apply on the appropriate form to the Flight Operations Inspectorate Department at least 15 working days before the current expiry date. An example of the Renewal Form for an AOC(B) is at Appendix 5 to Annex B. The form can be downloaded from the CAA website at www.caa.co.uk/SRG1312. The signed application for renewal must be accompanied by the appropriate charge and, if required, the completed Return of Operating Data questionnaire. This will normally be required if a full CAA audit has not been undertaken within the preceding 12 months. A blank Return of Operating Data questionnaire is at Appendix 6 to Annex B. The form can be downloaded from the CAA website at www.caa.co.uk/SRG1316. Page 1 of the current Certificate must also be returned to the CAA Prior to renewal of the AOC(B), the assigned Inspector will carry out a review of the AOC(B) holder, including a review of the completed Return of Operating Data questionnaire (where submitted) and of the holders Operations Manual. If the Operator holds its own continuing airworthiness management and maintenance approvals then this will be subject to an annual audit. If these tasks are contracted to a 3rd Party then that organisation will be subject to audit in accordance with Regulation (EC) No. 2042/2003. Audits of the Operator may still be undertaken by the survey department to ensure standards are being upheld. Subject to meeting the requirements of article 12 of the ANO 2009 (as amended), a replacement page 1 will be issued for a further period of validity. The current AOC(B) Certificate should not be returned to the CAA when an application is made for renewal.
6.2
6.3
6.4
6.5 6.6
7
7.1
Loss of an AOC(B)
Operators are reminded that their Air Operators Certificate (Balloons) is an official document and special care should be taken with it. A charge will be made if a Certificate has to be re-issued at the request of the holder. If an Operator ceases operations, or if the CAA revokes or suspends the Certificate, it must be returned immediately, by secure delivery, to the office of issue.
7.2
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8
8.1
Routine Liaison and Audit Visits

During the currency of an AOC(B), the CAA will require periodic reports on the continued competence of the holder. For this purpose, the assigned Inspector will make liaison and audit visits to the operating base and launch sites. All CAA Inspectors are 'authorised persons' for the purposes of the ANO; they are also authorised for the purposes specified in General Condition A1 of each AOC(B) (see Appendix 1 to Annex C). Inspectors may also fly in the Operators balloons during the course of normal operations (see General Condition A2 in Appendix 1 to Annex C). Arrangements for such flights will normally be made in advance, but the right is reserved for Inspectors to inspect balloons without prior notice and Operators should advise their pilots accordingly. The operational checks that will be undertaken are detailed in the information document 'CAA Liaison and Audit Visits Notes on Preparation for CAA AOC (Balloon) Audit Visits', see Annex D. Inspectors and Surveyors carry an Authority which will be produced on request. No charge or fare will be paid in respect of the carriage of an Inspector on duty. To keep the CAA informed on the continuing adequacy of balloon maintenance arrangements, Surveyors from the Survey Department may make periodic checks of the Operators facilities and records. The maintenance checks that will be undertaken are detailed in the information document 'CAA Liaison and Audit Visits Notes for AOC (B) Holders', see Annex D. Operators may be visited from time to time by Training Inspectors (see General Conditions A3 in Appendix 1 to Annex C). The primary purpose of their visits will be to observe the conduct of training flights, including competence checks and type rating tests.
8.2
8.3 8.4 8.5
8.6
9
9.1
Variation, Suspension or Revocation of an AOC(B) by the CAA

An AOC(B) may be varied, suspended or revoked if the CAA can no longer be satisfied that the operation is safe. In the event, the Operator will be informed in writing of the details of the conduct of his operation which are causing concern. The CAA will require remedial action to be taken within a specified period. In the event that an Operator fails to satisfy the CAAs concerns, a final written warning will, whenever possible, be given to the Operator together with a firm date by which specified action to satisfy the CAA must be taken. It will be made clear that failure to satisfy the CAA may result in enforced variation, suspension or revocation of the AOC(B). Circumstances may preclude recourse to the process described in paragraphs 9.1 and 9.2 above. In such cases the CAAs duty to preserve safety is of paramount importance and therefore the CAA may immediately provisionally vary or suspend any AOC(B) which it has issued, pending further enquiries. When a decision has been taken to suspend or vary an AOC(B), the Operator will be informed by the quickest available means. In the event of full suspension of the AOC(B), the Operator will be instructed that no public transport operations can continue or, if an enforced variation of the AOC(B) is intended, those elements of the operation which are affected by the variation cannot continue. The 'quickest available means' will in most situations mean the use of facsimile or other telegraphic message. This will be followed by a formal letter giving notice of suspension, or variation, restating the requirement to cease operations as applicable, and also setting out the conditions on which suspension may be lifted.
9.2
9.3
9.4
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9.5
An AOC(B) cannot remain suspended indefinitely. Steps may be taken by the Operator to reinstate the AOC(B) or, in default, will be taken by the CAA to revoke the AOC(B). Should an Operator wish to dispute the suspension of his AOC(B), he will be informed of such rights of appeal as exist under the Civil Aviation Authority Regulations for the time being in force. If an appeal is lodged, the AOC(B) will remain suspended until the appeal process is complete. Suspension of an AOC(B) may be lifted on appeal or if the Operator satisfies the CAA as to his competence. Operations will not be permitted to restart until necessary inspections have been made. In particular, checks on flight crew recency and on the maintenance state of the balloon will be carried out. The CAA will issue a formal notice of the lifting of suspension before operations are permitted to resume. The CAA will give an Operator notice that it intends to revoke the AOC(B) followed by a formal letter of revocation to the Operator. Should an Operator wish to dispute the revocation of his AOC(B), he will be informed of such rights of appeal as exist under the Civil Aviation Authority Regulations. Once revoked, there can be no further operations under the terms of the AOC(B). If an Operator ceases operations for which the AOC(B) was issued, or if the CAA revokes or suspends the Certificate, it must be returned immediately to the office of issue.
9.6
9.7
9.8
10
10.1
Region of Operation
The normal region of operation for AOC(B) Operators is mainland United Kingdom, including the Isle of Man, the Isle of Wight, the Hebrides, the Shetlands, the Orkney Islands, Isles of Scilly; not beyond any point to seaward more than 1 nautical mile from the Spring Tide high water mark. Please note, an extension to the normal region of operation is required for Northern Ireland. Application for an extension to the region of operation must be accompanied by evidence that operations in that region can be conducted safely. (See Chapter 2, paragraph 5.6).
10.2
11
Retention of Documents
Certain documents are required by article 159 of the ANO 2009 (as amended) to be retained by the Operator for a specified period, as indicated in the following table:
Document Balloon Log Book Technical Log/Certificate of Release to Service Loadsheets Training Records Period 24 months after the balloon destroyed/withdrawn from use. 2 years after the balloon destroyed/ withdrawn from use. 6 months (not in the aircraft). 2 years from the last public transport flight for which the records were required. 12 months from the last flight for which the records were required 12 months from the last relevant entry. 2 years after last entry Requirement Regulation (EC) No. 2042/2003 M.A.305 ANO 27(10) ANO 100(2) ANO Sch 8 Part C7
Records of Flight Times/ Nature of Duties Records of Duty and Rest Periods Personal Flying Log Book (Pilots Responsibility)
ANO 145(4) CAP 371 ANO 156(5)
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Chapter 3 Organisation
1
1.1
Management and Executive Staff

An effective management structure is essential; it is particularly important that the operational management has proper status in the organisation and is in suitably experienced and competent hands. The duties and responsibilities of managers must be clearly defined in writing and the chain of responsibility firmly established. The CAA will wish to be satisfied that the management organisation is adequate and properly matched to operational commitments, and gives priority to the maintenance of a high standard of safety. Managers who also undertake flying duties must spend an appropriate amount of time on their ground duties. The positions held by key personnel must be listed in each Operators Operations Manual and it will be a condition of the Certificate that the CAA shall be given 14 days notice of any intended change in appointments or functions.
1.2
2
2.1 2.1.1
Adequacy and Supervision of Staff

Pilots It will be necessary for Operators to satisfy the CAA that they have a sufficient number of pilots for the operations to be undertaken. The adequacy of the number of pilots will not be assessed against a set formula, as there will be a wide variation in requirements according to particular circumstances. Pilots must be aware of their individual responsibilities in relation to the legality and currency of any Flight Crew Licences and associated ratings and certificates held. Flying with an applicable element of a licence out of date is illegal and may invalidate insurance cover. The employment of part-time or 'freelance' pilots is acceptable. Irrespective of whether pilots are part-time or full-time employees, tests carried out to establish the competence of an Operators pilots under Schedule 8 of the ANO 2009 (as amended) must be conducted by a Type Rating Examiner on behalf of the Operator. Tests conducted on behalf of another Operator may be accepted under arrangements set out in the companys Training Manual. These arrangements must ensure that the pilot is competent to perform all the duties and responsibilities laid upon him by the Operator. See Chapter 5, paragraph 6. Chief Pilot Arrangements must be made for the supervision of pilots by a person having the experience and qualities necessary to ensure the maintenance of high professional standards. This will necessitate the appointment of a Chief Pilot. The duties and responsibilities of the Chief Pilot must be carefully defined. The CAA will require verification that arrangements for the professional supervision of balloon pilots are properly related to the size and nature of the Operators organisation.
2.1.2
2.1.3
2.1.4
2.2
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2.3 2.3.1
Continuing Airworthiness Manager/Continuing Airworthiness Co-ordinator If the Operator has its own Part M subpart G continuing airworthiness approval, the duties of the Continuing Airworthiness Manager are defined in (EC) No. 2042/2003. If Part M subpart G management has been contracted to a 3rd Party, then the Balloon Operator must nominate a Continuing Airworthiness Co-ordinator who will be the liaison link between the Operator and the contracted organisation(s). This position may be amalgamated with other positions held, providing the responsibilities are defined in the Operations Manual. As part of the functions of a Continuing Airworthiness Co-ordinator it is required that a documented audit of the contract(s) held with 3rd Party organisations are undertaken and recorded annually, confirming the Operators and contracted organisations obligations under the signed arrangement are being upheld. Ground Staff The number of ground staff needed will depend primarily upon the nature and the scale of operations; the CAA will take full account of an Operators particular circumstances. Operations staff must be suitably trained personnel who have a complete understanding of the nature of their duties and responsibilities. Retrieve crews must be trained for, and experienced in, all aspects of normal and emergency operations. Responsibility for the training and supervision of ground staff rests with the company Operations Manager.
2.3.2 2.3.3
2.4
3
3.1
Safety Management
Safety is of paramount importance in all areas of aviation. High safety standards are achieved not only by the imposition of rules and regulations but through the development of a positive safety culture or attitude in the minds of all connected with the operation of aircraft. The development of such a culture can be achieved in a number of ways, but that recommended by the CAA is the adoption of a Safety Management System (SMS). SMS allows an Operator to assess his approach to safety and assess the risks to which his operation is open. The advantage of SMS is that it can be tailored to meet the needs of both large organisations and one person operations and is thus ideal for all AOC(B) holders. Many organisations will already be operating an SMS, although it may not be thought of as such, and there is no intention to impose a given system. The crux is whether, in the event of an incident, an Operator could be both certain, and able to convince an investigating third party, that they had done all that could reasonably be done to ensure safety. The approach to SMS developed by the CAA to meet the specific requirements of the ballooning community, is based on a combination of a prepared checklist and a simple risk assessment matrix. A suggested system is shown at Annex E. The checklist consists of some 30 questions, each of which can be answered either 'Yes' or 'No'. An answer, 'Yes' indicates a safe approach, whereas an answer of 'No' requires review and corrective action. The suggested questions are not exhaustive in their coverage. Also, it is considered that all the questions are most probably relevant to large operations, but for a small operation many will not be relevant. Using a checklist allows the Operator to self-analyse his safety management processes and improve them if necessary. It is simple to use, not time consuming and cost free.
3.2
3.3
3.4
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3.5
Alongside the checklist, and to be used in parallel with it, is a simple risk matrix. This is based on a subjective assessment, based on experience and evidence, of the likelihood of each identified hazard occurring coupled with the severity of the outcome. Multiplying likelihood by severity provides an initial risk assessment. Mitigating factors can then be applied to give a final risk assessment. During audits the CAA Inspectors will discuss SMS with Operators. Their discussions will be based around the checklist and validation questions at Annex E. The Validation Questions provide a suggested indication of how the effectiveness of a company SMS can be assessed. Additional guidance on Safety Management Systems is available at www.caa.co.uk/ sms.
3.6
3.7
Facilities
The nature and scale of office services required clerical staff and equipment should be related to the number of other staff employed. It is particularly important that office services are sufficient to ensure that operational instructions and information of all kinds are produced and circulated to all concerned. Telephones must be manned or recorded while flying operations are in progress.
Accommodation
Office space at the operating base must be sufficient to provide a suitable working environment for the staff employed and for the use of crews between flights. Adequate provision must be made for operational planning, for the storage and display of essential records and for flight planning.
6
6.1
Operations Library
At the operating base, the Operator must maintain an adequate library of maps, charts, flight guides, Operations Manuals and other documents needed for reference and planning purposes and for use in flight. The library must be kept in an orderly fashion with responsibility for its maintenance clearly defined. Aeronautical charts and appropriate flight guides/aeronautical frequency information will normally be required for the area over which the Operator is certificated to fly. Arrangements must be made for the amendment of manuals, flight guides etc. and for bringing the amendments to the notice of pilots and other operating staff. A record should be kept of the distribution of manuals and amendments.
6.2 6.3
7
7.1
Balloon Library
There must be an effective system to ensure that each balloon is provided with an adequate library of manuals, maps and charts, flight guides and other necessary documents, supported by an efficient amendment service. A check list should be provided for the balloon library. A topographical aeronautical chart of the area of the intended flight shall be carried. This requirement may be satisfied by either the million or million aeronautical charts and, for detailed planning, the 1:50,000 Ordnance Survey (OS) maps annotated with Sensitive Area information for the planned route. Aeronautical information may be transferred to the OS sheet but this does not remove the necessity to also carry a current aeronautical chart.
7.2
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Instructions to Pilots
Operations Manuals should be supplemented by a procedure for bringing urgent or temporary information to the notice of pilots. Full use should be made of this procedure to bring significant Aeronautical Information Circulars, NOTAMs etc. to the attention of pilots.
9
9.1
Legislation and Aeronautical Information

All pilots and other operating staff who may be concerned should have access at their normal operating base to: a) United Kingdom (or other local) Pre-Flight Route and Aerodrome Information Bulletins; b) United Kingdom (or other local) Temporary Navigation Warning Bulletins; c) The ANO and Regulations currently in force, amended to date; d) Aeronautical Information Circulars (AICs); e) United Kingdom (or other local) Frequency Guide; and f) EC Regulations and the associated Acceptable Means of Compliance and Guidance Material.
9.2
Where this information is accessed through electronic means, a system must be in place to ensure that such information is accessed on a regular basis. For example, NOTAMs daily, prior to undertaking any flying and AICs monthly, as issued. Where aeronautical information is available to flight crews through an Aeronautical Information Service unit, it may not be necessary for the Operator to duplicate the service; however, it is his responsibility to ensure that the information is readily available. Operators are recommended to keep a record (either paper or electronic) of relevant NOTAM information that has been accessed.
9.3
9.4
10
10.1
Occurrence Reports
Responsibility for making occurrence reports, must be assigned to a suitably qualified safety officer appointed for the purpose. Reports should be made to the CAA through this official. (See also Chapter 4, paragraph 22). Where appropriate, the circumstance of an incident should be made generally known within the Operators organisation and, where relevant, the maintenance organisation. Particular care is to be taken to ensure that originators of occurrence reports are informed of the outcome of any subsequent investigations. To this end, full use should be made of the facilities provided for the exchange of information on occurrences and accidents by the CAAs Safety Data. NOTE: Mandatory Occurrence Reporting is required by the ANO and Commission Regulation (EC) No. 2042/2003 M.A.202 in respect of all aircraft registered in the United Kingdom that are undertaking a public transport flight. Operators must report to the CAA any occurrence interpreted as being within the guidance given in CAP 382 The Mandatory Occurrence Reporting Scheme. (See also Chapter 4, Paragraph 22).
10.2
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11
Disaster Management
There must be an effective company policy on disaster management. This will require a written disaster management plan, regularly reviewed by the Chief Pilot. (See also Chapter 4, paragraph 23).
12
Balloon Continuing Airworthiness and Maintenance

Requirements relating to continuing airworthiness management and maintenance arrangements are contained in the relevant parts of Commission Regulation (EC) No. 2042/2003 as amended and in Chapter 7 of this publication.
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Chapter 4 Operations Manual

