gaca_gov_sa · guide · processed · 59 chunks
GACA®
الهييه العامه للطيران المدني
General Authority of Civil Aviation
TABLE OF CONTENTS
AC 151-01; Ground Service Provider Certification Guide
CHAPTER 1 - Background 2
CHAPTER 2 - Categories & Types of Ground Services 5
CHAPTER 3 - Certification Process 9
CHAPTER 4 - Training Requirements 21
CHAPTER 5 - Post Certification Specific Emphasis Issues 23
CHAPTER 6 - Responding To Non-Compliances 31
CHAPTER 7 - Occurrence and Safety Reporting 35
ATTACHMENT A - Application Form for Ground Service Provider Certificate GACAR… 37
§ 151.23
ATTACHMENT B - Regulatory Compliance Statement (RCS) GACAR § 151.23 …… 38
ATTACHMENT C - Quarterly Ground Safety Report GACAR § 151.117 39
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ADVISORY CIRCULAR
<table><tr><td>SUBJECT:</td><td>DATE:</td><td>AC NUMBER:</td><td>VERSION:</td></tr><tr><td>GROUND SERVICE PROVIDER CERTIFICATION GUIDE</td><td>2018-12-10</td><td>151-01</td><td>1.0</td></tr></table>
NOTE: THIS ADVISORY CIRCULAR IS PUBLISHED TO PROVIDE REGULATORY INFORMATION AND DESCRIBE ACCEPTABLE MEANS OF COMPLIANCE WITH THE GENERAL AUTHORITY OF CIVIL AVIATION REGULATIONS (GACAR).
CHAPTER 1 - BACKGROUND
1.1 Purpose
This advisory circular (AC) provides regulatory information, guidance and acceptable means of compliance related to obtaining a ground service provider certificate in accordance with GACAR Part 151.
1.2 Applicability
(a) This advisory circular is applicable to all organizations which provide ground services at an aerodrome in the Kingdom of Saudi Arabia (KSA) within the applicability of GACAR Part 139, and which must be certificated in accordance with GACAR Part 151.
(b) GACA regulated entities which provide ground services for their own operations only, i.e. “self-handlers”, do not require a certificate issued under GACAR Part 151, however their ground services must comply with the technical requirements in GACAR § 151.5 and their systems, procedures, programs, personnel, manuals, equipment and facilities be equivalent to those prescribed in Subparts C, D, E, F, G, H and I of GACAR Part 151 and this advisory circular, where applicable.
(c) Organizations delivering ground support services as a subcontracted entity to a certificated ground service provider under GACAR Part 151 can continue to do so provided that the subcontracted organization complies at all times with:
(1) The technical standards of GACAR § 151.5, and
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(2) The subcontracting requirements of GACAR § 151.9.
(d) Ground service providers must hold a ground service provider certificate for each of the aerodromes at which they provide services, i.e. all their ground stations in the KSA.
1.3 Technical and Operational Standards
(a) Ground services provided within the applicability of section 1.2 of this document must comply with the standards, specifications and recommended practices contained in the documents defined in GACAR § 151.5.
(b) The President may issue guidance material or directives to clarify, amend, or supplement the documents defined in paragraph (a) of this section.
(c) In cases where the material issued by the President contradicts any standards, specifications or processes contained in the documents referenced in paragraph (a) of this section, the material issued by the President must always prevail as per GACAR §151.5(c).
1.4 Related Regulatory Provisions
GACAR Parts 4, 5, 7, 13, 68, 109, 139, 151.
1.5 Related Forms
(a) Form AS_GH-F-151-001: Application for Ground Service Provider (Attachment A).
(b) Form AS_GH-F-151-002: Regulatory Compliance Statement (Attachment B).
(c) Form AS_GH-F-151-020: Quarterly Ground Safety Report (Attachment C).
1.6 Definitions of Terms Used in this Advisory Circular
Concerned parties should refer to:
(a) GACAR Part 151 for the scope of ground services.
(b) Subpart A, of GACAR Part 1 for defined terms used in the new GACARs.
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(c) Manuals prescribed in GACAR § 151.5(a) for defined terms specifically related to ground services.
1.7 Approval
This advisory circular has been approved for publication by the Assistant President, Aviation Standards sector of the General Authority of Civil Aviation.