1
1.1
Purpose and Scope of Manual

It is a statutory requirement that an Operations Manual shall contain all such information and instructions as may be necessary to enable the operating staff to perform their duties. (ANO 2009 (as amended) article 83(5).) The ANO describes operating staff as the servants and agents employed by the Operator, whether or not as members of the crew of the aircraft, to ensure that flights are conducted in a safe manner; this includes an Operator who himself performs these functions. A list of particular matters to be covered in Operations Manuals is prescribed in the ANO. The purpose of this chapter is to give some indication of the manner in which the requirements relating to the operation of balloons should be met. The Flight Manual forms part of the balloon C of A and is therefore one of the documents which must accompany the flight. Flight Manual information may be incorporated into the Operations Manual, provided this is agreed by the CAA. The Operator is responsible for ensuring that all such information is kept up-to-date on a regular basis. The Operators region of operations must be taken into account in the preparation of Operations Manual instructions. Each copy of the Operations Manual must bear a serial number, and a list of holders should be maintained by the person responsible for issuing amendments. Where this system is not used, an Operator must have satisfactory alternative arrangements for controlling the issue and amendment of Manuals. Each manual must bear a title and list of contents, giving a clear indication of its scope. At the front there must be an amendment page to indicate amendment number, date of incorporation and the signature or initials of the person(s) making the amendment. All pages must be dated. The arrangements of pages, sections, paragraphs, etc. must be orderly and systematic to facilitate immediate identification of any part of the subject matter. The standard of printing, duplication, binding, section dividers, indexing of sections, etc. must be sufficient to enable the document to be read without difficulty and to ensure that it remains intact and legible during normal use. The amendment of an Operations Manual in manuscript is not acceptable. Changes or additions, however slight, must be incorporated by the issue of a fresh or additional page, dated accordingly, on which the amendment material is indicated by a vertical line in the margin. It is most important for Operators to appreciate that it is their responsibility, under the relevant statutory provisions, to provide adequate instructions and accurate information to their operating staff. Inspectors will check Operations Manuals lodged with the CAA and will advise where and when amendments become necessary. The primary purpose of these checks will be to verify the adequacy of the Operators systems and procedures for keeping instructions and information under review, and for issuing timely amendments as necessary. There can be no question of the CAA or its Inspectors assuming responsibility for the detailed information provided in Manuals. This responsibility rests with the Operator, who should designate a suitably qualified person to see that it is properly discharged.
1.2
1.3
1.4
1.5
1.6
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Flight Crew
The claimed experience of potential employees must be substantiated. Log book entries must be checked to see if they are realistic and further checks made with previous employers and with the CAAs Licensing and Training Standards where any doubt arises.
3
3.1
Responsibilities of Pilots and other Operating Staff

The Operations Manual must state the appointment and responsibilities of the Chief Pilot, Operations Manager, Continuing Airworthiness Co-ordinator and Training Pilot. In a small company these posts may be combined. It is important that operating staff should be made fully aware of the overriding responsibility and the ultimate authority of the pilot-in-command (PIC). Manuals must state that, in order to secure the safety of a particular flight, the pilot-in-command is authorised to apply greater safety margins (e.g. higher fuel reserves, terrain clearance standards or lower wind speed limits) than those specified by the Operator for normal operations. In defining the duties of the pilot-in-command, the Operator must include instructions on: a) company policy on appropriate safety clothing for pilots and the carriage of third parties in the pilots compartment of a partitioned basket. This guidance must include the wearing of long trousers and sleeves, preferably in natural fibres, suitable footwear and gloves; b) pre-flight briefing of ground crew; c) the briefing of passengers on emergency procedures and equipment, including suitable clothing, and (where appropriate), lifejackets, protective headgear and passenger landing position blocks. (Guidance on appropriate clothing must have been included in printed material given to passengers prior to the day of the planned flight. This advice should include the wearing of long trousers and sleeves, preferably in natural fibres and suitable footwear. Prior guidance may also be given on suitable headgear); d) the responsibility for supervising refuelling and for ensuring that tanks and hoses are secure and free of leaks; e) the responsibility for checking the condition and security of fire, safety and medical equipment; f) the responsibility for ensuring the correct completion of the Technical Log, both before and after flight; g) the responsibility for supervising the loading of the balloon; h) company policy on the carriage of children and aged or infirm or handicapped passengers should be stated; and i) the use of pilot restraint harnesses that are fitted to all company balloons. Instructions must state that such harnesses must be worn and attached before the balloon quick release restraint is released, worn throughout the flight, and not released until the end of the flight when the balloon has come to a complete and final standstill.
3.2
3.3
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3.4
Pilots must not be under the influence of alcohol or drugs during flying duty periods. Operators must issue instructions to pilots on their personal responsibilities. They should include clear guidance on: a) abstention from alcoholic drinks for a suitable period prior to any flight duty period. Although pilots must not fly for at least eight hours after taking small amounts of alcohol and proportionally longer if larger amounts are consumed, it would be prudent for a pilot to abstain from alcohol for at least 24 hours before flying; b) drugs (including over the counter medications which do not require a doctors prescription), many of which have adverse effects on the nervous system. As a rule, if a pilot finds it necessary to take, or has been prescribed, some form of medication, his fitness to fly must be suspect, and he should seek aeromedical advice before commencing or continuing with flying duties; c) the need to seek aeromedical advice from an authorised medical examiner or other doctor with specialist knowledge of aviation medicine prior to returning to flying duties following any surgical procedure; d) the need to seek medical advice concerning the period to be observed before returning to flying duties following immunisation; e) acting as blood donors. Pilots must not undertake flying duties for at least 24 hours after they have given blood; and f) crew members whose sporting activities include deep sea diving to a depth exceeding 10 metres must not fly within 24 hours of completing such activity. Aeronautical Information Circulars issued from time to time on these subjects may form a useful basis for instructions to be included in the manual and Operators encountering any special difficulty in framing their instructions may call upon the Authoritys Medical Branch for advice. A Parliamentary Act is the UK legislation that extends testing for alcohol and drugs to aircrew, licensed engineers and air traffic controllers. The permissible limits vary depending upon the role of the person but, in genereal, they are lower than those applicable to the driving of motor vehicles.
Crew Composition
The minimum flight crew to be carried shall never be less than is stipulated in the balloons Certificate of Airworthiness or the balloon Flight Manual. The standard crew for Company balloons is one pilot. For training and testing purposes, the training captain will normally be in command. If a crew consists of more than one pilot then one pilot will be designated commander of the balloon.
5
5.1 5.2
Flight, Duty and Rest Period Limitations

Operators must satisfy the statutory provisions prescribed in the ANO and the requirements contained in CAP 371 'The Avoidance of Fatigue in Aircrews'. In accordance with the statutory provisions, Operators schemes for the prevention of fatigue must be approved by the CAA and incorporated in the Operations Manual. Any amendment to the Operations Manual in this connection must be approved by the CAA in advance. Applications for approval, amendment or variation of such schemes should be addressed to the Flight Operations Inspectorate (General Aviation).
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5.3
Operators are required to maintain and provide readily interpreted Flight and Duty Time records for each pilot, including part-time or 'freelance' pilots. It follows that suitable arrangements must exist for collecting the information necessary to compile the records. Accurate records are essential to persons responsible for the rostering of pilots. Article 145(3) of the ANO 2009 states that Operators must be in possession of pilots Flight and Duty Time records for the 28 day period immediately preceding a flight for the company. This applies to all pilots, including freelance, even if they only undertake one commercial flight for the company.
5.4
6
6.1
Balloon Technical Particulars and Operating Procedures

Technical Particulars of the Balloons In meeting the requirement to provide these particulars, Operators should take care to distinguish between specific information to be used in the course of flight operations and more general basic information that a pilot might need to prepare for a rating examination. Information on the following matters should be provided in a form suitable for use as immediate reference in day-to-day operations: a) the effect on essential systems of serious faults. Information to be provided may vary with the type of balloon and should be in a readily identifiable section of the Manual; b) operational guidance on the actions to be taken in the event of a malfunction; c) procedure for carrying out a Preflight Check (previously known as the Check A); d) procedure for the replenishment of fuel tanks: i) refuelling from a bulk supply; ii) refuelling from cylinders; and e) details of how the balloon is managed for continuing airworthiness, and how scheduled and non-scheduled maintenance are catered for. (See Chapter 7 for more detailed information.)
6.2
Performance Operators must provide pilots with simplified information from which they can readily determine, without reference to a flight manual or performance schedule, the total permitted lift at take-off on all flights.
6.3
Operating Procedures Information must be given on: a) Briefing of Passengers to include approaching the balloon, precautions to be observed in flight, and before and during the landing, together with emergency and evacuation procedures. Written instructions for pilots must be provided. b) Wind Speed Limits to include the procedure to be followed before taking off in a surface wind speed exceeding 8 knots and restrictions for pilots upgrading to balloons, in excess of 50% larger than the largest envelope capacity upon which the pilot has undertaken 10 public transport flights within the past 24 months. c) Selection of Landing Site The British Balloon and Airship Company (BBAC) Code of Conduct. Identification of overhead lines and other obstructions. d) Ground Handling All ground crew are to be appropriately trained. Quick release tether. Retrieve procedure. Recovery on to trailer.
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e) Emergency Procedures Emergency landings, burner or pilot light failure, power line contact and ditching procedure. Fire in the air or on the ground. Loss of radio contact.
Provisions and use of Oxygen and Associated Equipment

If oxygen is not carried, or if a balloon is not correctly equipped either temporarily or permanently, instructions on restricting operating altitudes must be included.
Life Jackets
The manual must state that life jackets must be provided for all persons on board a balloon when planning a flight that involves one or more of the following: a) flying over water where it is reasonably possible that the balloon might be forced to land onto water; b) taking off or landing at a site where the take-off or approach path is so disposed over water that in the event of a mishap there would be a likelihood of ditching; or c) when the wind is less than 5 knots onshore at take-off from a site located within 1 NM of water measured at the ordinary high water mark.
9
9.1 9.2
Wake Turbulence from Aircraft

Advice must be included on the hazards of wake vortex turbulence from large (and even medium sized) aircraft. Wake vortices emanate from the wing tips of an aircraft and form two horizontal spirals of rotating air behind the aircraft. They are nothing to do with the jet blast from the engines, which are a further hazard. These vortices increase to a diameter of about 200 feet, and descend at a rate of about 500 feet per minute until either hitting the ground or reaching about 1000 feet beneath the aircraft flight path. Tests have measured the tangential velocity of the vortex at speeds of up to 133 knots, which would probably be more than sufficient to tear a balloon envelope apart. On reaching the ground, the vortices spread gently outwards at a speed of about 5 knots, so that with a 5 knot crosswind they actually stay directly below the aircraft flightpath. Vortices can persist, in stable air conditions at sufficient strength to cause upset to other medium sized aircraft, for at least 5 minutes. Therefore, at strengths to cause serious balloon envelope distortion or damage, they may well persist for 10 to 15 minutes. Vortices are created at all times during flight, but are worse when the aircraft is heavy and slow. Pilots are advised to avoid crossing close under the flight path of an aircraft for at least 15 minutes. If such a path must be crossed, pilots are advised to try to climb above it. Further guidance on wake turbulence is available in Safety Sense Leaflet 15 Wake Vortex, at www.caa.co.uk/safetysenseleaflet15.
9.3 9.4
10
10.1
Minimum Equipment Lists

Operators may not operate balloons with unserviceable equipment, except in accordance with a permission issued by the CAA. Such permission will be granted only when the content of the Minimum Equipment List (MEL) is acceptable. An MEL must be submitted to the Flight Operations Inspectorate (General Aviation) at the time of application for an AOC(B).
10.2
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11
11.1
Fuel Planning and Management

The total quantity of fuel carried on board the balloon must be sufficient for the intended flight and must include a safe margin for emergency contingencies. The manner in which the amounts are calculated and records to be made must be specified. Minimum fuel remaining on landing must be stated. Fuel planning tables must be provided for all balloons. The tables must take account of the size of the balloon and the duration of the intended flight and should refer to the conditions for which the figures apply. Monitoring Fuel on Board There must be instructions for ascertaining, before departure, that the amount of fuel on board meets the pilot-in-commands requirements. In flight, there must be instructions for ensuring that if, at the point of intended landing, the amount of fuel calculated to remain unused is likely to become less than any minimum quantity specified, this fact becomes apparent at an early stage. Procedures for changing tanks and for isolating and evacuating the fuel system on landing must be stated. Before signing the Technical Log Sector Record Page, the pilot-in-command must be satisfied that the correct quality and quantity of fuel is on board and that it has been loaded in accordance with instructions.
11.2
11.3 11.3.1
11.3.2
12
Check Lists
The drills and checks for normal, abnormal or emergency conditions must be listed in the Manual.
13
Use and Checking of Altimeters

Operators must have a clear policy on altimeter setting procedures, particularly their use of QFE (Atmospheric Pressure at Aerodrome Elevation) and QNH (Regional Atmospheric Pressure at Sea Level). This policy must be clearly described in Operations Manuals to cover all phases of flight.
14
Emergency Evacuation Procedures

Procedures for the evacuation of a balloon and for the care of passengers following a hard landing, ditching, power line contact or other emergency are to be specified.
15
15.1
Radio Watch
There must be an instruction that if in the course of a public transport balloon flight a balloon is likely to enter Controlled Airspace, an Aerodrome Traffic Zone or a Military Aerodrome Traffic Zone then an aeronautical radio station must be carried. If the balloons flight takes it within 3 NM horizontally, or 1,000 ft vertically, of any of the above mentioned airspace other than a Military Air Traffic Zone, then two way communication must be established with the appropriate Air Traffic Control unit. Whilst the avoidance of a Military Air Traffic Zone is not a legal requirement for a civilian aircraft, considered best practice is to act in accordance with paragraph 15.2.
15.2
15.3
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16
16.1
Airfield Operating Minima Take-Off, En-route and Landing

Conditions for take-off must be specified in terms of visibility and surface wind speed. It must be stated that all public transport flights are to be carried out under Visual Flight Rules (VFR), and not at night. Conditions for VFR flight must be specified. The manual should reflect that most public transport balloon flights depart from unlicensed sites, defined as unlicensed aerodromes for the purpose of the ANO. Unlike licensed aerodromes, these sites would not normally have any external fire extinguishers. Operators shall therefore provide and staff an effective fire and rescue facility which can respond to a balloon accident or incident pending the arrival of external emergency services Such facilities are to be provided on a scale commensurate with the size of the balloon(s) in use, to include sufficient quantities of suitable fire fighting agent(s).
16.2
17
17.1
Evening Flights
The risk of collision with overhead lines is considerable and cannot be overstated. The risk is considerably increased during evening flights in conditions of failing light and visibility when there is increasing pressure to land. A number of incidents have occurred in the late evening in just such conditions, and may have been avoided had an earlier landing been planned. Under the ANO, flights are allowed up to 30 minutes after the time of official sunset. It is recommended that Operators add a stipulation to their Operations Manual that all public transport balloon flights be planned to land well before official sunset and that the final 30 minute period before official night is to be used for contingency purposes only.
17.2
18
18.1
Rules of the Air

Operations Manuals must state that Operators and pilots must comply with the Rules of the Air at all times during their operations. The rules governing low flying specify minimum heights and distances and apply to all aircraft including balloons. Operators wishing to take off from sites within congested areas may only do so in compliance with the conditions of a CAA Permission issued in accordance with Rule 5(2)(c) of the Rules of the Air Regulations. Such a Permission is issued annually by the Flight Operations Inspectorate Department and is valid for members of the BBAC, provided that a copy of the Permission is carried. Non-members of the BBAC may apply to the CAA for an individual Permission; such application involves payment of a charge. The Permission is granted subject to conditions designed to ensure the safety and convenience of all concerned and must be observed on every occasion on which a site is used. It should be noted that a particular sites suitability for use may be subject to weather criteria, for example surface wind direction and speed. The Permission is only applicable to the first five minutes of any flight, after which the Rules of the Air apply. Flights over areas other than congested areas must comply with the 500 foot rule (Rule 5(2)(b)) except when taking off and landing in accordance with normal aviation practice.
18.2
18.3
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19
19.1 19.1.1 19.1.2
Loading
Loading Instructions It must be stated that the maximum permitted lift for the balloon must not be exceeded. The following precautions must be observed: a) actual weights must be used for all passengers. It may be necessary in case of doubt to verify an individual passengers weight; b) account must be taken of equipment not included in the basic weight of the balloon; c) weights used for fuel and empty cylinders must be checked against the type of tank in use; d) care must be taken to specify and employ a common unit of weight throughout, normally kilogrammes; and e) the maximum permitted number of occupants for the type of balloon must be specified, together with the maximum number in any one compartment.
19.2 19.2.1
Loadsheet Contents The loadsheet must account for all items of the laden weight. Although they may not always be specified individually, the following are examples of items to be included: a) fuel; b) balloon library, unless these items are included in the basic weight; c) passengers baggage; d) safety and emergency equipment; and e) all other items of removable equipment including removable radios.
19.2.2
Loadsheets must give names and actual weights of passengers.
20
20.1
Dangerous Goods, Weapons and Munitions of War

Carriage of Dangerous Goods The Air Navigation (Dangerous Goods) Regulations 2002 set out the applicable requirements, including those relating to Operators responsibilities. They require that a written approval be issued by the CAA before dangerous goods are carried. (CAP 393, Section 7, article 4).
20.2
Carriage of Weapons and Munitions of War Weapons and munitions of war may only be carried with the written approval of the CAA.
21
21.1
Accident Reporting
An Accident Report is required for balloons operated for any purpose (private, aerial work or public transport) when involved in an accident or serious incident, as defined in Section 75 of the Civil Aviation Act. Full details are contained in the Civil Aviation (Investigation of Air Accidents and Incidents) Regulations 1996 (Statutory Instrument 1996 No. 2798).
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21.2
Provision must be made for all operating staff to have ready access to the prescribed requirements for the reporting and investigation of accidents. In particular, operating staff should be familiar with the definitions used in the legislation, the duty to furnish information and the rules governing the removal of damaged aircraft. Instructions must be issued regarding the reporting to the regulatory authority of the country concerned of any accidents which occur overseas, and the action necessary to prevent removal or interference with any part of the balloon without proper permission. This is in addition to the pilot-incommands and/or Operators existing responsibility to inform the UK Chief Inspector of Air Accidents, Air Accident Investigation Branch (AAIB). The Operations Manual should contain the address and relevant contact numbers of the AAIB. If doubt exists on whether an occurrence is an accident or an incident, it should be reported to the AAIB. The details will then be passed to the CAAs Safety Data, if appropriate.
21.3
21.4
22
22.1
Occurrence Reporting
Mandatory Occurrence Reporting is required by the ANO in respect of all aircraft registered in the United Kingdom that are undertaking a public transport flight, including balloons. Operators must report to the CAA any occurrence interpreted as being within the guidance given in CAP 382 The Mandatory Occurrence Reporting Scheme. For details of availability of printed copies of CAA publications and amendment services, please see the inside cover of this document. The CAAs Safety Data operates a unified and comprehensive system for processing occurrence reports and for the dissemination of information derived from them. A standard occurrence report form is in use. Copies can be obtained in electronic format at www.caa.co.uk/srg1601 and an example is at Annex F, Appendix 1. Certain incidents, such as bird strikes and airmisses, can be reported on special forms. Reports may also be made on the incident report form provided by the British Balloon and Airship Club. A copy of this is at Annex F, Appendix 2. Operations Manuals must specify the persons responsible for raising occurrence reports and give such guidance as will enable them to comply with the requirements of the ANO and Regulations. AOC(B) holders must include instructions on the procedure for the reporting of accidents and incidents, using criteria provided in CAP 382. An accident notified to the UK Chief Inspector of Air Accidents in pursuance of the Civil Aviation (Investigation of Air Accidents and Incidents) Regulations shall not constitute a reportable occurrence for the purpose of Mandatory Occurrence Reporting.
22.2 22.3
22.4
22.5 22.6
23
23.1
Disaster Management Plan

A company disaster management plan is required, written and regularly reviewed by the Chief Pilot. Instructions with regard to post crash management, including the establishment of a co-ordination centre and the nomination of a company on-scene incident officer, must be included. It is recommended that reciprocal arrangements whereby commercial balloon Operators in the same locality agree to assist each other in the event of an accident are established.
23.2
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23.3
The plan should also contain an up-to-date list of those telephone numbers which could be required. These will include, local Accident and Emergency Hospitals, the police, the electricity board and contact numbers for company employees and the nominated other local commercial balloon Operator. Two appendices, entitled Disaster Management Plan and Emergency Telephone Numbers must be added to the rear of the company Operations Manual.
23.4
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Chapter 5 Training and Testing

1
1.1
General Requirements for Flight Crew Training and Testing

The statutory requirements relating to the training and periodic testing of pilots are specified in the ANO and represent the minimum acceptable standard. The primary purpose of this chapter is to indicate the nature of the arrangements considered necessary to secure an adequate standard of compliance and to specify those tests which form part of that compliance. Under normal circumstances a person administering any periodic check specified in Schedules 7 and 8 to the ANO 2009 (as amended) should be currently qualified to at least the standard that the person being examined is required to demonstrate during that check. The conduct of tests by examiners will occasionally be observed by appropriately qualified CAA Training Inspectors.
1.2
1.3
2
2.1
Training Manual
It is a statutory requirement that a Training Manual shall contain all such information and instructions as may be necessary to enable persons appointed by the Operator to give or supervise the training, practice and periodic testing of flight crew in the performance of their duties. Care must be taken not to interpret paragraph 2.1 as meaning that a Training Manual should contain technical and operating information for general instructional purposes. Rather, it should remain concise in its purpose of giving formal expression to the Operators training policy and requirements, together with guidance on these matters to instructors and examiners. The Training Manual is regarded by the CAA as the primary indication of the standard of training and testing likely to be achieved by an applicant for, or holder of, an AOC(B). One copy must be submitted to the CAA, preferably with the initial application for an AOC(B). For balloon operations the Training Manual is an integral part of the Operations Manual. In addition to the more general matters of policy, the following in particular must be included in the Manual: a) the name of the person responsible for the supervision of aircrew training and testing; and the name of the authorised company Type Rating Examiner; b) minimum standards of recent experience and of initial and periodic training to be met by pilots for each type of balloon used by the Operator; c) specimen record forms in respect of all training and testing; d) arrangements for administering and recording the periodic testing of all pilots; and e) instructions covering retesting and retraining after unsatisfactory performance or periods off flying due to illness or other causes.
2.2
2.3
2.4
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Training and Testing Staff

A person, whose qualifications and experience are agreed to be suitable by the CAA, must be designated to take general and overall charge of arrangements for the training and testing of flight crews. This persons name, authority and responsibilities must be clearly defined in the Operations Manual. In a small company the post of Training Pilot may be combined with that of the Chief Pilot.
Flying Experience Requirements

The flying experience requirements required by an applicant for a CPL(B) are detailed in the CAAs LASORS publication. The minimum number of hours required by an applicant for an unrestricted CPL(B) is 75 hours, of which not less than 60 hours must be as pilot-in-command. To operate as a line pilot for an AOC(B) holder the minimum total experience is 100 hours.
5
5.1
ANO 2009 Schedule 7: Flight Crew of Aircraft

Schedule 7 of the ANO 2009 (as amended) specifies training qualifications for Licensing Purposes. In general, the Schedule 7 Test for a type rating Certificate of Test is integrated with the Operators annual type competence check (base/line check); the two are administered simultaneously by an examiner who is authorised as a Type Rating Examiner by the CAA. (See Annex G). The authority to conduct checks required by Schedule 7 is normally delegated to nonCAA examiners. Prior to granting authorised status, the CAA must be satisfied that training in the relevant skills has been undertaken. Initial General Flight Test The General Flight Test (GFT) is conducted by an examiner authorised for the purpose by the CAA. Currently many such examiners are sponsored by the British Balloon & Airship Club. The GFT may be conducted in either Groups A or B and this will be the first Group included in the Aircraft Rating of the licence. An initial certificate of test [C of T] (or certificate of experience [C of E] if the CPL(B) is to be restricted to aerial work and private flying) will be valid from the date that the licence holder receives their CPL(B) from the CAA, and will be valid for 13 months from the date of the successful GFT for this first Group.
5.2
5.3
5.4
Additional Balloon Groups To add further Groups to the licence, an Aircraft Rating flight test is required. This test is conducted by a Type Rating Examiner (TRE). The CPL(B) GFT examiners are authorised for this purpose, as are company TREs. If successful, an additional Group will be added to the Aircraft Rating and an additional C of T included. This will be valid from the date that the licence holder receives the amended licence back from the CAA, and for 13 months from the date of the successful Aircraft Rating flight test.
5.5 5.5.1
Renewal of the Certificate of Test The Certificate of Test is valid for 13 months. It is the responsibility of the CPL(B) holder to make arrangements for their C of T renewal prior to its expiry. Where a CPL(B) holder has more than one Group included in the Aircraft Rating of his licence, a test in the largest of these Groups will be valid for all smaller Groups.
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5.5.2
If a combined Base & Line check is also required, it is possible to combine this with a C of T renewal. In this case the TRE must hold a valid C of T for the Group in which the flight is to take place and within the preceding 90 days, he must have completed not less than three free flights, each of at least five minutes duration, for any purpose, as PIC of a balloon. Provided that the candidates C of T has not expired, it is permissible to undertake the flight on a Public Transport flight, in which case emergencies will be discussed and not simulated. The Technical Log Sector Record Page (SRP) requires that the examiner is Captain and the candidate is P1/s.
5.5.3
6
6.1
ANO 2009 Schedule 8: Public Transport Operational Requirements

Schedule 8 of the ANO 2009 (as amended) specifies the periodic training and testing required for public transport. Unlike Schedule 7 requirements, where the content of each test is specified by the CAA and examiners are advised on the manner in which tests are to be conducted, the scale and content of tests for Schedule 8 may vary from Operator to Operator, although in practice a standard combined base/line check form is used for balloons. (See Appendix 1 to Annex G). The following is a list of Schedule 8 (public transport) tests, the results of which are recorded on Operators forms. (See Annex G): a) base check; b) line check; and c) safety equipment and procedures (SEP).
6.2
6.3
The composition of tests must take into account the particular demands of the Operators AOC region of operations. It is therefore not possible for the combined base/line check to be undertaken outside of the Operators AOC region of operations. Base Check The purpose of the base check is two-fold. Firstly it fulfils the statutory requirement that pilots shall be tested on a regular basis and that their continued competence be verified and certified. Secondly it provides an opportunity for simulating emergency procedures and drills which rarely arise in normal operations. The scope of the test may be divided into two parts (See Appendix 1 to Annex G): a) simulated emergency procedures in flight; and b) emergency discussion items, in flight or on the ground.
6.4 6.4.1
6.4.2
6.5 6.5.1
Line Check The requirement is for a test of ability to perform satisfactorily a complete operation from start to finish, including pre-flight and post-flight procedures and use of the equipment provided. The Operator has a statutory obligation to check that his pilots are competent to perform their duties. (article 95(2) of the ANO 2009 (as amended)). Line checks fall into two categories, as follows: a) INITAL Line Check. Prior to starting company flying for an AOC(B) holder, a pilot will carry out such training as the company Chief Pilot may require, bearing in mind the pilots experience. This training will include line flying under supervision. Only after the pilot has a valid CPL(B) with a valid C of T for the appropriate Group, may he undertake line flying under supervision during normal public transport (PT)
6.5.2 6.5.3
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flights. On such flights the Chief Pilot is Captain and listed as such on the Technical Log Sector Record Page (SRP). He records the flight time as P1. The line flying pilot records his flight time as P1/s and is listed underneath the Captain (must not be listed with the passengers) on the SRP. He may sign the signature blocks, as applicable, but only the Captain may sign the 'Nil Defects' box after the flight. When the new pilot has at least 100 hours total experience, has completed all required Safety Equipment Procedure (SEP) training and is recommended by the company Chief Pilot, he may undertake a combined Base & Line check. This will be undertaken by a Type Rating Examiner who must hold a valid C of T for the Group in which the flight is to take place and within the preceding 90 days have completed not less than three free flights, each of at least five minutes duration, for any purpose, as PIC of a balloon. On a Base & Line check the TRE is Captain and listed as such on the SRP, with the examinee being listed underneath the Captain on the form. The check flight should be certified on the combined base/ line check form by the TRE. The training record of another Operator may be accepted subject to a period of line flying at the discretion, and under the supervision, of the Chief Pilot. b) ANNUAL or RENEWAL Line Check. The combined base/line check is valid for 13 months. It is the responsibility of the CPL(B) holder to make arrangements for their line check renewal prior to its expiry. Where a CPL(B) holder has more than one Group included in the Aircraft Rating of his licence, a line check in the largest of these Groups will be valid for all smaller Groups. Provided that the candidates C of T has not expired and the TRE holds a valid C of T for the Group in which the flight is to take place and that within the preceding 90 days he has completed not less than three free flights, each of at least five minutes duration, for any purpose, as PIC of a balloon, it is permissible to undertake the flight on a public transport flight; in which case emergencies will be discussed and not simulated. The Technical Log Sector Record Page (SRP) requires that the examiner is Captain and the candidate is P1/s. Should a pilot run out of check or fail a check, he may not operate a public transport flight until he is again fully qualified. Qualification can be achieved by a satisfactory check on a non-public transport flight, followed by a period of line flying (as appropriate) under the supervision of the Chief Pilot. 6.6 6.6.1 Safety Equipment and Procedures (SEP) The purpose of emergency and survival training and testing is to provide pilots with the necessary skills and knowledge to deal with emergency situations. (See also Chapter 6). Operators must ensure that they have an established procedure for all pilots to receive instruction on first-aid, fire, emergency and survival equipment and on any new emergency equipment that is introduced, for example when the region of operations is extended. Suitable training aids will facilitate the presentation of both classroom and practical sessions. Operators who have difficulty in providing the necessary facilities should consult outside specialist training organisations for assistance.
6.6.2
6.6.3
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Line Pilot Currency Requirements

A line pilot must hold a valid C of T and combined base/line check for the Group in which the flight is to take place. Further, within the preceding 90 days he must have completed not less than three free flights, each of at least five minutes duration, for any purpose, as PIC of a balloon.
Records of Training and Tests

Operators must keep records for all pilots, showing the dates on which tests, ratings, medical certificates, licences etc. are due for renewal. There should also be an effective system to guard against pilots being rostered for duty when checks etc. are overdue, and for verifying that licences etc. have been renewed at the appropriate time.
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Chapter 6 Safety Equipment and Procedures Training, Practice and Testing Requirements for Flight Crew
1
1.1
Statutory Requirements
Statutory requirements relating to the training and periodical testing of crews are prescribed in the ANO. The primary purpose of this chapter is to indicate the nature of arrangements considered necessary to secure an adequate standard of compliance with the statutory provisions. Before operating a public transport flight, pilots are to successfully complete training, practice and tests on the items described below.
1.2
2
2.1 2.2 2.3
Provision of Training
Practical training must be under the supervision of a person who has the appropriate specialist knowledge, ability and experience to conduct such training. Once every three years, flight crew are to attend ground courses on the subjects of basic first-aid and fire safety. Refresher courses should be booked in good time to prevent expiry of the old qualification. In exceptional cases where every attempt to arrange a refresher course has failed, Flight Operations Inspectorate (General Aviation) may extend the validity of certificates. Applications for such extensions are to be submitted, in writing, prior to the expiry of the qualification giving full details of why renewal was not completed prior to that expiry. A printed syllabus shall be presented to course attendees at the start of ground courses and printed course notes shall be presented at the end. These will serve as an aide memoir during the period between required refresher courses.
2.4
3
3.1
Basic First-Aid Training and Casualty Handling

First-aid training is to be given by an instructor qualified for the purpose. In case of doubt about the adequacy of an instructors qualifications, the CAAs Medical Department should be consulted. The following items are considered as the minimum syllabus items: a) Introduction to First-Aid; b) Primary and secondary surveys for life threatening injuries; c) Resuscitation (Theoretical and Practical): i) Establish airway, ii) Carry out cardiopulmonary resuscitation, iii) Place casualties in recovery position; d) Burns (Hot and Cold); e) Injuries to Skull, Spine, Chest and Extremities; f) Internal Injuries;
3.2
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g) Bleeding (Internal and External); h) Shock; i) Moving of Casualties; j) Particular problems related to injured children and babies; and k) Risk and safety assessment of in-flight medical emergencies. 3.3 Training is to be followed by the successful completion of an appropriate first-aid test.
4
4.1 4.2
Fire Training
Fire training must be conducted by a suitably qualified instructor. The following items are considered as the minimum syllabus items: a) Basic chemistry of combustion; b) Characteristics of liquid propane gas; c) Characteristics of a liquid propane fire and of a vapour propane fire; d) Types of Fire Extinguishers Identification, properties and operation; e) Practical fire fighting on a vapour propane fire; f) Use of Halon; g) Professional inspection of company fire extinguishers Frequency and procedure; and h) Launch site requirements and topography.
5
5.1 5.2
Medical Fitness
The commercial balloon pilot medical requirement for CPL(B) unrestricted holders wishing to undertake public transport flying is a JAR Class 2 medical certificate. The Initial JAR Class 2 medical examination and subsequent examinations can be carried out by any UK CAA AME. It is not necessary for applicants to visit the CAA Medical Division at Gatwick. However, these are UK licences therefore medical examinations must be done by a UK AME. Unlike previous UK national medical certificates, JAA medical certificates expire on a specific date and do not extend to the end of the month of expiry. The JAR Class 2 periods of validity are five years for persons aged under 30, two years for ages 30 to 49 and 12 months for persons aged 50 plus.
5.3 5.4
Company Ground Personnel

Good safety management practice indicates that AOC(B) holders ground based personnel should undertake three yearly first-aid and fire courses. This will assist an Operator in complying with its duty of care at an unlicensed airfield (launch site) and, in the event of a serious accident whereby it is possible that the pilot may be incapacitated, it is likely that the retrieve crew would be the first to attend the scene.
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7
7.1
On Line Emergency and Survival Equipment Training and Testing

As part of the Line check, company pilots are to have practised the carrying out of the relevant drills and procedures required in the case of an emergency occurring to the balloon. The following equipment must be included in the training if carried on board: a) Sufficient, adequate and suitable first-aid kits and their contents; b) Sufficient, adequate and suitable fire extinguishers; c) Pyrotechnics; and d) Lifejackets.
7.2
A company pilots knowledge of the location and use of the emergency and life saving equipment to be carried in the balloon will be tested by the Type Rating Examiner as part of the Line check. Company personnel should be given every opportunity to familiarise themselves with all equipment on a regular basis.
7.3
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Chapter 7 Balloon Continuing Airworthiness Management and Maintenance Support Arrangements