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CHAPTER 2 – CATEGORIES & TYPES OF GROUND SERVICES
2.1 Categories and Types of Ground Services
(a) For the purpose of GACAR Part 151, eleven main categories of ground services are identified, which are subdivided into different types of privileges as prescribed in GACAR §151.1 and codified below:
<table><tr><td>Cat.</td><td>Type of Ground Service Privileges</td></tr><tr><td>A</td><td>Ramp Handling</td></tr><tr><td>A1</td><td>Marshaling the aircraft on the ground at arrival and departure, assistance to aircraft parking and securing including the provision of suitable devices.</td></tr><tr><td>A2</td><td>Loading and unloading of the aircraft including the provision and operation of suitable means.</td></tr><tr><td>A3</td><td>Boarding and deplaning of passengers and crew including the provision of suitable means or the operation of boarding bridges, where provided.</td></tr><tr><td>A4</td><td>Transport of crew, passengers and baggage between the aircraft and the terminal including the provision of suitable means.</td></tr><tr><td>A5</td><td>Provision and operation of suitable ramp equipment for assistance to passengers with reduced mobility.</td></tr><tr><td>A6</td><td>Provision and operation of appropriate units for aircraft engine starting.</td></tr><tr><td>A7</td><td>Provision and operation of appropriate units for the supply of electrical ground power to aircraft.</td></tr><tr><td>A8</td><td>Provision and operation of suitable equipment for the towing/push-back of aircraft and the communication with flight crew.</td></tr><tr><td>B</td><td>Passenger Handling</td></tr><tr><td>B1</td><td>Any kind of assistance to arriving, departing, transfer or transit passengers, the operation of a departure control system, checking tickets and travel documents, registering baggage and carrying it to the designated area(s), escorting passengers for operational reasons.</td></tr><tr><td>B2</td><td>Provision and operation of suitable means at the airport terminal for assistance to passengers with reduced mobility.</td></tr><tr><td>C</td><td>Baggage Handling</td></tr><tr><td>C1</td><td>Handling and sorting baggage in the designated area(s), loading it on to and unloading it from the relevant devices with the purpose of moving it from the aircraft to the designated area(s) and vice versa, as well as the transfer of baggage from the designated area(s) to the reclaim area, including the provision and operation of suitable means.</td></tr><tr><td>C2</td><td>Operation/handling of the baggage reconciliation system.</td></tr></table>
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<table><tr><td>Cat.</td><td>Type of Ground Service Privileges</td></tr><tr><td>D</td><td>Freight & Mail Handling</td></tr><tr><td>D1</td><td>For freight: physical handling of export, transfer and import cargo, handling of related documents, customs procedures and implementation of any security procedures required by regulations and agreed between the parties at the on-aerodrome relevant facilities/cargo warehouses.</td></tr><tr><td>D2</td><td>For mail: physical handling of incoming and outgoing mail, handling of related documents and implementation of any security procedures required by regulations and agreed between the parties at the on-aerodrome relevant facilities/cargo warehouses.</td></tr><tr><td>D3</td><td>Physical handling of freight or/and mail, whether incoming, outgoing or being transferred, between the on-aerodrome relevant facilities/cargo warehouses and the passenger aircraft, including the provision and operation of suitable means.</td></tr><tr><td>D4</td><td>Physical handling of freight or/and mail, whether incoming, outgoing or being transferred, between the on-aerodrome relevant facilities/cargo warehouses and the cargo aircraft, including the provision and operation of suitable means.</td></tr><tr><td>E</td><td>Load Control & Dispatch</td></tr><tr><td>E1</td><td>Load planning.</td></tr><tr><td>E2</td><td>Aircraft weight & balance calculations.</td></tr><tr><td>E3</td><td>Issuing loading instruction reports, notification to captain and load sheet.</td></tr><tr><td>E4</td><td>Loading supervision or/and aircraft turnaround coordination.</td></tr><tr><td>E5</td><td>Preparation of the flight at the departure airport or at any other point.</td></tr><tr><td>E6</td><td>Messaging and telecommunications, including communication with the flight crew via means of radio.</td></tr><tr><td>E7</td><td>Crew administration.</td></tr><tr><td>F</td><td>Unit Load Device Control</td></tr><tr><td>F1</td><td>Unit load device serviceability inspection, handling and storage.</td></tr><tr><td>F2</td><td>Provision of adequate and sufficient infrastructure for proper storing, transporting, moving, transferring, build-up and break down of unit load devices.</td></tr><tr><td>G</td><td>Aircraft Servicing</td></tr><tr><td>G1</td><td>External and internal cleaning of the aircraft including the provision and operation of appropriate units or equipment.</td></tr><tr><td>G2</td><td>Waste and potable water servicing, including the control of the quality of potable water and the provision and operation of appropriate units and equipment.</td></tr><tr><td>G3</td><td>Cooling and heating of the aircraft cabin including the provision and operation of appropriate units or equipment.</td></tr><tr><td>G4</td><td>Removal of snow and ice, the de-icing or anti-icing of the aircraft including the provision and operation of appropriate units or equipment.</td></tr></table>
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<table><tr><td>Cat.</td><td>Type of Ground Service Privileges</td></tr><tr><td>H</td><td>Into-plane Fuel Services</td></tr><tr><td></td><td>Aircraft fueling and defueling operations, incorporating the control of the quality and quantity of fuel deliveries and the provision and operation of suitable means and equipment. Select applicable Level(s), i.e. L1, L2, L3 or/and L4, as per JIG/IATA classification.</td></tr><tr><td>I</td><td>Representation & Supervision</td></tr><tr><td>II</td><td>Representation and liaison services with local authorities or any other entity, disbursements on behalf of the customer and provision of office space for its representatives.</td></tr><tr><td>I2</td><td>Any other supervision service before, during or after the flight and any other administrative service requested by the customer.</td></tr><tr><td>J</td><td>Surface Transport</td></tr><tr><td>JI</td><td>Provision and operation of suitable means for the transport of crew, passenger, baggage, cargo and mail between different terminals of the same aerodrome, but excluding the transport between the aircraft and any other point within the perimeter of the same aerodrome.</td></tr><tr><td>J2</td><td>Any special transport requested by the customer.</td></tr><tr><td>K</td><td>In-flight Catering Services</td></tr><tr><td></td><td>Transport, loading on to and unloading from the aircraft of catering supplies (food, beverage or other relevant supplies) including the provision and operation of suitable means.</td></tr></table>
(b) Each ground service provider may apply for one or more of these ground services for a specific aerodrome/ground station.