1 Continuing Airworthiness Management and Maintenance Support Arrangements
It is the responsibility of the Operator to satisfy the Civil Aviation Authority, Safety Regulation Group, that the continuing airworthiness management and maintenance support arrangements are compliant with Commission Regulation (EC) No. 2042/ 2003 as amended. The Operator may hold Part M Subpart F or Part-145 and G approvals, or contract-out the continuing airworthiness management and maintenance to an organisation(s) which holds Part M Subpart G approval for continuing airworthiness management and either Part M Subpart F or Part-145 for maintenance. The Operator remains responsible for the safe operation of the balloon even when continuing airworthiness management and maintenance is contracted out and must therefore be satisfied with the standards of airworthiness achieved by the contractor(s). The Operator must monitor the contractor's response to the provisions of the arrangements, employing such technical resources as are necessary to achieve this task. If the Operator does not hold its own Part M Subpart F and G approvals then there must be a documented internal annual review (audit) of any contracts to ensure both parties have fulfilled their obligations.
1.1
1.2
1.3
2
2.1
Operators Responsibilities
The Operator is responsible for the continuing airworthiness of the balloon and shall ensure that no flight takes place unless: a) the balloon is maintained in an airworthy condition; b) any operational and emergency equipment is fitted correctly and is serviceable; c) the airworthiness certificate remains valid; and d) the maintenance of the balloon is performed in accordance with an approved maintenance programme. If the Balloon Operator holds its own Part M Subpart G for continuing airworthiness and/or Part M Subpart F/Part-145 for maintenance, then the procedures to control continuing airworthiness functions will be contained in the Operators appropriate Exposition. If continuing airworthiness management and maintenance support is contracted out, the continuing airworthiness tasks contained in Regulation (EC) No. 2042/2003 Part M Subpart C must be controlled by a contracted organisation to achieve full compliance of tasks listed in Part M Subpart C.
2.2
The Operator must establish a procedure acceptable to the CAA to ensure that commanders discharge the following responsibilities: a) That all servicing/maintenance is carried out including pre-flight checks;
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b) That defects affecting airworthiness or safe operation of the balloon are recorded on the appropriate Sector Record Page of the Technical Log; and c) That defects are rectified before flight, by appropriately qualified persons, or are deferred in a manner acceptable to the CAA and in accordance with the provisions of an allowable defects list. 2.3 The Operator must liaise with the Part M Subpart G organisation to ensure that the approved maintenance programme is reviewed annually with the object of ensuring that the programme requirements continue to have practical applicability in the light of experience, utilisation and age and adequately meet the maintenance needs of the balloon to ensure the continuing airworthiness of the balloon. The review must take account of variations from the original certification standard of the balloon which may have occurred as a result of modifications and respond to the recommendations of the manufacturer contained in maintenance manuals and service bulletins.
2.3.1
3
3.1
Contracted-Out Maintenance
Contracted arrangements for continuing airworthiness management and maintenance does not absolve an Operator from the overall responsibility for ensuring the safe operation and continuing airworthiness of the balloon. There must be in force an approved arrangement between the Operator and the Part M Subpart G organisation for continuing airworthiness management, giving full details of the division of obligations of the Operator and the obligations of the Part M Subpart G and maintenance organisation(s). Matters to be addressed in such an arrangement are contained in Section 5. In addition to a contract for continuing airworthiness management, there must be also a contract for the maintenance support through a Part M Subpart F/Part-145 approved maintenance organisation. This may either be a separate contract with a different organisation to that of airworthiness management or combined contract if the contracted services are with the same organisation. An Operator must nominate a person for continuing airworthiness liaison purposes. This person will be responsible to the Operator, for liaison on all matters relating to the continuing airworthiness and maintenance contracts and for airworthiness matters affecting the safe operation of the balloon. An Operator may only arrange separately for the maintenance, overhaul and repair of components with the knowledge and agreement of the contracted Part M Subpart G approved organisation. In order to be able to discharge its responsibilities for continuing airworthiness, the contracted Part M Subpart G organisation must be able to satisfy themselves on a continuing basis that the requirements of the approved maintenance programme are being complied with and be made aware of any significant reliability trends. Responsibilities for the assessment and incorporation of manufacturer's Service Information and for compliance with mandatory requirements must be clearly defined in the arrangement. In its assessment of the overall engineering support arrangements provided by the Operator, the CAA will require to examine and may require to hold copies of, all arrangements between the parties concerned. The CAA must approve these contracts.
3.2
3.3
3.4
3.5
3.6
3.7
3.8
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3.9 3.10
Any proposal to change the contracted arrangements must be notified to the CAA at least 28 days prior to the proposed date of implementation. The Operator must ensure that the contracted Part M Subpart G and Part M Subpart F/Part-145 organisations competently discharges its responsibilities under the arrangements to its satisfaction, and is also responsible for satisfying the CAA that the contracted organisation(s) meets its responsibilities, insofar as they relate to the contracted work. Whenever a balloon is presented for scheduled or unscheduled maintenance it is essential that a precise indication be given of the maintenance required, all defects known to exist on the balloon plus any additional work required to be carried out (after consultation with the Part M Subpart G organisation as necessary). (Part M Subpart F and Part-145 approved maintenance organisations have an existing requirement to ensure Work Orders are formalised, at the time of comencement of any work being undertaken).
3.11
3.12
In exercising its responsibilities for the overall control of continuing airworthiness the contracted organisation for continuing airworthiness and maintenance must be satisfied with the completion and certification of any tasks performed by the Operator or by other organisation(s). The use of other maintenance organisations for defect rectification different to the contracted maintenance organisation must be agreed in advance with the contracted Part M Subpart G and F/Part-145 organisation.
4
4.1
Contracting-Out Component Maintenance

When an Operator chooses to contract-out maintenance of components independently from the overall arrangements existing for continuing airworthiness management and maintenance support of the balloon, i.e. directly with the component manufacturer, it is essential that the contracted continuing airworthiness management and maintenance organisation: a) is fully in agreement with the proposed arrangements; b) is made aware of the status of components fitted to the balloon in respect of modifications, service bulletins and airworthiness directives; c) liaise with the component maintenance contractor in respect of the requirements of the approved maintenance schedule for the balloon, so that the component maintenance reflects the needs of the balloon for airworthiness; and d) ensure that at all times the liaison between the Operator and the Part M Subpart G approved organisation and the approved maintenance organisation is such to ensure continuing airworthiness is achieved.
5 5.1
Continuing Airworthiness Management and Maintenance Arrangement The purpose of the written arrangement is to indicate the divisions of obligations between the Operator and the contracted organisation(s) for the continuing airworthiness and maintenance support of the balloon for which application has been made for an Air Operator's Certificate (Balloons). When an Operator contracts a Part M Subpart G approved continuing airworthiness organisation in accordance with Regulation (EC) No. 2042/2003 M.A.201 to carry out continuing airworthiness management tasks, a copy of the arrangement shall be sent by the Operator to the Competent Authority of the Member State of registry once it has been signed by both parties.
5.2
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5.3
The arrangement shall be developed taking into account the requirements of Part M and shall define the obligations of the signatories in relation to continuing airworthiness of the aircraft. Regulation (EC) No. 2042/2003 Part M Appendix I states the details to be contained in the Continuing Airworthiness Arrangement (contract). When an Operator contracts a M.A. Subpart F or Part-145 approved maintenance organisation in accordance with Part M. M.A.201. Details of the maintenance contract may be a separate document or combined if the Part M Subpart G and the Part M Subpart F/Part-145 organisation are the same.
5.4 5.5
6
6.1
Deferred and Carried Forward Defects

A system for controlling deferred and carried forward defects must be described in the Operations Manual. When transferring a defect in the Technical Log to the deferred sheets or carrying forward a defect during a maintenance check, the conditions agreed with the CAA for the control of deferred defects must be complied with. NOTES 1: Deferred defects are defined as those defects reported in operational service which are deferred for later rectification. 2: Carried forward defects are defined as those defects arising during maintenance which are carried forward for rectification at a later maintenance input.
6.2
There should be a system to consider the cumulative effect of a number of deferred or carried forward defects occurring on the same balloon. Any restrictions contained in the Minimum Equipment List must be considered. Whenever possible, deferred defects should be made known to the flight crew during pre-flight briefing and by means of the Technical Log Sector Record Page and the deferred defects record. There should be a procedure to ensure that the period for which defects are deferred or carried forward reflects the importance of the defect as it affects airworthiness and/or safe operation. All defects should be rectified as soon as practicable and at least during the next scheduled inspection. There should be a procedure to ensure that deferred defects are transferred to worksheets at maintenance periods, and to ensure that deferred defects which have not been actioned during maintenance periods, are re-entered on to a new deferred defect record sheet. The original date of the defect must be retained. There should be a procedure to ensure that the necessary components or parts are made available or ordered on a priority basis, and that they are fitted at the earliest opportunity. There should be a cross reference in the Technical Log to enable each defect which has been deferred, to be traced back to its original entry. Details of any deferred defects must be brought to the attention of the Part M Subpart G organisation.
6.3
6.4
6.5
6.6 6.7
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7
7.1
Technical Records
The person responsible for liaison with the continuing airworthiness organisation must also ensure the completion of the balloon technical records and the details are transferred to the Part M Subpart G contracted organisation: a) such that it is possible to ensure that the hours of service or elapsed times quoted in the approved Maintenance Programme are not exceeded as regards components and structural assemblies, and that scheduled maintenance periods are adhered to; b) to record the number of hours or flights, when this information is specified in the approved Maintenance Programme or manufacturer's manuals as a basis for inspection or other necessary action; and c) to process the foregoing information into the appropriate log books or equivalent records, to maintain the records and documents concerning overhaul and repair work, component changes, mandatory modifications and inspections, in conjunction with the Part M Subpart G organisation.
7.2
A computer may be used as part of a technical records system with the agreement of the CAA. In this case, procedures should be instituted which will ensure that the computerised record will provide storage, preservation and retrieval to the same level as would have been achieved by hard copy records. CAA acceptance of computerised recording does not exempt the Operator or his contracted maintenance organisation from complying with the appropriate provisions of the Air Navigation Order or Regulation (EC) No. 2042/2003 for the keeping and retention of records.
NOTE: Guidance material to identify the CAA attitude to the acceptance of computer control systems is contained in Civil Aircraft Airworthiness Information and Procedures (CAP 562), Leaflet 11-16, available at www.caa.co.uk/CAP562.
8
8.1
Airworthiness Directives and Manufacturers Technical Information

The Operator and the contracted continuing airworthiness organisation must have procedures to ensure that Airworthiness Directives (ADs) are complied with as required. When manufacturer's service information is received, an immediate assessment must be made to establish priority of response. Matters of significant airworthiness importance must be responded to promptly. The assessment will be conducted in conjunction with the contracted Part M Subpart G organisation. A record of all Airworthiness Directives and non-mandatory modifications should be kept. The record should list all ADs generally applicable to the type, including those not specifically applicable to the individual balloon, including reason for nonapplicability. This information is normally recorded in the balloon logbook. From time to time EASA may also publish on their website, Service Information Bulletins. These must also be assessed for applicability and embodiment as appropriate.
8.2
8.3
8.4
Operators must ensure that the relevant balloon manufacturer is aware that they are users of their balloon so that all relevant service information, details of in-service experience of the balloon and amendments to manuals, including the Flight Manual, are received and embodied in a timely manner. This is especially important where the Operator is not the original owner of the balloon, or it has been leased from the owner.
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8.5
The Operator or contracted continuing airworthiness management and maintenance organisation, as agreed, must hold and make available to personnel concerned, the necessary technical data, e.g. CAA publications, the ANO, European Regulations, manufacturer's manuals, any relevant service information, any other related literature appropriate to the balloon types covered by the AOC and copies of appropriate company manuals, procedures and instructions. A person must be appointed to be responsible for the technical library. For the continuing airworthiness and maintenance regulations and other publications, it is acceptable to access this from the website providing this can be practically demonstrated at the Operators premises. Arrangements must be made for the supply of amendments, so that all publications are kept up-to-date, and of any additional technical information relevant to the work undertaken. Arrangements must be made for manuals or sections of manuals, schedules, service information, etc., appropriate to the work undertaken, to be made available and a suitable procedure maintained to ensure that such information is kept up to date.
8.6
8.7
9
9.1
Preparation of Balloon for Flight

The ANO Article concerned with pre-flight action required to be taken by the balloon commander prescribes that he satisfy himself that the balloon is fit in every way to make the intended flight. In order to permit the commander to discharge this responsibility, in respect of the maintenance of the balloon, the Operator must: a) ensure that the Operations Manual contains a CAA approved pre-flight inspection to be completed by the crew, with which to verify that the balloon continues to be serviceable. Details of this inspection should also be included in the Technical Log; b) provide information, in the Technical Log, to advise the commander when the next Scheduled Maintenance Inspection (SMI) is due, by flying hours and calendar time, any defects existing on the balloon affecting its operational airworthiness and safety, and any maintenance actions falling due before the next SMI; c) ensure that a procedure acceptable to the CAA exists for the control of maintenance actions necessary between Scheduled Maintenance Inspections where it may not be practicable to include full details in the Technical Log. In such cases it should be possible for flight crew to verify that no maintenance task is due or will become due before the end of the intended flight; d) provide any other information to the crew concerning the balloon and its systems, including changes resulting from modifications, which may affect the operation of the balloon; and e) have procedures, which will ensure that: i) fuel uplifted prior to flight is free from contamination; ii) refuelling of the balloon is carried out in a controlled manner taking into account essential safety measures for fire prevention; iii) proper attention is given to the rectification of recorded defects, compliance with the allowable defects list and any limitations imposed in respect of the period of flights, flying hours or calendar time; iv) the balloon is serviced and inspected as required by the approved maintenance programme; and v) all emergency and survival equipment within the balloon is serviced and inspected as required by the approved maintenance programme.
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10
10.1 10.1.1
The Technical Log

The Operators Technical Log system should comply with Regulation (EC) No. 2042/ 2003 Part M M.A.306 and shall be approved by the CAA. The Technical Log consists of a number of pages such as the Sector Record Page (SRP) and deferred defects record page (DDR) etc. Typical examples are contained in the appendices to this CAP. In addition to the SRP and DDR, the Technical Log should contain the following information unless cross-referred elsewhere: Details of the registered name and address of the Operator, the aircraft type and the complete international registration marks of the aircraft. Details of any necessary maintenance support information that the aircraft commander needs to know. Such information would include how and who to contact if maintenance engineering problems arise. Instructions on how to complete the Technical Log.
10.1.2
A Technical Log is required to be kept for any balloon operated for public transport and at the end of every flight (except as indicated below) the balloon commander must enter the following details: a) the times when the balloon took off and landed; b) particulars of any defect known to him if it affects the airworthiness or safe operation of the balloon, (if there are no defects the balloon commander must make an entry to this effect); c) any other particulars required by the CAA; and d) his/her signature and the date.
10.2
If a number of consecutive flights occur within the same period of 24 hours commencing from the same launch site with the same balloon commander, all entries may be made at the end of the last flight unless a defect becomes known to the commander in the meantime which must be entered as it occurs. CAA Requirements In addition to the particulars required by the Air Navigation Order (as amended), and as indicated above, the Technical Log may contain maintenance control and Flight Crew advisory information for use during the routine operation of the balloon between scheduled maintenance inputs. The Log must contain pre-serialised Sector Record Pages of a design acceptable to the CAA and provision to record Acceptable Deferred Defects which are awaiting rectification. AOC (Balloon) Operations It has become normal practice for AOC (Balloon) Operators to use a single form (in triplicate) to fulfil the functions of the Technical Log, Sector Records Page, Loadsheet and Passenger Manifest. An example of such a form is at Appendix 1 to Annex H. The Sector Record Page Each sector record page must include provision to record: a) the balloon type and registration; b) the date, place and times of take-off and landing; c) the name and address of the Operator (the address may be omitted if it is printed on the title page to the log);
10.3 10.3.1
10.3.2
10.4 10.4.1
10.5 10.5.1
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d) particulars of defects and rectification action taken; e) the completion of the pre-flight inspection; f) the fuel state at departure; g) a pre-printed Certificate of Release to Service (CRS), with provision for a CRS signature, date and authority for issue, in such a position as to be readily identifiable with the defect entry to which it relates; h) the running total of flying hours so that the flying hours remaining to the next inspection can be readily determined, and the date of such inspection; and i) the post-flight signature of the balloon commander and the date.
NOTE: This list is not exhaustive and additional records may be required. The supplementary information to be recorded should be assessed by the Operator in consultation with the Part M Subpart G approved organisation and submitted for agreement to the CAA.
10.5.2
The Sector Record Page layout should be divided to show clearly what is required to be completed after flight and what is required to be completed in preparation for the next flight. A typical layout for the Sector Record Page is shown at Appendix 1 to Annex H for a Technical Log with a Certificate of Release to Service statement where maintenance has been performed by a Part M Subpart F approved organisation. If maintenance is conducted by a Part-145 approved organisation then for the Certificate of Release to Service statement refer to Part-145, AMC.145.A. 50(b). Retention of Records All entries made on a Sector Record Page must be made in triplicate with provision for one copy of each entry to be removed from the Technical Log and retained on the ground before the next flight commences. In the case of a balloon, it is not reasonably practicable for the Technical Log to be carried on the flight. As such the Technical Log should be carried within the recovery vehicle with one copy (normally the pink example) of the Sector Record Page carried by the commander of the flight. Arrangements must be made to extract information recorded in the Sector Record Page for use by the maintenance organisation. Additional copies of the page may be necessary for this purpose. The aircrafts Technical Log must be retained by the Operator for a period of 36 months after the date of the last entry. If the Operator ceases to be the Operator of the balloon, he remains responsible for transferring the records, to any other person who becomes the Operator. The Operator must send copies of the Technical Log Sector Record Page to the Part M Subpart G organisation as per the continuing airworthiness arrangement between both parties. Acceptable Deferred Defects (ADD) A procedure for deferring the rectification of defects, where this is permitted by the allowable defects list, for a balloon, should be published in the Operations Manual. A suitable record sheet for this purpose is shown at Appendix 2 to Annex H. However, Operators may develop procedures and records more suited to their methods of defect control, and to permit, for example, recording of rectification attempts and component replacement.
10.5.3
10.6 10.6.1
10.6.2
10.6.3
10.6.4 10.6.5 10.6.6
10.7 10.7.1
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10.7.2
The CAA will investigate an Operator's procedures for deferring defects at the time of application for an AOC to ensure that they will be effective, in practice, and result in defects remaining unrectified for minimum periods. Any change in procedures must be notified to the CAA for further investigation. When a defect is to be transferred, the 'Action Taken' column of the Sector Record Page should be completed in the following manner: Transferred to ADD Record sheet serial No ...................... Item No .......... Signed ............................................... Date ...................................................
10.7.3
10.7.4
Details of the defect, Sector Record Page serial number, signature of person authorising deferment and date (or balloon hours) of origin, should be entered on the ADD Record. The period for which the deferred defect may be carried should also be stated. On rectification of the defect it is necessary to enter on the current Sector Record Page: a) the ADD Record sheet serial number and item number; and b) details and date of the original defect and of the rectification, together with the applicable component change date or other action, and to complete the Certificate of Release to Service. The 'Defect Cleared' columns of the ADD Record must then be signed and dated.
10.7.5
10.7.6
Completed ADD Records may be removed from the Technical Log at each Scheduled Maintenance Inspection. Where single defects remain current on each page, resulting in numerous pages being carried in the log it is acceptable to consolidate these entries on to a single page for ease of assessment by the crew. When this occurs, the original date of entry must be retained so that the duration of entry can be readily established. Where deferred defects are transferred to worksheets at maintenance periods there should be a procedure to ensure that defects which have not been actioned are reentered on a new deferred defect record sheet, ensuring that the original date of the defect is retained. Procedures Detailed instructions should be given to flight crew and the maintenance organisations inspectors in the Operations Manual on the manner in which the Technical Log is to be used and completed. These should be repeated in the Log itself if necessary to ensure a disciplined response by pilots and engineers. As a general rule, one legible copy of each Sector Record Page should remain in the log for a sufficient period to permit the identification of a repetitive defect by maintenance engineers at the point of operation. Similarly, deferred defect records should not be removed prematurely. It will be necessary to ensure a balance exists between permitting a degree of defect analysis on the balloon on the one hand and preventing a situation in which too many pages, particularly of deferred defects, obscures the airworthiness status of the balloon. The Operations Manual must include details of procedures and responsibilities for removing and dispatching completed pages to the Part M Subpart G approved organisation. It is essential that details of flights undertaken and any defects, whether rectified or deferred are advised promptly.
10.7.7
10.8 10.8.1
10.8.2
10.8.3
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10.9
Continuing Airworthiness Management Exposition (CAME) For Operators that have contracted out the Part M Subpart G continuing airworthiness management, Operators must ensure that their organisation is listed in that contracted organisations CAME. The procedures regarding the obligations of the subcontracted organisation as detailed in the continuing airworthiness management and maintenance arrangements will have been approved under the organisations Part M Subpart G approval. For the Operators obligations, these procedures may either be contained in the Operations Manual or a cross-referred separate document. The details and procedures should include: a) The Operators nominated continuing airworthiness co-ordinator duties and responsibilities. b) Details of the continuing airworthiness management and maintenance support organisations. c) Details of the continuing airworthiness management and maintenance arrangements. d) Details of the maintenance contract (if not combined with the Part M subpart G organisation). e) Details of how unscheduled maintenance is managed. f) Details of the approved maintenance programme (including the approval references for each balloon). g) Procedures to cover the Operators obligations as detailed in the Continuing Airworthiness arrangement. h) Annual audit of the obligations contained in the 3rd party continuing airworthiness management and maintenance arrangement to ensure both the Operator and contracted organisation(s) standards are being upheld. i) Procedures for accessing European Regulations and airworthiness information (web based data is acceptable). j) Procedures for the retention of Operator held maintenance records. k) Explanation of the Airworthiness Review Certificate and the controlled environment. l) Documentation to be supplied by the maintenance organisation after maintenance. m) Technical Log completion procedures.
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Chapter 8 Insurance Requirements for Balloon Operators

1
1.1
Introduction
The purpose of this chapter is to advise Operators of the documentation needed to be carried on board aircraft to demonstrate compliance with the insurance requirements, and to avoid delays resulting from inspections carried out, both in the UK and abroad. Regulation (EC) No. 785/2004 applies to all air carriers and to all aircraft Operators flying within, into, out of or over the territory of an EU Member State. Its objective is to establish minimum insurance requirements for air carriers and aircraft Operators in respect of passengers, baggage, cargo and third parties. Both the EC Regulation, No. 785/2004: http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2004:138:0001:0006:EN:PDF and UK Regulations supporting its implementation namely the Civil Aviation (Insurance) Regulations 2005: www.opsi.gov.uk/si/si2005/20051089.htm came into force on 30 April 2005. The EC and UK Regulations therefore affect Commercial Air Transport, Corporate, Aerial Work and most General Aviation Operators and aircraft. The Regulations do not apply to: a) State aircraft; b) model aircraft less than 20 kg; c) foot launched flying machines; d) captive balloons; e) kites; or f) parachutes, including parascending parachutes.
1.2
1.3
1.4
Industry should have been made aware of the new requirements by their insurers. The details have been promulgated by AIC 46/2005 (Yellow 170).
2
2.1
Compliance Monitoring
In the UK, insurance documentation has to be submitted, and checked, as part of the application process for an Operating Licence, as well as at initial aircraft registration and subsequent renewals. During inspection flight and ramp inspections, CAA Inspectors may check the insurance documentation carried on board UK-registered aircraft. Operators should be aware that Inspectors will need to see evidence of the following to be satisfied that the required insurance is in place (in either an original document or a copy): a) The aircraft registration and aircraft type on the document refer to the specific aircraft being checked. In many cases air carriers buy insurance for the fleet and the registration(s) may not always be mentioned. In cases where a fleet policy is provided that does not cite the specific registration(s) of the aircraft being checked, such documentation will be considered acceptable provided it clearly relates to the air carrier that operates that aircraft;
2.2
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b) The name of the air carrier on the document is the same as that of the operating air carrier being checked; c) The period of validity on the document is current; d) If the document is conditioned in geographical terms, that the aircraft is insured to operate within the State in which the check is being made; e) It is highly recommended, though not mandatory, that the insurance certificate includes a statement that the air carrier is insured in accordance with the minimum insurance cover requirements of Articles 6 and 7 of EC Regulation No. 785/2004. Whilst such a statement may be included on the insurance certificate, a separate written statement to this effect from the broker of the air carrier concerned will also be acceptable provided that statement clearly makes reference to that air carriers principal insurance document; and f) The document is signed on behalf of the broker and dated. 2.3 Inspectors in other EU countries are also likely to request sight of insurance documentation, and some may expect to find not only the details above, but also evidence that the sums insured are appropriate. Operators should ensure that the documentation carried includes this information. Provided the documentation on board covers all the above points, no further action will be needed. In the event that an inspection in the UK shows that no insurance documentation is carried by a UK AOC holder, or where the insurance documentation is not adequate to show the aircraft is properly insured, the Operator (and/or the commander) will normally be served with a Notice to Produce requiring satisfactory documentation showing that the aircraft was properly insured on the date of the Inspection, to be presented to the CAA within 14 days. However, if the CAA Inspector were to conclude that the aircraft is not adequately insured, the Inspector is under a duty to prevent the aircraft taking off. In other EU countries, the aircraft may be detained until satisfactory documentation is produced. It is therefore in the interests of all concerned to ensure that not only is adequate insurance in place, but also that suitable documentation to demonstrate compliance with the requirements, covering at least the above points, is carried on board every flight. Similar checks will be carried out on aircraft operated by non-UK AOC holders. Where an Operator has chosen to reduce a balloons Maximum Take-Off Mass (MTOM), this must be in accordance with the balloons approved Flight Manual or Supplement and have been formally agreed with the Aircraft Certification Section of the CAA. Such documentation must also be available for inspection.
2.4
2.5
2.6 2.7
3
3.1 3.2 3.3
Recommendation
Operators should ensure that insurance documentation, covering at least the above points, is carried on board every flight. For public transport balloon flights carried on board is deemed to be either within the balloon or the dedicated recovery vehicle. Operators should make appropriate amendments to their Operations Manuals, to include a change to paragraph 4.5, Flight Documents.
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Annex A
1
Useful Publications and Addresses
Publications List
Several publications are relevant to, or are referred to in, this publication: LASORS Licensing Administration and Standardisation, Operating Requirements and Safety CAP 371 The Avoidance of Fatigue in Aircrews CAP 382 Mandatory Occurrence Reporting Scheme CAP 393 Air Navigation: The Order and the Regulations This includes: The Air Navigation Order (ANO) The Rules of the Air Regulations The Air Navigation (General) Regulations The Air Navigation (Cosmic Radiation) Regulations Permanent Air Navigation (Restriction of Flying) Regulations The Civil Aviation Authority Regulations The Air Navigation (Dangerous Goods) Regulations CAP 403 Flying Displays and Special Events: A Guide to Safety and Administrative Arrangements CAP 428 Safety Standards at Unlicensed Aerodromes CAP 494 British Civil Airworthiness Requirements - Part 31: Manned Free Balloons CAP 562 Civil Aircraft Airworthiness Information and Procedures CAP 747 Mandatory Requirements for Airworthiness Official Record Series 5: The CAA Scheme of Charges Regulation (EC) No. 216/2008 of the European Parliament Commission Regulation (EC) No. 2042/2003 Commission Regulation (EC) No. 707/2006 Commission Regulation (EC) No. 376/2007 Commission Regulation (EC) No. 1056/2008 EASA Agency Decisions CS31HAB EASA Certification Specifications for Hot-Air Balloons These publications are regularly amended. It is the responsibility of the holder to ensure that they always refer to the current issue, as amended. Use of the CAA website www.caa.co.uk and the EASA website www.easa.europe.eu is recommended. For details of availability of printed copies of CAA publications and regestering for email notification of amendments, please see the inside cover of this document.
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Address List
A list of useful addresses and telephone numbers is given below:
Subject Telephone
Safety Regulation Group Civil Aviation Authority Aviation House GATWICK AIRPORT SOUTH West Sussex RH6 0YR Which includes:
(01293) 567171 Fax:: (01293) 573973
Flight Operations Inspectorate (General Aviation) (Operational Regulation of AOC(B)) (01293) 573717 (Administrative Matters) (01293) 573227 (E-mail: ga@caa.co.uk) Licensing and Training Standards (Examination and TREs) (All Licensing Matters) Survey Department Safety Data Medical Department Aerodrome Standards (Maintenance Arrangements) (Occurrence Reports) (All Medical Matters) (Fire and Rescue Matters) (01293) 573496 (01293) 573700 Press (2) (01293) 573367 Fax: (01293) 573984 (01293) 573248 (01293) 573700 Press (1) (01293) 573279
Air Accident Investigation Branch Berkshire Copse Road ALDERSHOT Hampshire GU11 2HH National Air Traffic Services Limited Fifth Floor Brettenham House South Lancaster Place LONDON WC2E 7EN
(01252) 512299 Fax: (01252) 376999
(0207) 309 8666 Fax: (0207) 309 8676
Details of the CAAs printers can be found on the inside cover of this CAP. Websites CAA EASA www.caa.co.uk www.easa.europa.eu
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Annex B
AOC (Balloons) Forms, Notes and Charges
Examples of the forms required to apply for, vary or renew an AOC (Balloons) are contained within this Annex. A charges calculation sheet with specific dates of validity, specimen return of operating data questionnaire and assistance notes for the completion of these forms are also contained within. These forms including the associated Guidance Notes, Charges Calculation Sheets, Payment Authorisation Form and extracts from the relevant CAA Scheme of Charges (ORS5) are available on the CAA website at: www.caa.co.uk/SRG1310 for Application Form for an AOC (Balloons) www.caa.co.uk/SRG1311 for Variation Form for an AOC (Balloons) www.caa.co.uk/SRG1312 for Renewal Form for an AOC (Balloons) www.caa.co..uk/SRG2815 for Nominated Postholders for an AOC Company
APPENDIX 1 to ANNEX B APPENDIX 2 to ANNEX B APPENDIX 3 to ANNEX B APPENDIX 4 to ANNEX B APPENDIX 5 to ANNEX B APPENDIX 6 to ANNEX B APPENDIX 7 to ANNEX B
CHARGES CALCULATION SHEETS ASSISTANCE NOTES FOR THE COMPLETION OF AOC (BALLOONS) FORMS APPLICATION FORM FOR AN AOC (BALLOONS) VARIATION FORM FOR AN AOC (BALLOONS) RENEWAL FORM FOR AN AOC (BALLOONS) RETURN OF OPERATING DATA QUESTIONNAIRE NOMINATED POSTHOLDERS FOR AN AOC COMPANY
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Annex B, Appendix 1 Charges Calculation Sheets AOC (Balloons)

AOC (BALLOONS) APPLICATION CHARGES CALCULATION VALID FROM 1 APRIL 2009
(Please read Notes prior to completion and see example, overleaf).
1 SIZES of COMPANY BALLOON ENVELOPES (X 1,000 cu.ft.)
2 NUMBER of COMPANY BALLOONS BY SIZE
3 PASSENGER CAPACITY OF BALLOONS (See Notes)
4 COMPANY PASSENGER CAPACITIES (2 X 3)
5 COMPANY PASSENGER CAPACITIY (TOTAL of COLUMN 4) up to 10 11 to 20 21 to 30 31 to 40 41 to 50 51 +
6 AOC CHARGE
1,548 1,770 1,991 2,212 2,455 2,696
TOTAL 4 USING THE TABLE
The table above allows you to calculate your passenger capacity of the balloon(s) that you require to list within Appendix A of your draft company Operations Manual and hence the cost of an Air Operators Certificate with effect from 1 April 2009.
In Column 1, enter all of the different envelope sizes of balloons, as detailed in Appendix A of your Operations Manual. In Column 2, enter the total number of balloons of each envelope size, as detailed in Appendix A of your Operations Manual. In Column 3, enter the passenger capacity for each size of balloon, as detailed in Appendix A of your Operations Manual, using the formula Maximum Number of Occupants MINUS ONE On each line, multiply Column 2 by Column 3 and enter the results in Column 4. Add up the total in Column 4. The AOC charge can be then be read from Column 6 against the passenger capacity in Column 5. (See example overleaf). Please note, a fee of 157 is charged to vary your AOC(B), if an amendment has to be made to your certificate, for example a change of trading name, operating region or the addition of a new balloon group. If you have any questions, please ring Flight Operations Inspectorate (General Aviation) on 01293 573517 or 573227.
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EXAMPLE CALCULATION
(Example extract from Appendix A, Operations Manual)
Appendix A
Company and Balloon Data
Basic Weight of Company Balloons Balloon Reg. G-UNGY G-ROTI G-REEN GType Cameron N-77 Cameron A-180 Lindstrand LBL 180A Basic Weight 250 Kg 425 Kg 451 Kg Max. No. of Occupants (including Pilot) 4 11 11
AOC (BALLOONS) APPLICATION CHARGES CALCULATION VALID FROM 1 APRIL 2009
1 SIZES of COMPANY BALLOON ENVELOPES (X 1,000 cu.ft.) 77 180
2 NUMBER of COMPANY BALLOONS BY SIZE 1 2
3 PASSENGER CAPACITY OF BALLOONS (See Notes) 3 10
6 AOC CHARGE
3 20
1,548 1,770 1,991 2,212 2,455 2,696
TOTAL 4
23
With a total Passenger Capacity of 23, the AOC(B) application charge would fall in the band of 21 to 30 and would be 1, 991.
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AOC (BALLOONS) RENEWAL & VARIATION CHARGES CALCULATION VALID FROM 1 APRIL 2009
(Please read Notes prior to completion and see example, overleaf).
1 SIZES of COMPANY BALLOON ENVELOPES (X 1,000 cu.ft.)
2 NUMBER of COMPANY BALLOONS BY SIZE
3 PASSENGER CAPACITY OF BALLOONS (See Notes)
6 AOC CHARGE
1,030 1,182 1,326 1,474 1,636 1,797
TOTAL 4 USING THE TABLE The table above allows you to calculate your passenger capacity of the balloons listed within Appendix A of your company Operations Manual and hence the cost of an Air Operators Certificate with effect from 1 April 2009.
In Column 1, enter all of the different envelope sizes of balloons, as detailed in Appendix A of your Operations Manual. In Column 2, enter the total number of balloons of each envelope size, as detailed in Appendix A of your Operations Manual. In Column 3, enter the passenger capacity for each size of balloon, as detailed in Appendix A of your Operations Manual, using the formula Maximum Number of Occupants MINUS ONE On each line, multiply Column 2 by Column 3 and enter the results in Column 4. Add up the total in Column 4. The AOC charge can be then be read from Column 6 against the passenger capacity in Column 5. (See example overleaf). Please note, a fee of 157 is charged to vary your AOC(B), if an amendment has to be made to your certificate, for example a change of trading name, operating region or the addition of a new balloon group. If you have any questions, please ring Flight Operations Inspectorate (General Aviation) on 01293 573517 or 573227.
SRG1315 (Issue 3)
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EXAMPLE CALCULATION
(Example extract from Appendix A, Operations Manual)
Appendix A
Company and Balloon Data
Basic Weight of Company Balloons Balloon Reg. G-UNGY G-ROTI G-REEN GType Cameron N-77 Cameron A-180 Lindstrand LBL 180A Basic Weight 250 Kg 425 Kg 451 Kg Max. No. of Occupants (including Pilot) 4 11 11
AOC (BALLOONS) RENEWAL & VARIATION CHARGES CALCULATION VALID FROM 1 APRIL 2009
1 SIZES of COMPANY BALLOON ENVELOPES (X 1,000 cu.ft.) 77 180 2 NUMBER of COMPANY BALLOONS BY SIZE 1 2 3 PASSENGER CAPACITY OF BALLOONS (See Notes) 3 10 4 COMPANY PASSENGER CAPACITIES (2 X 3) 5 COMPANY PASSENGER CAPACITIY (TOTAL of COLUMN 4) up to 10 11 to 20 21 to 30 31 to 40 41 to 50 51 + 6 AOC CHARGE
3 20
1,030 1,182 1,326 1,474 1,636 1,797
TOTAL 4
23
With a total Passenger Capacity of 23, the AOC(B) renewal charge would fall in the band of 21 to 30 and would be 1,326.
SRG1315 (Issue 3)
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Annex B, Appendix 2 Assistance Notes for the Completion of AOC(B) Forms for the Grant, Renewal or Variation of an Air Operators Certificate (Balloons)
Guidance Notes for Completion of AOC(B) Forms for the Grant, Renewal or Variation of an Air Operators Certificate (Balloons)
The appropriate form should be completed and submitted together with the appropriate application fee made payable to the Civil Aviation Authority, to: Flight Operations Inspectorate (General Aviation) (for the attention of Mr I Chadwick or Mr J Phelan) Civil Aviation Authority Gatwick Airport South West Sussex RH6 0YR Tel: 01293 573717 or 01293 573517 E-mail: GA@caa.co.uk The completed form and the appropriate fee should reach the CAA at least the requisite number of working days before the date on which the Air Operator's Certificate is required to be effective. THE FEE CANNOT BE REFUNDED IN THE EVENT THAT AN APPLICATION LAPSES OR IS WITHDRAWN Note 1 The particulars given should be those of the person who will be the operator of the balloon(s); in the case of an incorporated body, the names, addresses and nationality of the Directors, in the case of an unincorporated association, the names, addresses, and nationality of partners. If a business name is used, it should be given in Section 2 of the application form. Also give place and number of company registration. Note 2 All "trading names" used should be specified. Any "trading names" adopted subsequent to the completion of the application form or the issue of the certificate should the be notified to the CAA by the way of a Variation application. Note 3 Give the type and registration mark of each balloon owned or leased to the applicant for operation. If the balloons are not currently available for inspection, give the date on which they will be. Note 4 Give details of the premises that will be made available for use by staff participating in or supporting the operation of the balloons and where other administrative staff are located. State whether the accommodation is to be used solely by the applicant's staff and give the address if different from Section 1. Note 5 Certificates will normally be restricted to Region AA, which is Mainland U.K. If an applicant requires a nonstandard AOC region, he should define the area of proposed operations. Note 6 Please state whether operations manuals are available for presentation to the CAA. If so, a draft copy should accompany this application. Note 7 If an Operator does not hold a Part M Subpart G or Part M Subpart F/Part 145 approval, and these are contracted out, then details of the organisations arrangements including the organisations approval reference numbers will be required to be submitted. A copy of the arrangements/contract(s) will be required to be submitted to the CAA for approval. Note 8 The information provided under this heading should give a clear picture of the chain of responsibility, appropriate to the size of the company, for all major aspects of management and of the arrangements for suitably qualified deputies to assume the functions of senior staff temporarily absent from duty. In particular, the person or persons responsible for the following duties should be named: (a) Managing Director (Accountable Manager) (b) Chief Pilot (Minimum experience 150 hours PIC in balloons) (c) Operations Manager (d) Flight Training Manager (e) Continuing Airworthiness Co-ordinator Note 9 The persons named should be Type Rating Examiners authorised by the operator to sign, on his behalf, records to be maintained under the relevant provisions of the Air Navigation Order currently in force. Note 10 The interval between applications and grant or variation of a certificate will depend primarily upon matters within the control of the operator and no undertaking can be given that the CAA will be able to reach a decision within a particular period. Nevertheless, if, after a period of 12 months, the application process has not been substantially progressed, the CAA will consider the application to have lapsed.
January 2010
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Annex B, Appendix 3 Application Form for an Air Operators Certificate (Balloons)