(c) The types of ground service privileges described in the table of item 2.1(a) may include any of the associated sub-items described in the IATA Standard Ground Handling Agreement (SGHA) of the Airport Handling Manual (AHM), provided that these items are clearly defined in the scope of services in the accepted Ground Operations Manual of the certificated organization.
(d) In the context of item G1 of section 2.1(a), deep interior cleaning and exterior aircraft cleaning is expected to be performed from designated qualified staff using only approved chemical agents and following approved airline procedures. The corresponding procedures and cleaning agents used should be described in the Ground Operations Manual.
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2.2 Other Ground Services Acceptable to the President
If an organization intends to offer a ground service that is not prescribed in GACAR § 151.1, the organization may apply for this particular type of service through the relevant application form for a ground service provider certificate (Attachment A). Such services may include but not limited to:
(a) Any single activity from the defined types of ground service privileges in 2.1(a), if the organization opts for only that particular activity from the functions described in the aforementioned type of ground service privileges.
(b) The provision and operation of airside VIP vehicles for the embarkation or disembarkation of passengers to/from the aircraft.
(c) Security services, excluding the screening of persons, baggage or goods, provided by trained personnel and regarding the profiling of passengers, the special check of passport and VISA validity, searching, guarding or sealing of aircraft, escort of valuable cargo, securing storage of cargo or/and mail.
(d) Setup and operation of left luggage facility for the temporary storage of baggage at the airport terminal.
(e) Setup and operation of a business/passenger lounge at an airport with the ability to access the computer reservation system of airlines and process/check-in passengers.
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CHAPTER 3 – CERTIFICATION PROCESS
Organizations who are currently providing ground services, or those with the intention to commence the provision of ground services, at any of the aerodromes in the KSA within the applicability of GACAR Part 139, should adhere to the following process when applying for certification under Part 151:
3.1 STEP 1 - Pre-application Meeting
(a) The concerned organization should send a letter of intent to the Assistant President of GACA Aviation Standards sector. This letter must specify:
(1) The scope of services intended to be provided.
(2) The aerodrome at which these services will be provided.
(3) The focal point of the organization for the certification process.
(b) The focal point should be a senior official in the hierarchy of the organization, reporting to the accountable executive and with knowledge of quality systems, preferably the prospective quality assurance post-holder.
(c) The Aviation Standards sector of GACA should acknowledge the letter of intent and invite the prospective organization for a pre-application meeting, with the Ground Services Standards department of GACA, to discuss its intentions and receive further guidance.
3.2 STEP 2 - Submission of Application and Documentation
Following the pre-application meeting, and provided that the organization is ready to apply for a ground service provider certificate, the following documents are expected to be submitted together with the application form (items 3.2.1 to 3.2.8):
3.2.1 Application Form for Ground Service Provider (GSP) Certificate
AC 151-01
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The application form requires the following items to be completed by the organization:
(a) Item 1: Identify the purpose of the application, which may be for:
(1) Initial certification.
(2) Renewal of existing certificate.
(3) Change in the ground service privileges, which may include the addition or removal of any of the categories or types of ground services provided.
(4) Change of ownership of the certificated ground service provider, and
(5) Other subjects which may include the change of address, the replacement of the accountable executive or a post-holder, and the addition or removal of a subcontractor.
(b) Item 2: Provide the address of the main corporate office, which must correspond to the principle place of business in the Kingdom, or the main address of the relevant ground station at the subject aerodrome.
(c) Item 3: Provide the IATA 3-letter code and the official name and geographical location (name of city) of the aerodrome for which the application is submitted.
(d) Items 4 & 5:
(1) Select all applicable ground service categories and types in order to identify the full scope of services of the organization at the particular aerodrome.
(2) Specifically for item H, into-plane fuel service providers must select the applicable level(s) of fuel service(s), i.e. L1, L2, L3, or/and L4, as per JIG/IATA classification.
(e) Item 6:
(1) Provide the names of the nominated post-holders prescribed in GACAR § 151.43(a):
(i) Ground station post-holder, in charge of the administration and all operations at the
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subject aerodrome;
(ii) Operations post-holder, at corporate level, in charge of all ground station postholders, if the organization operates in more than one aerodrome in the KSA;
(iii) Quality assurance post-holder, at corporate level, leading the quality assurance system of the organization applicable to each ground station;
(iv) Training post-holder, at corporate level, leading the training planning and implementation of the organization applicable to all ground services staff.
(2) In consideration of GACAR Part 151.43(b)3, for small organizations with less than 50 staff in total and operating no more than two ground stations in the KSA, the President may accept functions (i), (ii) and (iv) to be assumed by one individual, provided that the function of the quality assurance post-holder remains separate.
(3) For ground service providers with no more than four ground stations in the KSA or a limited scope of services, e.g. cargo, catering, etc., the President may accept that the operations post-holder at corporate level may serve also as the ground station postholder for only one of the organization's ground stations.