APPLICATION FOR AN AIR OPERATORS CERTIFICATE (BALLOONS)
Please see Notes on separate sheet
Send to:
Flight Operations Inspectorate (General Aviation) Civil Aviation Authority 1W Aviation House Gatwick Airport South West Sussex RH6 0YR together with: payment to the Civil Aviation Authority for the appropriate application fee. Name, address, telephone and fax number of applicant. (See Note 1)
1.
Telephone: .................................................................................................. Fax: ............................................................................................................. Mobile: ........................................................................................................ E Mail: .........................................................................................................
2.
Name and address for correspondence - if different from 1 above. (See Note 1)
3.
Company Registration Number (if applicable). (See Note 1)
4.
All Trading Name(s) in which it is proposed that air transport operations will be conducted and telephone numbers. (See Note 2)
5.
Types and registration marks of balloons for which a certificate is required. (See Note 3)
6.
Details of office accommodation available for use by operating staff. (See Note 4)
Form SRG1310 (Issue 2)
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7.
Geographical regions in which it is proposed to operate. (See Note 5)
8.
State when operations and training manuals will be made available for submission to the CAA. (See Note 6)
9.
Name and address of organisation responsible for maintenance of each type of balloon. (See Note 7)
10
Names of managerial and executive staff and details of the duties for which each individual is responsible. (See Note 8) (Qualifications and experience to be detailed on CAA Form 4 (SRG 2815) one Form for each proposed postholder.)
11.
Names of persons responsible for conducting on behalf of the Operator the periodical tests specified in Part C of Schedule 8 to the Air Navigation Order. (See Note 9) (Qualifications and experience to be detailed on CAA Form 4 (SRG 2815) one Form for each proposed postholder.)
12.
Proposed date for the commencement of operations and the period required. (See Note 10)
Please note that a minimum of 30 working days from receipt of an acceptable operations manual and the completed form will be required. _______________________________________________________________________________ I apply for the grant of an Air Operators Certificate (Balloons) based on the information provided on this form. Signature . Name (BLOCK LETTERS) Position in Company ... Date ..
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Annex B, Appendix 4 Variation Form for an Air Operators Certificate (Balloons)

APPLICATION TO VARY AN AIR OPERATORS CERTIFICATE (BALLOONS)
Send to:
Flight Operations Inspectorate (General Aviation) Civil Aviation Authority 1W Aviation House Gatwick Airport South West Sussex RH6 0YR
together with: all pages of your current Air Operators Certificate (Balloons) and payment to the Civil Aviation Authority for the appropriate variation fee.
1.
Name, address, telephone and fax number of Operator. (See Note 1)
Telephone: .................................................................................................. Fax: ............................................................................................................. Mobile: ........................................................................................................ E Mail: .........................................................................................................
2.
Name and address for correspondence - if different from 1 above. (See Note 1)
3.
AOC Number. (See Note 1)
BL ...............................................
4.
Company Registration Number (if applicable). (See Note 1)
All Trading Name(s) in which it is proposed that air transport operations will be conducted and telephone numbers. (See Note 2)
6.
Types and registration marks of balloons for which the certificate is required. (See Note 3)
SRG1311 (Issue 2)
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7.
Details of office accommodation available for use by operating staff. (See Note 4)
8.
Geographical regions in which it is proposed to operate. (See Note 5)
9.
State when operations manual amendments will be made available for submission to the CAA. (See Note 6)
10.
11.
Names, qualification and experience of managerial and executive staff and details of the duties for which each individual is responsible. (See Notes 8 and 9) (Qualifications and experience to be detailed on CAA Form 4 (SRG 2815) one Form for each proposed postholder.)
12.
Proposed date for the variation to become effective. (See Note 10)
Please note that a minimum of 20 working days from receipt of operations manual material and completed form will be required to process a variation. _________________________________________________________________________________ I apply for the variation of an Air Operators Certificate (Balloons) based on the information provided on this form. Signature . Name (BLOCK LETTERS) Position in Company . Date ..
SRG1311 (Issue 2)
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Annex B, Appendix 5 Renewal Form for an Air Operators Certificate (Balloons)

APPLICATION FOR RENEWAL OF AN AIR OPERATORS CERTIFICATE (BALLOONS)
Send to:
Flight Operations Inspectorate (General Aviation) Civil Aviation Authority 1W Aviation House Gatwick Airport South West Sussex RH6 0YR
together with: completed Annual Return of Operating Data questionnaire, page 1 of your current Air Operators Certificate (Balloons) and payment to the Civil Aviation Authority for the appropriate renewal fee.
1.
Name, address, telephone and fax number of Operator (See Note 1).
Telephone: .................................................................................................. Fax: ............................................................................................................. Mobile: ......................................................................................................... E Mail: ......................................................................................................... 2. Name and address for correspondence if different from 1 above. (See Note 1).
3. 4.
AOC Number. (See Note 1)
BL ................................................
Company Registration Number (if applicable). (See Note 1).
5.
All Trading Name(s) in which operations will be conducted, address from which operations will be conducted and telephone numbers. (See Note 2).
6.
Types and registration marks of balloons for which the certificate is required. (See Note 3).
SRG1312 (January 2010)
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7.
Geographical regions in which it is proposed to continue to operate. (See Note 5).
8.
9.
State any changes to your organisation, staffing and equipment since last application was made. (See Note 8) (Qualifications and experience to be detailed on CAA Form 4 (SRG 2815) one Form for each proposed postholder.)
10.
The proposed date of renewal of the certificate and the period required. (See Note 10).
Please note that a minimum of 15 working days notice will be required.
I apply for the renewal of an Air Operators Certificate (Balloons) based on the information provided on this form and on the completed Return of Operating Data questionnaire.
Signature ......................................................................................................................................................... Name (BLOCK LETTERS) .............................................................................................................................. Position in Company ....................................................................................................................................... Date .................................................................................................................................................................
SRG1312 (January 2010)
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Annex B, Appendix 6 Return of Operating Data Questionnaire

This Form is available on the CAA website at www.caa.co.uk/SRG1316.
AOC (BALLOONS) ANNUAL RETURN OF OPERATING DATA
If a full CAA audit has not been undertaken within the preceding 12 months, the provision of the following information covering the preceding 12 month period is required in order for renewal of the AOC(B) certificate. All said pages must be completed in full, signed and numbered in the bottom right hand corner. Pages may be copied should extra sheets be required.
Company: .......................................................................................
FACILITIES ITEM OPERATIONS MANUAL LIBRARY: UK Frequency Guide NOTAM Bulletins AICs Aeronautical Charts CAP 393 CAP 611 NUMBER OF FLIGHTS NUMBER OF PASSENGERS Remarks: YES NO
AOC No: ...................................

DATA
Latest Amendment Date: .............................................. Type and Edition: ........................................................... Screen or Postal
Latest Issue Date: ................................................... Area and Edition: ..................................................... Last Amendment Date:............................................ Last Amendment Date:............................................ ...................................... ......................................
CHIEF PILOT ITEM NAME OF CHIEF PILOT LICENCE No LICENCE EXPIRY BALLOON GROUPS JAR MEDICAL CLASS JAR MEDICAL VALID CERTIFICATE OF TEST (13 M) R/T LICENCE BASE/LINE CHECK (13 M) BASE/LINE CHECK TRE SEP FIRE CERTIFICATE (3 YRS) SEP FIRST-AID CERTIFICATE (3YRS) HOURS FTL COPIES HELD FTL ADMIN HRS RECORDED Remarks: YES NO DATA ........................................................................................ C/P .............................. /B Date: ............................... A B C ........................................................................................ Issue Date: ......................... Expiry: .............................. Issue Date: ......................... Expiry: .............................. ....................................................................................... Issue Date: ......................... Expiry: .............................. Name: ............................................................................ Issue Date: ......................... Expiry: .............................. Issue Date: ......................... Expiry: .............................. Previous Year: .................... Overall Total: .................... ...................................................................................... .....................................................................................
Signature: .................................................................................................. Form SRG 1316 Issue 8
Date:..................................................................
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PILOTS
ITEM NAME OF PILOT LICENCE No. LICENCE EXPIRY BALLOON GROUPS JAR MEDICAL CLASS JAR MEDICAL VALID CERTIFICATE OF TEST (13 M) R/T LICENCE BASE/LINE CHECK (13 M) BASE/LINE CHECK TRE SEP FIRE CERTIFICATE (3 YRS) SEP FIRST-AID CERTIFICATE (3YRS) HOURS FTL COPIES HELD FTL ADMIN HRS RECORDED Remarks: YES NO
AOC No: ...................................
Detail all Line Pilots (employed or freelance) that have undertaken flights for the company during the past 12 months. This form may be copied should extra sheets be required. DATA ....................................................................................... C/P .............................. /B Date: ............................... A B C ....................................................................................... Issue Date: ......................... Expiry: .............................. Issue Date: ......................... Expiry: .............................. ................................................................................. Issue Date: ......................... Expiry: .............................. Name: ........................................................................... Issue Date: ......................... Expiry: .............................. Issue Date: ......................... Expiry: .............................. Previous Year: ..................... Overall Total: .................... ..................................................................................... .....................................................................................
ITEM NAME OF PILOT: LICENCE No: LICENCE EXPIRY: BALLOON GROUPS: JAR MEDICAL CLASS: JAR MEDICAL VALID: CERTIFICATE OF TEST (13 M): R/T LICENCE: BASE/LINE CHECK (13 M) BASE/LINE CHECK TRE SEP FIRE CERTIFICATE (3 YRS) SEP FIRST-AID CERTIFICATE (3YRS) HOURS FTL COPIES HELD FTL ADMIN HRS RECORDED Remarks:
YES
NO
DATA ....................................................................................... C/P .............................. /B Date: ............................... A B C ....................................................................................... Issue Date: ......................... Expiry: .............................. Issue Date: ......................... Expiry: .............................. ....................................................................................... Issue Date: ......................... Expiry: .............................. Name: ........................................................................... Issue Date: ......................... Expiry: .............................. Issue Date: ......................... Expiry: .............................. Previous Year: ..................... Overall Total: .................... ..................................................................................... .....................................................................................
Date:..................................................................
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BALLOONS
ITEM REGISTRATION OF BALLOON MAKE AND TYPE YEAR OF MANUFACTURE TOTAL HOURS CERTIFICATE OF REGISTRATION C. of R. DETAILS IN LOGBOOK CERTIFICATE OF AIRWORTHINESS AIRWORTHINESS REVIEW CERTIFICATE (ARC) PART M SUBPART G ORGANISATION PART M SUBPART F/PART 145 ORGANISATION CONTINUING AIRWORTHINESS ARRANGEMENT MAINTENANCE CONTRACT LAST ANNUAL INSPECTION HOURS AT ANNUAL INSPECTION APPROVED FLIGHT MANUAL FIRE EXTINGUISHER FIRST AID KIT FIREPROOF METAL PLATE INSURANCE LIMITS Remarks: ITEM REGISTRATION OF BALLOON MAKE AND TYPE YEAR OF MANUFACTURE TOTAL HOURS CERTIFICATE OF REGISTRATION C. of R. DETAILS IN LOGBOOK CERTIFICATE OF AIRWORTHINESS AIRWORTHINESS REVIEW CERTIFICATE (ARC) PART M SUBPART G ORGANISATION PART M SUBPART F/PART 145 ORGANISATION CONTINUING AIRWORTHINESS ARRANGEMENT MAINTENANCE CONTRACT LAST ANNUAL INSPECTION HOURS AT ANNUAL INSPECTION APPROVED FLIGHT MANUAL FIRE EXTINGUISHER FIRST AID KIT FIREPROOF METAL PLATE INSURANCE LIMITS Remarks: YES NO G ..................... YES NO G .....................
AOC No: ...................................
Detail all balloons that are currently listed in the company Operations Manual and any other balloons that have been operated during the last 12 months. This form may be copied should extra sheets be required. DATA C/P ............................... /B Date: ................................ ........................... Registered Owner .......................................................... ............................................. Category: ............................. Date: ............................... Issue Date: ........................... Expiry: ............................ Name: .................................. Approval No: .................... Name: .................................. Approval No: .................... Issue Date: ........................... Expiry: ............................ Issue Date: ........................... Expiry: ............................ Date: ................................... At Issue: ............................... Issue No: ................. Check Date: ........................ Expiry: .............................. Check Date: ........................ Expiry: .............................. GBP .....................................
DATA C/P ............................... /B Date: ................................ ............................. Registered Owner .......................................................... ............................................. Category: ............................. Date: ............................... Issue Date: ........................... Expiry: ............................ Name: .................................. Approval No: .................... Name: .................................. Approval No: .................... Issue Date: ........................... Expiry: ............................ Issue Date: ........................... Expiry: ............................ Date: ................................... At Issue: ................................ Issue No: ................. Check Date: ........................ Expiry: .............................. Check Date: ........................ Expiry: .............................. GBP .....................................
Date:..................................................................
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Annex B, Appendix 7 Nominated Postholders for an AOC Company

This Form is available on the CAA website at www.caa.co.uk/2815.
Nominated Postholders for an AOC Company (CAA Form 4)

This form can be completed online, then printed and signed. If filled in by hand, please use black or dark blue ink. Details of Management Personnel required to be accepted as specified in: Please tick appropriate box EU-OPS 1.185(a)(5) (Aeroplanes) JAR-OPS 3.185(a)(5) (Helicopters) CAP 611, Chapter 2, paragraph 5.7.2 (Balloons)
1. Operator Name: ................................................................................................................................................................ 2. AOC Number: .................................................................................................................................................................... 3. Name: ................................................................................................................................................................................ 4. Position: .............................................................................................................................................................................
5. Qualifications relevant to the item (4) Position:
CAA Form 4 (SRG 2815) Issue 1
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CAP 611
6. Work Experience relevant to the item (4) Position:
Signature ..............................................................................
Date .....................................................................................
CAA use only Name and signature of authorised CAA staff member accepting this nomination:
Signature ..............................................................................
Date .....................................................................................
Name ....................................................................................
Office ..................................................................................
Once accepted, a copy of the completed CAA Form 4 must be returned to the nominee.
Return Addresses On completion, please send this form under confidential cover to: The appropriate CAA Regional Manager (Operations) or Deputy at your assigned Regional Office (for Aeroplanes and Helicopters). Regional Office addresses are available at www.caa.co.uk/contacts; or Flight Operations Inspectorate (General Aviation) Safety Regulation Group Aviation House, 1W Gatwick Airport South West Sussex RH6 0YR (for Balloons)
CAA Form 4 (SRG 2815) Issue 1
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Annex C
Certificates and Approvals
Examples of Air Operators Certificate Balloons and the Regulation of Flight Times Approval are contained within this Annex. APPENDIX 1 to ANNEX C APPENDIX 2 to ANNEX C SPECIMEN AIR OPERATORS CERTIFICATE (BALLOONS) SPECIMEN REGULATION OF FLIGHT TIMES APPROVAL
1 February 2010
Annex C, Page 1
CAP 611
Annex C, Appendix 1
Air Operators Certificate (Balloons)