(f) Item 7:
(1) Provide the names of the subcontracted organizations and the subject of the corresponding subcontracted activity. Subcontracted activities must be part of the categories and types of ground services for which the organization is applying (paragraph (d) above).
(2) The inclusion of the subcontracted organizations and their scope of services in the operations specifications issued by the President demonstrates the acceptance of the subcontracted organizations by the President.
3.2.2 Five Key Manuals
The documents prescribed in GACAR § 151.23(a) must be submitted for the acceptance of the President in both soft and hard copies together with the application form described in section 3.2.1, and must include the following:
(a) Ground Operations Manual:
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(1) Initial certification; The ground operations manual may comprise more than one volume, provided that it covers all of the subjects prescribed in GACAR § 151.63.
(2) The generic ground operations manual may be applicable to all ground stations of the organization. However, the differences between the generic manual and the particularities of a ground station must be depicted in a document referred to as the “Local Ground Operations Supplement” for this specific ground station, according to GACAR § 151.65. This is applicable to all ground stations of the certificated organization. Differences may include, but not limited to the local ground station organizational structure and charts, accountability and responsibilities, special processes and operating procedures, facilities and staging areas, ground support equipment maintenance, staffing, and any other specific information relevant to the subject ground station/aerodrome.
(3) In addition, the local ground operations supplement document should:
(i) Include reference(s) to all relevant regulatory requirements of GACA, and in particular those defined in GACAR 151.5.
(ii) Include a statement that the generic/corporate ground operations manual does not contradict any requirements prescribed in this part, or any other relevant GACA regulation, as in this case GACA regulations shall prevail.
(4) The organization may alternatively choose to include all relevant differences or statements mentioned in items (2) and (3) above in their generic ground operations manual in the form of annexes.
(5) The local emergency response plan may be submitted as a separate document.
(b) Training Manual:
(1) This manual is expected to be at corporate level and cover all subjects prescribed in GACAR § 151.73 applicable to all ground stations/aerodromes of the service provider.
(2) The manual should include a training program with all syllabi for the basic and recurrent training courses/modules of all job functions relevant to the operations specifications of the certificated organization, including the training hours required for each course/module, and
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the associated on-the-job (OJT) practical training hours or number of events required to be performed (where applicable).
(3) The manual should incorporate a training matrix indicating all the required training modules and frequency of recurrence for each job function relevant to the operations specifications of the certificated organization.
(c) Quality Assurance Manual:
(1) The quality assurance manual is expected to be at corporate level and cover all subjects prescribed in GACAR § 151.101.
(2) The quality assurance manual may be applicable to all ground stations/aerodromes of the service provider. However, the differences between the generic manual and the particularities of a ground station must be depicted in a document referred to as the “Local Quality Assurance Supplement” for this specific ground station, according to GACAR §151.103. This is applicable to all ground stations of the certificated organization. Differences may include, but not limited to, the quality department organization and accountabilities, special quality procedures, local audit and inspection program, and any other specific information relevant to the subject ground station/aerodrome.
(3) In addition, the local quality assurance supplement document should:
(i) Include reference(s) to all relevant regulatory requirements of GACA, and in particular those defined in GACAR Part 151, Subpart H.
(ii) Include a statement that the generic/corporate quality assurance manual does not contradict any requirements prescribed in this part, or any other relevant GACA regulation, as in this case GACA regulations shall prevail.
(4) The organization may alternatively choose to include all relevant differences or statements mentioned in items (2) and (3) above in their generic quality assurance manual in the form of annexes.
(5) If the ground station has a relatively low volume of activity, the President may accept that the permanent presence of an assistant quality officer, in the context of GACAR § 151.101(g), may not be necessary. In this case:
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(i) An assistant quality officer may be responsible for more than one ground station.
(ii) The frequency of audits/visits to those ground stations and the associated procedure must be described in the quality assurance manual or the relevant supplement.
(d) Safety Management System (SMS) Manual:
(1) The SMS manual must comply with GACAR Part 5 and the requirements of GACAR § 151.23(a)4.
(2) The generic SMS manual may be applicable to all ground stations of the certificated organization. However, local responsibilities, hazards, risk assessments, safety parameters and particularities relevant to each ground station must be described either in the core manual or in a supplement document to this manual for each ground station/aerodrome, hereinafter referred to as “local supplement to SMS manual”.
(e) Emergency Response Plan (ERP):
(1) In addition to the requirements prescribed in GACAR Part 5, the ERP must be consistent with the aerodrome's ERP (which is based on ICAO Annex 14 and Doc 9137, Part 7) at which the organization provides ground services, as prescribed in GACAR § 151.23(a)5.
(2) The ERP should include, but not limited to, the following cases:
(i) Aircraft local standby;
(ii) Aircraft full emergency alert;
(iii) Aircraft accident on airport;
(iv) Aircraft accident off airport;
(v) Airport/own facilities domestic fire;
(vi) Ground servicing accidents where passenger and/or staff injury is involved;
(vii) Evacuation (passenger terminal or/and own facility);
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(viii) Bomb threat (facilities or aircraft);
(ix) Unlawful interference (including hijacking);
(x) Dangerous goods accident;
(xi) Contagious diseases / pandemic;
(xii) Large spillage (fuel, hydraulics, lubricants of aircraft or/and own equipment);
(xiii) National disaster;
(xiv) Aircraft removal coordination plan (if delegated from a customer airline).
(3) The above subjects may not be applicable in their entirety to smaller or specialized organizations with limited scope of work, i.e. catering, cargo, fueling, cleaning services, etc. Therefore, final guidance for the required emergency cases to be covered in the ERP will be provided by the Ground Services Standards department during the review process, commensurate to the scope, size and complexity of the organization.
3.2.3 Regulatory Compliance Statement (RCS) Form
(a) The purpose of the RCS (Attachment B) is to illustrate how the organization meets each applicable requirement of GACAR Part 151.
(b) The RCS form is completed by the quality post-holder of the organization and must be discussed with the Ground Services Standards department of GACA prior to final submission.
(c) The organization must depict “how” each relevant standard is met by:
(1) Providing a precise reference to the document(s) and specific page(s) which cover the relevant standard/requirement, and prove its compliance with it; or in the absence of a specific reference, by
(2) Providing in the “remarks” section of the RCS form a brief and concise description of the method employed by the organization to comply with the relevant standard/requirement in a systematic way.
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3.2.4 Ownership Structure of the Organization
Acceptable documents that describe the ownership structure of the company may be:
(a) A detailed description of the ownership structure in the ground operations manual, i.e. the names of the physical persons or entities and their corresponding percentage of ownership.
(b) A copy of the certificate of establishment, incorporation or registration of the company, issued by the Ministry of Commerce of the Kingdom of Saudi Arabia.
(c) A copy of the articles of incorporation/association of the company.
(d) A copy of the shareholder's agreement.
3.2.5 Organizational Charts
(a) The corporate organizational chart(s) of the company must depict the titles of management personnel and illustrate the chain of command, describing the responsibilities and accountabilities of each position separately, and
(b) The “local” organizational chart(s) of the subject ground station at a particular aerodrome, adhering to the information described in paragraph (a) above. This can be also incorporated into the Local Ground Operations Supplement as per section 3.2.2(a)2 of this document.
3.2.6 Credentials of the Nominated Post-holders
(a) The organization should provide the CVs of the nominated post-holders, describing their knowledge and experience.
(b) The President may request any additional documents as evidence of the formal training or work experience of the candidates.
(c) The candidates will be invited by the Ground Services Standards department for an interview, as described in paragraph 3.4 of this document.
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3.2.7 Copy of the Service Level Agreement (SLA) with the Aerodrome
(a) The prospective ground service provider must submit a SLA signed with the operator of the aerodrome where ground services will be provided. The SLA should include but not limited to:
(1) The scope of services to be provided at the aerodrome, which must reflect the items of paragraph 3.2.1(d) of this document.
(2) Key Performance Indicators (KPI) / efficiency standards for measurable ground service parameters in the areas of:
(i) Passenger handling services;
(ii) Baggage handling services; and
(iii) Ramp handling services.
(3) Targeted safety performance indicators and incident/accident rates consistent with the SMS of both the certificated organization and the airport operator.
(4) Any policies applicable to the ground service provider.
(5) Designation of the permanent staging area(s) allocated / leased to the ground service provider.
(b) Ground service providers for which the context of the SLA described in paragraph (a) above may not be strictly applicable, e.g. into-plane fuelling, in-flight catering or cargo companies, should provide the equivalent contract/agreement signed with the airport operator, or any relevant document.
3.2.8 Copy of the Commercial (Economic) License issued by the President
(a) This license is obtained from the Economic Assessment section of GACA and is a prerequisite to obtain a ground service provider certificate.
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(b) If the organization does not hold a commercial license, it should first apply for such license, and further to obtaining an acceptance to proceed with the licensing process by the pertinent Economic Assessment section of GACA, it may, in parallel, apply for a ground services certificate under GACAR Part 151. The ground service provider certificate, however, cannot be granted prior to the commercial license being issued.
3.2.9 Additional Documentation
(a) Into-plane fuel companies must additionally:
(1) Submit the comprehensive audit report and corresponding certificate of the latest inspection performed by an external designated/certified JIG inspector, not linked directly or indirectly to the company in any way, i.e. “Inspected to JIG Standards” (IJS) or the equivalent issued by the JIG organization.
(2) The minimum acceptable rating in the audit report is “Satisfactory”, as per GACAR § 151.23(g).
(b) Ground Service Providers operating or/and using their own facilities within the airport premises, which are not part of the airport operator's own infrastructure nor operated under their responsibility, must present evidence that the facility conforms to the following requirements/standards in accordance with GACAR § 151.81(c):
(1) Fire Safety.
(2) Health & Safety / Hygiene.
(3) Security.
The evidence material may be in the form of documents/certificates/approvals issued by a pertinent authority or by the airport operator.
(c) In-flight catering service providers must submit their HACCP (Hazard Analysis and Critical Control Points) accreditation in accordance with GACAR § 151.5(a)(3) requirements, and provide evidence that this has been awarded by a properly qualified and authorized entity.
3.3 STEP 3 - Documentation Review Process
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(a) During the documentation review process, the prospective organization may be advised to revise any of the manuals submitted to the satisfaction and acceptance of the President.
(b) The initial review period of the submitted documents may be up to 90 calendar days.