AOC No. BL ### AOC Issue No. ## Page No. 1 of 3
UNITED KINGDOM CIVIL AVIATION AUTHORITY OON AIR OPERATOR CERTIFICATE (BALLOONS)
AOCHolder trading as
[The] TradingName Name of
Holder This certificate certifies that AOCHolder has satisfied the Civil Aviation Authority (CAA) under Article 12 of the Air Navigation Order 2009 that it is competent to secure the safe th operation of aircraft for the purpose of public transport subject to the conditions contained e trans in this certificate. This certificate is not transferable and is valid for the period shown below unless varied, voked suspended or revoked. evoked.
FROM
X A M P
ddress Address
TO
11 January 2010
10 January 2011
Issued at: Gatwick Date:..
Signature:. Name: C Finnigan Title: Manager, Flight Operations Inspectorate (General Aviation)
for the Civil Aviation Authority
1 February 2010
LE
OFFICIAL STAMP
DER GRANTED UNDER ARTICLE 12 OF THE AIR NAVIGATION ORDER 2009 TO
Annex C, Appendix 1, Page 1
CAP 611
AIR OPERATOR CERTIFICATE (BALLOONS)

AOCHolder trading as [The] TradingName
AOC No. BL ### AOC Issue No. ## Page No. 2 of 3
CONDITIONS APPLYING TO THE OPERATION OF AIRCRAFT UNDER THIS CERTIFICATE

1. Flights conducted under this certificate may only be:che (a) on operations of a type specified in accordance with Section A of the attached Specifications; (b) in respect of the types of balloon specified in Section B of the attached Specifications; f (c) on flights within the areas of operation specified in Section C of the attached Specifications. and (d) subject to any Special Limitations specified in Section D of the attached Specifications. 2. 3. Operations O Op Operations Operatio Operations Operatio Operations
ort This certificate does not authorise commercial air transport flights required to be conducted 2/91 (EU-OPS under and in accordance with Annex III to EC Regulation 3922/91 (EU-OPS). prov This certificate is not valid during the continuance of the breach of any condition; provided that a breach thi loon of a condition which relates to a particular type of balloon only does not render thi certificate invalid in this respect of any other type of balloon. s acc rpose shall an Any person authorised by the CAA for the purpose shall have access to any premises in the occupation examinin th r purpos or control of the holder of this certificate for the purpose of examining the premises and any document, under this certificate. e equipment, tools or material relating to the operation of balloon under t
4.
6.
7. 8.
E
9. 10.
1 February 2010
NOTES: 1. The holder of this certificate must, in accordance with the Air Navigation Order, supply to the CAA a copy of every operations manual for the time being in effect concerning the operation of the balloon under this certificate. 2. The holder of this certificate has been granted the Special Authorisations and Approvals specified in Section E of the attached Operations Specifications. 3. The holder of this certificate either holds the Continued Airworthiness Management Organisation Approval, or contracts-out to an organisation which holds the appropriate Approval, specified in Section G of the attached Operations Specifications.
X A
for Any person appointed by the CAA for the purpose shall be permitted to board and fly in any balloon in en which any person is given a periodical test by or o behalf of the holder of this certificate. This appointed on d a ermitted person shall be permitted to witness the test and may for that purpose enter and remain in the balloon ed basket; provided that the commander of the aircraft may refuse access to the balloon basket if, in the s commanders opinion, the safety of th balloon would thereby be endangered. the ba light certificate mu Every flight under this certificate must be conducted in accordance with the provisions of the operations ual manual required for the balloon. The holder of this certificate must give to the CAA (for the attention of the Flight Operations Inspectorate n less than 14 days notice in writing of the intended abolition of any of the (General Aviation)) not le spe nominated posts speci specified in Section H of the attached Operations Specifications, or any intended hange change in the person holding the post, or in their duties.
The holder of th certificate shall give to the CAA (for the attention of the Safety Regulation Group) not this less than 28 days notice in writing of any intended change in the employment or cessation of the employme of a Contractor to maintain any of the balloon or any part of its equipment, or any intended employment hange change in the duties of the Contractor. The holder of this certificate shall give to the CAA (for the attention of the Head of Flight Operations Inspectorate (2)) immediate notice, in writing, if the Company goes into liquidation, or is placed into receivership or administration, and the name of the liquidator, receiver or administrator.
5.
pe shall perm Any person authorised by the CAA for the purpose shall be permitted at any time to board and fly in any c ficate, rema balloon operated under this certificate, and to enter and remain in the balloon basket; provided that the use balloo y commander of the aircraft may refuse access to the balloon basket if, in the commanders opinion, the hereby e safety of the balloon would thereby be endangered.
LE
CAP 611
AOC No. BL ### Ops Spec Issue No. ## Page No. 3 of 3
UNITED KINGDOM AIR OPERATOR CERTIFICATE (BALLOONS)

AOCHolder trading as [The] TradingName
OPERATIONS SPECIFICATIONS
A) Type(s) of Operations B) Type(s) of Aircraft
A1 Passengers s
s Hot-air balloons Group A oons Hot-air balloons Group B alloons r Hot-air balloons Group C
D) Special Limitations
s E) Special Authorisations / Approvals on F) Aircraft Registration Marks
E
1 February 2010
ed G) Continued Airworthiness
H) Nominated Posts
Signature:
M
Nil N Nil
Name: C Finnigan
P
Title:
C) Area(s) of Operation
egion Region AA which sha be construed as shall references to mainland United Kingdom, mainla Isl including the Isle of Man, the Isle of Wight, the M Hebrides, the She Shetl Shetlands, the Orkney Islands, the Isles of Scilly; and not beyond any point to seaward more than 1 nautical mile from the Spring Tide high water mark.
This information omitted with the approval of the Civil Aviation Authority. Registrations must be listed in the company Operations Manual Contracted-out Continued Airworthiness Management Organisation: British Balloon & Airship Club, Approval Certificate Number: UK.MF.0064 or Cameron Balloons Ltd, Approval Certificate Number: UK.MG.0448. Managing Director (Accountable Manager) Chief Pilot (Groups A, B & C) Operations Manager Flight Training Manager Type Rating Examiner Continuing Airworthiness Manager
Date:
LE
Manager, Flight Operations Inspectorate (General Aviation)
CAP 611
Annex C, Appendix 2 Regulation of Flight Times Approval
CIVIL AVIATION AUTHORITY

AIR NAVIGATION ORDER 2009
APPROVAL Regulation of Flight Times
The Civil Aviation Authority pursuant to paragraph (1)(b) of article 145 of the Air Navigation Order 2009, hereby approves the scheme established by [company name or proprietors name T/A all trading names] in accordance with paragraph (1)(a) of the said article and submitted as Chapter 3, to the initial issue of the Company Operations Manual. This approval shall remain in force from the date hereof until varied, revoked or suspended.
Signed: .................................................................................. for the Civil Aviation Authority
Date: .....................................................................................
SRG 1309 (CA2348) Dec 2009
1 February 2010
A M
P
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CAP 611
Annex D
CAA Liaison and Audit Visits
Notes for AOC (B) Holders

The following notes give details of the various checks that may be undertaken during a CAA visit. It is sent to you now to help you prepare for the visit and to ensure that all necessary documentation is available for the CAA Inspector or Surveyor. Please remember that serious non-conformities noted during a CAA audit could result in the suspension of an AOC(B) or the refusal to renew an AOC(B). You are strongly recommended to study these notes in good time and be well prepared for the CAA visit.
Sector Record Pages

(to include all balloons operated in accordance with the AOC(B) since the last CAA visit)
Completed copies of all Technical Log Sector Record Pages, having been audited by the Operations Manager and corrected, initialled and dated where necessary. The lift calculations, fuel calculations and actual weights used will be randomly checked for accuracy as will the recorded weather information. The empty weight of the balloon must be the same as is listed in the company Operations Manual.
Crew Records
(to include all flying staff who have undertaken any public transport flying for the company since the last CAA visit)
Training records, including Safety Equipment. Full copies of all Licence details, as amended. Current Training Check Form, signed by company Chief Pilot. Flight and Duty Time Records. Procedures for monitoring above.
Balloons (Operational)
(to include all balloons operated in accordance with the AOC(B) since the last CAA visit)
Completed Balloon Log Book and current Certificate of Release to Service. Certificate of Airworthiness in the EASA Standard category and an Airworthiness Review Certificate. Certificate of Registration. Approved Flight Manual, as amended. Company Operations Manual, as amended. Valid Maintenance Arrangements. Maintenance Programme, as amended. Monthly Technical Updates, signed by company Chief Pilot. Procedures for monitoring above.
NOTE: All balloons must be available for actual inspection during the visit, unless an accompanied inspection flight is also being undertaken.
1 February 2010
Annex D, Page 1
CAP 611
Accompanied/Observed Flight Inspection

(accompanied flights will be pre-notified in a covering letter)
To assess that the flight is undertaken with due regard for safety and in compliance with aviation law, the company Operations Manual and the approved Flight Manual. Knowledge of aviation law, the company Operations Manual and the approved Flight Manual. Meteorological briefing and route knowledge. Actions in the event of an emergency. Co-operation with ground crew. Passenger briefing and handling. Condition and security of balloon equipment. Appropriate elements of other checks, unless this check is undertaken at the same time as the base visit.
Operations Manual
Correctly amended in accordance with published company procedures and CAA guidance or requirements. Presentation and readability. All copies available and amended to the latest amendment record.
Facilities and Organisation

Suitability of an Operators organisation, base facilities and equipment in relation to the nature and scale of the operation or proposed operation. Adequacy of office services and accommodation. Display of safety information documents, current planning charts and meteorological information. Operations Library, as detailed below:
Operations Library Aeronautical Information

Temporary Navigation Warning Bulletins. (hard copies or screen based) Pre-Flight Route and Aerodrome Information Bulletins. (hard copies or screen based) Aeronautical Information Circulars, as amended. (hard copies or screen based) CAP 393 - Air Navigation: The Order and The Regulations, as amended. (hard copies or screen based) CAP 611 - Air Operators Certificates: Operation of Balloons, as amended, to include all current Balloon Notices. (hard copy to be maintained) UK Frequency Guide (Pooleys or equivalent), as amended. Latest issue aeronautical and/or million air charts and appropriate maps. Procedures for procurement, amendment and dissemination of the above, as required.
1 February 2010
Annex D, Page 2
CAP 611
Maintenance Arrangements
(to include all balloons operated in accordance with the AOC(B) since the last CAA visit) Balloon Inspection.1
Balloon Log Book and Maintenance Records. CAA Approved Flight Manual, as amended. Completion of Technical Log Sector Record Pages. Completion of Pre-flight Checks. Compliance with Airworthiness Directives. Current Certificate of Release to Service. Deferred Defects and subsequent Rectification. Liaison with the contracted Part M Subpart G and F approved organisations. Maintenance Records and Standards. Valid Continuing Airworthiness Management and Maintenance Arrangements.
Safety Management System (SMS)

Discussion of companys approach to safety management. SMS policy adopted. (A check will be made of the effectiveness of Company systems). Safety literature availability. Risk Assessment procedures and documentation.
Congested Area Take-off Exemption

Copies of the current Exemption for BBAC members available for inspection (where required). All pilots to be current BBAC members (where required), . Discussion of company assessment procedures and guidelines for pilots on the suitability of individual congested area sites. Procedures for monitoring above.
Insurance Check
An inspection of the insurance certificate for each company balloon will be required to ensure compliance with EC Directive 785/2004. If the MTOM for any balloon has been reduced, this will be cross checked against Appendix L, Operations Manual, appropriate Sector Record Pages and the Flight Manual Supplement.
Annual Number of Sectors and Passengers

(this information will remain confidential)
The number of Public Transport Sectors flown and the number of passengers carried by the company over the 12 months immediately preceding the base visit is requested in order that the CAA can monitor trends and the overall scale of the activity.
1.
During the audit, the basket and its associated equipment should normally be made available for inspection. A further inspection of the envelope may be arranged at a more mutually convenient time, i.e. before or after a flight, during inspection or repair.
1 February 2010
Annex D, Page 3
CAP 611
Annex E
1
Safety Management
Safety Management Checklist

The idea of the checklist system is to allow Operators individually to assess whether their organisation has a positive safety management culture. Affirmative answers indicate a positive situation. Negative responses always suggest that corrective action is needed. During audits the CAA Inspectors will discuss SMS with Operators. Their discussions will be based around the checklist and validation questions below. The Validation Questions also provide a suggested method of how the effectiveness of a Safety Management culture can be internally assessed. NOTE: Not all questions will apply to all organisations. CHECKLIST Policy/culture Is the need for a Safety Management System (SMS) accepted as essential by all? Is safety accepted as the highest priority by all? Is there a safety policy statement, made by an accountable manager, in operating manuals? Are safety responsibilities detailed? Are all personnel aware of their responsibilities? Are safety procedures documented? Is it clearly stated that safety issues must be resolved immediately in priority order? Is there a procedure for resolving safety issues? Ask company personnel. VALIDATION QUESTIONS
Ask company personnel. Statement seen at audit.
Responsibility breakdown seen at audit. Ask company personnel. Records seen at audit. Checked. Procedure demonstrated and exampled.
Is SMS regularly internally audited/checked? Procedure demonstrated and exampled. Is there a robust, mandatory, internal occurrence reporting system? (In addition to MOR System.) Are personnel encouraged to contribute safety ideas? Is safety literature widely available to all? Is there a safety training programme for new personnel? Are training responsibilities clear? Are staff safety training needs regularly reviewed? Procedure demonstrated and exampled.
Evidence of action. Evidence seen at audit. Checked. Checked. Check records.
1 February 2010
Annex E , Page 1
CAP 611
Safety Standards
Are safety standards clearly defined?
Read definitions.
Are safety standards reflected in operating Check examples. procedures? Is there a procedure for amending operating Procedure demonstrated and exampled. procedures to reflect changing safety procedures? Is there a procedure for ensuring amendments are incorporated? Is there a procedure for ensuring amendments are read by personnel? Are operations and procedures regularly reviewed in relation to risk/hazard? Is the introduction of change accepted as a risk/hazard? Are risk/hazards considered before changes are implemented? Procedure demonstrated and exampled. Ask company personnel. Review seen at audit. Ask company personnel. Ask company personnel.
Is there a process for reviewing the impact Procedure demonstrated and exampled. of environmental/work-place change on safety? Is risk/hazard management understood? Is there a procedure for managing risks/ hazards? Are the limits for safe operation defined? Are the limits for safe operation accepted by all? Ask company personnel. Procedure demonstrated and exampled risk assessment process. Seen at audit. Ask company personnel.
Are the limits for safe operation adhered to Ask company personnel. by all? Is the safety reporting system used? Are safety reports recorded? Is there a procedure to ensure action is taken as a result of safety reports? Is the competence and performance of personnel responsible for implementing safety measures checked? Check records Check records Procedure demonstrated and exampled. Procedure demonstrated and exampled.
1 February 2010
Annex E , Page 2
CAP 611
SMS Risk Assessment Matrix

This simple procedure should suit the needs of most GA Operators. If you require further advice on risk assessment please contact the SMS expert at Safety Regulation Group, CAA on 01293 573653. The assessment process must be undertaken by someone who is aware of the risks associated with the activity being assessed and who will use sound judgement in the preparation of the assessment. The assessor should also be aware that, in the event of a subsequent accident or incident, their risk assessment process may be challenged. Risk = The Severity of the Hazard x The Likelihood of Occurrence Types of Hazard The following list provides examples of CAP 611 Operator hazards. It is not exhaustive merely an example of the types of hazard that should be considered: Wire Strike; Unexpected/Forecast Change in Weather; Fire in the Air; Hard Landing; Landing Resulting in Third Party Casualties or Damage; Landing in Unsuitable Terrain; Passenger Incapacitation in the Air; Fuel Exhaustion; Passenger Incapacitation on the Ground; Ditching; Lightning Strike; Pilot Incapacitation; Structural Failure; Control Failure; Fire on the Ground; Contaminated Fuel; Loose Articles in Basket; Loss of Control.
Assessment
Assessment of likelihood and severity of hazard is subjective and is based on personal experience of the activity under assessment or statistical evidence when available. Severity of Hazard The severity of a hazard should be assessed under the following headings, depending on the possible outcome should the hazard become a reality, and allocated a score: Trivial 1 Minor Injury 2 Serious Injury Single Fatality Multiple Fatality 3 4 5
Likelihood of Occurrence The likelihood of the hazard occurring should be assessed against the following headings and again allocated a score: Highly Unlikely 1 Unlikely 2 Quite Possible 3 Likely 4 Highly Likely 5
1 February 2010
Annex E , Page 3
CAP 611
Matrix Production Once Severity and Likelihood levels have been decided they should be entered in the matrix.
Hazard Wire Strike Fire in the Air Landing in Unsuitable Terrain Severity 3 4 Likelihood 3 2 Rating 9 8 Mitigation Highlight all wires on charts Good engineering practices Good weather check & good flight planning M/Factor Likelihood reduced to 2 Likelihood reduced to 1 Likelihood reduced to 2 Final Rating 6 4
12
The content of the above table is for example only and does not imply or infer a risk level. Risk Rating The Risk Rating is the figure obtained when the Severity assessment is multiplied by the Likelihood assessment. A resultant figure of less than 6 indicates a low risk; a figure between 6 and 15 a medium risk; and a figure greater than 15 a high risk. High risk ratings should generally be deemed unacceptable and mitigation sought to reduce the rating to an acceptable level medium or better. Mitigation Mitigation action should be taken whenever possible to reduce risk ratings even when the risk is low. Risk Assessment Audit Trail Organisations should record and retain the details of their risk assessment process.
1 February 2010
Annex E , Page 4
CAP 611
Annex F
Occurrence Reporting
Examples of the CAA Occurrence Report Form and the BBAC Balloon Safety Report are contained within this Annex. APPENDIX 1 to ANNEX F APPENDIX 2 to ANNEX F SPECIMEN OCCURRENCE REPORT FORM SPECIMEN BBAC BALLOON SAFETY REPORT
1 February 2010
Annex F, Page 1
CAP 611
Annex F, Appendix 1 Occurrence Report Form