(c) The documentation submitted is reviewed based on the guidelines provided in the relevant GACA eBook.
3.4 STEP 4 - Interview of Post-holders
(a) Post-holders will be invited for an interview for acceptance by the President. The interview encompasses two parts, an oral and a written assessment.
(b) During the interview, the nominees must display in the context of GACAR § 151.43(b):
(1) Full and in-depth knowledge of GACAR Parts 4, 5, 7, 13, 68, 151 and 109 (where applicable).
(2) Knowledge relevant to the duties and responsibilities of their position, including knowledge of their company's processes and procedures relevant to their job function.
(c) When a post-holder is accepted by the President, a formal letter of acceptance is issued.
3.5 STEP 5 - Demonstration of Readiness
Following the successful completion of the previous steps, the Ground Services Standards department of GACA performs a full on-site audit of the subject ground station. The organization must demonstrate its readiness to commence the provision of the ground services for which they have applied in accordance with GACAR Part 151.
(a) The organization must be adequately prepared and have readily available all documents, records, evidence material and staff required for the audit.
(b) The on-site audit is performed based on the guidelines contained in the relevant GACA eBook.
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3.6 STEP 6 - Award of Certificate
(a) Following the successful completion of step 5, the organization is awarded by GACA the ground service provider certificate incorporating the relevant operations specifications, as prescribed in GACAR § 151.25 and § 151.27 respectively.
(b) The certificate is issued only after the organization has cleared all financial obligations towards GACA with regard to the application fee for a ground service provider certificate.
(c) The ground service provider certificate and its operations specifications are valid only for one specific aerodrome and for the duration prescribed in the certificate.
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CHAPTER 4 – TRAINING REQUIREMENTS
(a) Training courses, including recurrent training, which are delivered to ground services personnel for the execution of their duties in the context of GACAR § 151.71, are acceptable to the President only if they are provided by:
(1) A GACAR Part 151 certificated organization for their own staff only.
(2) An entity certified by GACA to provide training.
(3) An institution accredited by a government agency.
(4) IATA or an IATA-accredited training organization or airline.
(5) JIG (Joint Inspection Group) or a JIG-accredited training organization for ground personnel involved in into-plane fueling.
(6) The manufacturer or authorized vendor of specialized systems or/and ground support equipment.
(7) The airport operator for its own infrastructure, rules and procedures, such as airside driving, passenger boarding bridges, baggage handling and baggage reconciliation systems.
(8) An aviation authority of an ICAO contracting state, or a training organization accredited by such aviation authority.
(b) Training courses should comply with international industry standards.
(c) Instructor personnel qualifications must comply with GACAR § 151.51 requirements.
(d) Exam and practical assessment records of employees, including the records of any failed exams or assessments, must be retained for the period prescribed in GACAR §151.112.
(e) For computer-based training (CBT) or courses delivered on-line, the organization must submit
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for the acceptance of the President:
(1) The syllabus of the course and,
(2) A demonstration compact disk (CD) or unlimited on-line access to the relevant software/program.
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CHAPTER 5 - POST CERTIFICATION SPECIFIC EMPHASIS ISSUES
5.1 Temporary or permanent replacement of a Post-holder
(a) In the event of a post-holder's position becoming vacant, due to resignation or any otherreason, the certificated organization must immediately appoint a suitable replacement in an acting capacity and simultaneously notify the President as per GACAR § 151.43.
(b) The President may reject the temporarily appointed person if they do not meet the qualification requirements of GACAR § 151.43.
(c) No person may serve in an acting capacity as a post-holder for more than 60 calendar days, unless otherwise authorized by the President.
(d) The certificate holder must obtain the written acceptance of the President for the permanent change of any post-holder, as per GACAR § 151.43, prior to formally assigning duties and responsibilities to the new post-holder. In doing so, the organization is expected to adhere to the processes described in sections 3.2.6 and 3.4 of this document.
5.2 Assistant Quality Officer at Ground Station level
(a) In addition to the nominated post-holders, the organization must appoint an assistant quality officer at each aerodrome it operates as per GACAR § 151.101(g). This person must have a direct reporting line to the quality assurance post-holder and is responsible for the internal audits and inspections of the corresponding ground station. The individual must be well qualified and meet the requirements prescribed in GACAR § 151.49.
(b) The President reserves the right to formally request the replacement of the assistant quality officer if:
(1) Their work experience, knowledge or skills are found not to be relevant or adequate to the responsibilities of the post and the requirements of GACAR Part § 151.49.
(2) The person has not carried out their duties and responsibilities in a systematic and effective way.
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(3) The person is not fully aware of the operating processes or procedures, nor in full control of the quality assurance system at the corresponding ground station/aerodrome.
(4) The statistical incident/accident rate of the ground station suggests systemic failures that have not been identified in the internal quality audits conducted by the assistant quality officer, or have not been systematically addressed.
(c) If an organization operates ground stations with a relatively low volume of activity and the President accepts that the permanent presence of an assistant quality officer may not be necessary, then:
(1) The assistant quality officer may be responsible for more than one ground station.
(2) The frequency of audits/visits to those ground stations and the associated procedure must be described in the quality assurance manual or the relevant supplement.
5.3 Auditing of Subcontractors by the Certificated Organization
(a) Each certificated ground service provider must conduct a full audit on the prospective subcontractor prior to the assignment of duties.
(b) Each certificated ground service provider must audit its subcontracted service provider(s) at least once every 24 months, as per GACAR § 151.9. This biannual audit can take the form of:
(1) A single large-scale audit within the period of 24 calendar months, to cover all subjects and topics of paragraph (d) below.
(2) Multiple smaller audits in a progressive manner until one full cycle is completed, covering all subjects and topics of paragraph (d) below.
(c) The date of the audit(s) as well as any audit findings, relevant documentation and evidence must be reported to the Ground Services Standards department of GACA within 15 calendar days from the audit.
(d) If the President is not satisfied with the outcome of the audit(s), he should notify the certificated organization accordingly and issue relevant instructions/guidance.
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(e) For a subcontractor audit to be acceptable by the President in the context of GACAR §151.9(i), it should cover at least the following domains within a period of 24 calendar months, as well as in the initial audit prior to the assignment of duties to the subcontractor:
(1) Organizational structure & accountabilities.
(2) Management commitment.
(3) Internal communication.
(4) Management & staff evaluation.
(5) Resources management.
(6) Personnel selection process.
(7) Document control system & records.
(8) Operational manuals and Standard Operating Procedures.
(9) Emergency response planning & contingency procedures, including adverse weather procedures.
(10) Theoretical & practical training on the job function.
(11) Staff examination and practical assessment records.
(12) Safety training (including health & safety).
(13) Security awareness training.
(14) Human factors training.
(15) Emergency response procedures training.
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(16) Dangerous goods training (where applicable).
(17) Safety policy.
(18) Rostering and fatigue management system.
(19) Safety promotion.
(20) Supervision.
(21) Key performance monitoring.
(22) Internal audits and inspections.
(23) Incident investigation & root cause analysis.
(24) Facilities & equipment (where applicable).
(25) Serviceability & maintenance records of own GSE (where applicable).
(26) Inspection process prior to utilization of GSE (where applicable).
(27) GSE staging (where applicable).
(28) Security program and implementation.
5.4 Ground Support Equipment (GSE)
5.4.1 GSE Service Life Limitations
(a) In relation to GACAR Part 151.83(f), the GSE of a certificated or a non-certificated organization must not be more than 15 years old, from the date of manufacture or/and acquisition as new (i.e. not used).
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(b) For obtaining an authorization by the President to extend a ground support equipment's service life in accordance with GACAR § 151.83(f), the organization must submit a relevant petition to GACA including the following documents:
(1) A risk assessment, for each specific equipment that has exceeded the regulatory service life threshold, which must include:
(i) The “severity” of a potential damage by the GSE. This is based on the criticality of the equipment’s function and the likelihood of causing a damage to an aircraft or another accident;
(ii) The “probability” of the GSE malfunctioning and causing an accident. This must be based on Statistical information regarding the equipment’s “track record of malfunctions”, including the frequency of workshop visits per month/year for corrective maintenance (CM) during the last 5 years of its service life;
(iii) The “risk matrix”, which combines the estimated probability and severity from above in order to calculate the “resulted level of risk” for the specific GSE.
(2) A technical report for each specific equipment from an independent organization acceptable to the President, providing:
(i) Detailed information about its current technical condition, any possible overhauls and major component replacements, and
(ii) A concise recommendation for the extension of its service life for a defined number of years.
(c) The President reviews the above submitted documents and conducts an on-site physical inspection of the aforementioned GSE. The outcome of the process is formally notified to the organization and the corresponding airport operator respectively.
5.4.2 Technical Inspection of GSE by the Airport Operator
(a) The airport operator is in general responsible for issuing or renewing the airside permit for all GSE authorized to operate on the airside (ICAO Doc 9137, Part 8), following a technical inspection as prescribed in GACAR § 151.83(d).
(b) The airport operator who performs the technical inspection by itself should employ appropriately trained and qualified personnel to conduct the inspection for satisfying GACAR § 151.83(e).
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(c) The airport operator may choose to subcontract the technical inspection of GSE to an independent qualified organization for the purpose of issuing an airside permit. In this case, the subcontracted organization must receive prior acceptance by the President through the process described in section 5.4.3 of this document.
(d) The airport operator retains the ultimate responsibility for the implementation, the quality and the completeness of the GSE technical inspection, whether the inspection is performed by its personnel or by a subcontracted entity.
(e) The airport operator should immediately take all necessary actions to remove any GSE found to be unsafe for operation.
5.4.3 Inspection of GSE by an Independent Organization
(a) If an independent organization is subcontracted by the airport operator to inspect the serviceability of GSE or facilities, this organization must obtain the prior written acceptance of the President as per GACAR § 151.9(j).
(b) In order for an independent organization to obtain the acceptance of the President to conduct GSE inspections and issue technical endorsements, it must apply to the President and submit the following:
(1) All formal certification(s) of the organization (if any).
(2) The procedures and checklists for the inspection of ground support equipment or facilities.
(3) The credentials of the technical staff in charge for the inspection of the ground support equipment or facilities.
(4) A description of the equipment, tools and facilities available for the technical inspection.
(c) The President reserves the right to reject the application on the grounds of inadequate experience, procedures, equipment, tools, facilities or credentials.