The current version of this Form is available at www.caa.co.uk/formsrg1601
CAA Occurrence Number
OCCURRENCE REPORT
Safety Data, Civil Aviation Authority, Safety Regulation Group, Aviation House, Gatwick Airport South, West Sussex, RH6 0YR e-mail: sdd@caa.co.uk Fax: 01293 573972 Tel: 01293 573220 Please complete this form online, print, sign and send it to the above address.
AIRCRAFT TYPE & SERIES REGISTRATION
If report is CONFIDENTIAL mark clearly at the top and provide contact address/Tel no. Your wish will be respected. Reporters Ref:
DATE (dd/mm/yyyy)
TIME OF EVENT F UTC
DAY NIGHT TWILIGHT
OPERATOR
LOCATION/POSITION/RW
FLIGHT NO.
ROUTE FROM
A M P LE
ROUTE TO FL ALT/HT (FT) IAS (KT) FR IFR TCAS RA VFR YES NO
ASE FLIGHT PHASE
ETOPS YES NO
NATURE OF FLIGHT
Please Select
ENVIRONMENTAL DETAILS
WIND DIRN. SPEED (kt) CLOUD TYPE
Please Select
PRECIPITATION
OTHER METEOROLOGICAL CONDITIONS ICING
RUNWAY STATE
HT (ft)
Please Select Please Select
VISIBILITY KM
TURBULENC TURBULENCE
OAT (C)
Please Select
Please Select
Please Select
Please Select
CATEGORY
BRIEF TITLE
DESCRIPTION OF OCCURRENCE
Any procedures, manuals, pubs. (AIC, AD, SB etc.) directly relevant to occurrence and (where appropriate) compliance state of aircraft, equipment or documentation.
Form SRG/1601 (CA 1673) October 2009
Page 1 of 2
1 February 2010
Annex F, Appendix 1 Page 1
CAP 611
GROUND STAFF REPORT A/C CONSTRUCTORS NO. ENGINE TYPE/SERIES ETOPS APPROVED GROUND PHASE MAINTENANCE YES NO GROUND HANDLING UNATTENDED COMPONENT/PART MANUFACTURER PART NO. TEL. MAINTENANCE ORGANISATION
SERIAL NO.
REFERENCES:- MANUAL/ATA/IPC
COMPONENT OH/REPAIR ORGANISATION
ORGANISATION AND APPROVAL REFERENCE
NAME
POSITION
SIGNATURE
DA DAT DATE (dd/mm/yyyy)
If report is voluntary (i.e. not subject to mandatory requirements) can the information be published in the interests of safety?
YES
Address and tel.no. (if reporter wishes to be contacted privately).
NO
REPORTING ORGANISATION - REPORT
PREVE ORGANISATION COMMENTS - ASSESSMENT/ACTION TAKEN/SUGGESTIONS TO PREVENT
X
UTILISATION - AIRCRAF AIRCRAFT SINCE OH/RE OH/REPAIR
A E
UTILISATION - ENGINE/COMPONENT TOTAL HOURS CYCLES LANDINGS REPORTERS REF REPORT NEW E-MAIL NAME FAX POSITION TEL. SUPPL REPORTERS INVESTIGATION NIL CLOSED OPEN FDR DATA RETAINED YES NO SINCE OH/REPAIR SINCE INSPECTION OTAL TOTAL SINCE INSPECTION MANUFACTURER ADVISED HOURS YES
M
NO CYCLES LANDINGS REPORTING ORGANISATION TEL. E-MAIL SIGNATURE DATE (dd/mm/yyyy)
Form SRG/1601 (CA 1673) October 2009
P LE
mation, ional availab NOTE 1:If additional information, as below, is available, please provide. elated o he NOTE 2:If the occurrence is related to a design or manufacturing al deficiency, the manufacturer should also be advised promptly. NOTE 3:Where applicable, a report of this in E incident should be forwarded directly to other agencies involve e.g. Aerodrome Authority, involved, ATC agency.
Page 2 of 2
1 February 2010
CAP 611
Annex F, Appendix 2 BBAC Balloon Safety Report
BALLOON SAFETY REPORT

(Shaded Areas for Safety Officers use only)
. ..
BALLOON DETAILS
REGISTRATION:- ......................................
Make ...................................... Type ...................................... Total hrs flown .................................... Year of Manufacture ............... Size ...................................... Current C of A YES/NO* Burners (Number and Type) ............................................................................................................................ Basket Type ..................................................................................................................................................... Deflation system (please state type) ................................................................................................................... (a Public Transport (NB: MOR req.) (d Experimental C of A Category (b Aerial Work (e Other (please state) (c Private .................................................................... Please state type of base of basket and if it has a cushion floor. e.g. parachute, velcro, Paraplus, SuperChute, Smart Vent etc.
CONFIDENTIAL DETAILS
Pilot in Command Telephone No(s)
Date..........................
Time............................Local/UTC
............................................... Balloon Operator ...............................AOC No........ ............................................... Reporter's Name ................................................. ............................................... ............................................. Reporters Tel ............................................... ............................................. No Address ........................................................................................................................................... ......................................................................................................................................................................... ......................................................................................................................................................................... ................................................................... Grid Ref. .............................................. Take-off site ............................................................. Incident Location (& Sheet No.) ...........................
See Note 1. NATURE OF FLIGHT

a. Training b. Private c. Public Transport d. Aerial work e. Record Attempt f. Other (please state) .....................................................
PHASE OF FLIGHT
a. b. c. d. e. f. g. h. i. j. Inflation Take off In flight Intermediate landing/app. Intermediate take off Final landing/approach Deflation Tether Refuelling Other (explain)
INCIDENT DETAILS
................ ................ .......S.........M .......S........ M ................ ..........Local/UTC ..........Local/UTC Yes/No Yes/No Yes/No Yes/No Yes/No
Crew on board Passengers on board Crew Injured Passengers injured Others injured Take off time Sunset/Sunrise Reported toManufacturer ? Police ? AAIB ? ...................................................... CAA ? If this Incident requires an MOR, do you wish me to send the CAA a copy of this entire form?
Please give number of serious injuries (S) and /or of minor injuries (M) as defined in accompanying notes
PILOT DETAILS
Pilots age Pilots Licence Group (CPLs only) Total hours Hours on group (CPLs only) Hours in last 3 months Hours in last 28 days P.I.C. ........................................ PPL / CPL / (R) A/B/C ........................................ ........................................ ........................................ .................................... Handling Pilot (if not P.I.C) ........................................ PuT / PPL / CPL / (R) A/B/C ........................................ ........................................ ........................................ .....................................
Revised September 1998 Reprinted June 2006
1 February 2010
CAP 611
WEATHER CONDITIONS
Surface Wind (Speed / Direction ) 2000 Wind (Speed / Direction) Visibility Temperature Pressure Cloud type & base Forecast .............M /.kts .............M/ .kts ........................................km ........................................ C ........................................mb ............................................ Actual .............M /.kts .............M /.kts ........................................km ....................................... C. .........................................mb ............................................
Type of airmass (e.g. High pressure stable, fast moving depression, thundery low ........................................... ............................................................................................................................ Source(s) of Information ...........................................................................................................Time........... ...........................................................................................................Time...........
NARRATIVE REPORT to include:The extent of injuries to passengers or other persons The extent of damage to the balloon What prevented the incident from having more serious consequences What were the positive results of the incident Is there anyone else we need to contact What lessons have been learnt What recommendations would you make?
(use additional separate sheet as required. Typewritten, wordprocessed reports preferred)
Signature:
Date:
Please send completed form to BBAC Safety Officer at address shown in Aerostat: At time of printing this was:- John Fenton, 195 Moor Road, Croston, PRESTON, PR26 9HP.
: 01772 601525.
e- mail: safety@bbac.org
Revised September 1998 Revised September Reprinted June 2006 1998
d J
2006
1 February 2010
CAP 611
Annex G
1
Training and Testing Requirements
ANO 2009 Schedule 7 Requirements

Schedule 7 Item General Flight Test and Initial Balloon Group Source Validity Notes
CPL(B) - 10 years 1. Whole of FCL 672 by CPL(B) Schedule 7 Rating - 13 months Examiner (not a TRE). Part A Section 1 Sub-section 3 1. Whole of SRG 1319 by TRE. 2. May be required following expiry by more than 5 years and assessment by Licensing and Training Standards. 1. Relevant parts of SRG 1319 by TRE. 2. Certified by TRE in professional licence. 1. Certified by TRE in professional licence.
13 months Additional Balloon Schedule 7 Group Type Ratings Part B Section 1 Sub-section 1 Certificate of Test (public transport Schedule 7 Part C, Section 1 Paras 2 to 4 Schedule 7 Part C Section 1 Paras 5 to 7 13 months
Certificate of Experience (Aerial Work)
13 months
ANO 2009 Schedule 8 Requirements

Schedule 8 Item Base Check Line Check Safety Equipment and Procedures Source Schedule 8 Part C Para 2(5) Schedule 8 Part C Para 2(2) Schedule 8 Part C Para 1(a) & (b) Validity 13 months 13 months 3 years Notes Certified by TRE on the combined Training Check Form. Certified by TRE on the combined Training Check Form. Certified by Chief Pilot or TRE on the combined Training Check Form.
Training Check Form

A specimen Training Check Form is at Appendix 1 to this Annex.
1 February 2010
Annex G, Page 1
CAP 611
Annex G, Appendix 1
Specimen Training Check Form
(See Balloon Operations Manual Appendix G) This Form is available on the CAA website at www.caa.co.uk/SRG1317.
TRAINING CHECK FORM
NAME ......................................................... LICENCE TYPE ...................................... NO. .................................. BALLOON TYPE......................................... GROUP.................................................... REG ................................. COMBINED BASE/LINE CHECK PRE-FLIGHT 1 Knowledge of recent AICs and NOTAMs 2 3 4 5 6 7 8 Weather and Site Assessment Balloon Documents, performance and loading check External and Internal Checks Altimeter setting procedure and use of Check Lists Passenger Briefing Pre-Inflation Inflation TRE Comments P/F Initial TRE Comments DATE .............................. P/F Initial
IN FLIGHT 1 Weather Assessment 2 3 4 5 6 7 8 9 10 11 12 13 Use of Maps, Charts, etc. ATC Liaison (where applicable) Position Fixing Fuel Planning Take Off Level Flight Climb Descent Shallow Approach Steep Approach Landing Post Flight Actions
EMERGENCIES (in flight discussion) 1 Pilot Light Failure 2 3 Fire in the Air Discussion Items (In flight or on the ground) 1 Pilot light failure after take-off 2 Landing in increasing wind strength 3 Action in the event of blast valve failure 4 Ground handling 5 Deflation system 6 Cold descent
TRE Comments
P/F
Initial
SEP CHECK 1 2 3 4 Location and Type of fire extinguisher Location and Contents of First Aid Kit Fire Training: Place First Aid Training: Place
TRE Comments
P/F
Initial
Date Date
Examiners Name ..................................... Licence No. ........................ Signature ................................................ Chief Pilots Signature .................................................................. Date ___/___/___ Next Check Due (13 months after this check)
___/___/___
Page 1 of 1
1 February 2010
Annex G, Appendix 1, Page 1
CAP 611
Annex H
Technical Log
Examples of the forms used for the Technical Log, Sector Record Page, Loadsheet, Passenger Manifest and Acceptable Deferred Defects Record are contained within this Annex. APPENDIX 1 to ANNEX H APPENDIX 2 to ANNEX H SPECIMEN TECHNICAL LOG AND BALLOON SECTOR RECORD PAGE SPECIMEN ACCEPTABLE DEFERRED DEFECTS RECORD
1 February 2010
Annex H, Page 1
CAP 611
Annex H, Appendix 1 Balloon Sector Record Page
Technical Log Sector Record Page Loadsheet and Passenger Manifest

Passenger Name 1 2 3 4 5 Balloon Volume 6 7 8 9 10 11 12 13 14 15 16 17 18 19 CAPTAIN Total Permitted Lift Total Lift Required Underload x Press Alt Wt : lb/kg Permitted Lift Calc. Datum Temp
AOC No.
.Registration
Page Serial No.
lb/kg
0
CAPTAIN
Date
ft Place Time
Max Lift/1000 ft3 Dep cu/ft3 Arr
X A M P LE
Total Hours BF rs F = Hours this page urs Ball Total Balloon Hours = Next Check Due Hrs Last Minute changes (LMCs) Date Next Check Due D +/Fuel Calculation +/Planned Duration /+// +/Fuel Required Total LMC Fuel Certificate inal underload Original underloa oad T/O ad Underload at T Sign
Fuel loaded sufficient
Empty Cyls. Weight . Total Fuel at Dep. p.
+ + +
Loading Certificate
Pre-Flight Carried Out
Weig Empty Balloon W igh oon Weight Total Lift Required quired
E
er Departure Weather
Surface 2000 2000ft
Sign Source Vis. WX Capts. Signature Defects Time Cloud
Sign
Wind
Temp. Date Action Taken
QNH
NIL DEFECTS* No.
Certifies that the work specified except as otherwise specified was carried out in Item Nos. accordance with Part-M and in respect to that work the aircraft is considered ready for release to service Company Approval Reference
Signed
Authority
Date
* Strike out if a defect entry is made
1 February 2010
Annex H. Appendix 1, Page 1
CAP 611
Acceptable Deffered Defects Record (Non-Airworthiness Defects)
Serial No:
1 February 2010
Registration No:
Annex H, Appendix 2
EX AM
Date
No.
Sector Record Page
Defect
Entered By
Date
Rectification
Cleared by Name/Signature Company
Deferred Defect Record Page
PL E
Annex H Appendix 2 Page 1

CAP 611 Air Operators' Certificates: Operation of Balloons: Safety Regulation Group

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Safety Regulation Group

CAP 611 Air Operators Certificates: Operation of Balloons

Safety Regulation Group

CAP 611 Air Operators Certificates: Operation of Balloons

Air Operators Certificates: Operation of Balloons

www.tso.co.uk/bookshop E-mail: caa@tso.co.uk Textphone: 0870 240 3701

Air Operators Certificates: Operation of Balloons

Air Operators Certificates: Operation of Balloons

List of Effective Pages

Air Operators Certificates: Operation of Balloons

Chapte Annex H Annex H Annex H

Date 1 February 2010 1 February 2010 1 February 2010

Air Operators Certificates: Operation of Balloons

List of Effective Pages Revision History Chapter 1 Introduction

The Air Operators Certificate (Balloons)

Air Operators Certificates: Operation of Balloons

Training and Testing

Air Operators Certificates: Operation of Balloons

Balloon Continuing Airworthiness Management and Maintenance Support Arrangements

Continuing Airworthiness Management and Maintenance Arrangement 3

Insurance Requirements for Balloon Operators

Useful Publications and Addresses

Annex B Appendix 1 Appendix 2

Air Operators Certificates: Operation of Balloons

Appendix 4 Appendix 5 Appendix 6 Appendix 7 Annex C Appendix 1 Appendix 2 Annex D Annex E

Annex F Appendix 1 Appendix 2 Annex G

Appendix 1 Annex H Appendix 1 Appendix 2

Air Operators Certificates: Operation of Balloons

March 1993 December 2001

Paragraph 3.3 Paragraph 4.1 Paragraph 4.2

Air Operators Certificates: Operation of Balloons

Air Operators Certificates: Operation of Balloons

INTENTIONALLY LEFT BLANK

Air Operators Certificates: Operation of Balloons

Public Transport Operation

Air Operators Certificates: Operation of Balloons

The Status of CAP 611

Compliance with Statutory Requirements

Air Operators Certificates: Operation of Balloons

Air Operators Certificates: Operation of Balloons

Air Navigation Order

Publications and Address List

Air Operators Certificates: Operation of Balloons

Chapter 2 The Air Operators Certificate (Balloons)

Requirement to Hold an AOC(B)

Application for an AOC(B)

Air Operators Certificates: Operation of Balloons

Air Operators Certificates: Operation of Balloons

5.4 5.4.1 5.4.2 5.4.3

5.4.4 5.5 5.5.1 5.5.2

5.6.2 5.6.3 5.6.4 5.6.5

Air Operators Certificates: Operation of Balloons

Air Operators Certificates: Operation of Balloons

Routine Liaison and Audit Visits

8.3 8.4 8.5

Variation, Suspension or Revocation of an AOC(B) by the CAA

Air Operators Certificates: Operation of Balloons

ANO 145(4) CAP 371 ANO 156(5)

Air Operators Certificates: Operation of Balloons