5.4.4 Frequency of GSE Inspections
(a) Technical inspections of GSE for the purpose of renewing the airside permit must be performed
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as per GACAR § 151.83(e).
(b) The ground service provider is responsible for:
(1) Inspecting its GSE daily, at the beginning and at the end of each shift, and properly documenting such inspections.
(2) Establishing a hand-over/inspection procedure for GSE returned from maintenance prior to releasing this GSE to service.
(3) Ensuring at all times the serviceability and safe operation of its GSE in accordance with GACAR § 151.83 and § 151.85, the certificated organization’s procedures and the airport operator’s policies.
5.5 Personnel Fatigue Management
(a) Certificated organizations and their subcontracted entities who provide ground services, should:
(1) Employ a properly qualified shift planner for the production of all work schedules (rosters).
(2) Develop annual, monthly and daily work schedules per function for all full-time and part-time employees working on shift, in compliance with the requirements of Subpart G of GACAR Part 151.
(3) Clearly identify in the roster the duty days, working hours, days-off and the function(s) to be exercised for each person.
(4) Present for inspection, upon request from the President, the current and updated roster(s) in use for the ground services personnel working on shift.
(5) Ensure that the roster of each person involved in shift work takes into consideration the training needs of that person and the training requirements relevant to their job function(s).
(6) Ensure that training hours do not overlap with the required rest periods, which must be free of any work or training obligations.
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(b) Work schedule changes should comply with the requirements of Subpart G of GACAR Part 151 and should be approved by the ground station manager or a senior person formally authorized by the ground station manager.
5.6 Amendment of Manuals
(a) Certificated organizations must re-submit to the President for review and acceptance any amendments to manuals previously accepted by the President prior to coming into effect, as per GACAR § 151.61.
(b) Revised manuals must be submitted in both hard and soft copies with a cover letter outlining the purpose of the revisions made.
(c) Revisions must be clearly traceable and identifiable in the text.
(d) The date, version and revision number must be indicated on every revised page of the manual.
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CHAPTER 6 – RESPONDING TO NON-COMPLIANCES
6.1 General
(a) The findings from an audit or an inspection are recorded by the inspector in the GACA non-compliance record (NCR), and are assigned a “category” according to their significance and level of criticality, as per paragraph (d) of this section.
(b) The NCR is notified to the concerned organization for conducting a root cause analysis (RCA) for the non-compliance raised, implementing the appropriate corrective action(s) or developing a corrective action plan, describing the preventive action(s), and reverting back to GACA as per section 6.2 of this document.
(c) The RCA and the corrective actions have to be accepted by the President in order for the NCR to be considered as “closed”.
(d) Findings are categorized according to their criticality as follows:
(1) Level 1: is issued when a significant non-compliance with the standards prescribed in GACAR § 151.5 is detected with the organization’s processes, procedures, manuals, terms of certificate or operations specifications, which presently adversely affects safety.
(2) Level 2: is issued when a non-compliance with the standards prescribed in GACAR §151.5 is detected, which could adversely affect safety.
(3) Level 3: is any other inconsistency with the standards prescribed in GACAR § 151.5, or any unfavorable operational practice, which does not have a direct or immediate effect to the level of safety but must be reported to the organization for remedy actions.
(e) In exceptional cases, where multiple findings are considered to affect safety in a cumulative manner, the category of such findings may be raised one level by GACA to reflect the corresponding cumulative adverse impact to safety.
6.2 Response to NCRs by the Ground Service Provider
(a) Following the receipt of the NCR form, the aforementioned organization must provide in
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accordance with GACAR § 151.101 the following:
(1) A comprehensive root cause analysis.
(2) The corrective action(s) implemented, or a corrective action plan.
(3) The preventive action(s) to avoid reoccurrence.
(b) For Level 1 findings:
(1) The organization must respond within 72 hours.
(2) The suspension or limitation of the relevant ground service activity or personnel Work Permit (where applicable) is not lifted unless the President is satisfied with the RCA, the corrective and the preventive actions of the organization.
(c) For Level 2 findings:
(1) The organization must respond within 15 calendar days.
(2) At the end of this period, and subject to the nature of the finding, the President may grant a further extension.
(d) For Level 3 findings:
(1) The organization must respond by the target date indicated in the NCR form.
(2) At the end of this period, and subject to the nature of the finding, the President may grant a further extension.
6.3 Non-compliance with Corrective Actions
If a corrective action is not submitted and implemented by the organization within the timeframe defined in section 6.2 above, the finding is upgraded to the next Level and a formal letter is sent by GACA requesting immediate action by the organization (usually within 48 hours). Beyond this period, a suspension or limitation of the operation of the organization, or of a specific function, or
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of the personnel involved may be imposed by GACA.
6.4 Root Cause Analysis (RCA) for Ground Service Providers
(a) The root cause analysis is one of the most crucial tools for effectively addressing a reported non-compliance. It should be carried out by the certificate holder in order to investigate and identify the contributing factors to findings, for implementing the appropriate corrective and preventive actions.
(b) Contributing factors may generally be classified into 5 categories, for allowing their statistical processing and the identification of possible safety trends and risks. These are the following:
(1) Corporate Culture: Policies and values governing the organization, effectiveness in passing those to the employees, general attitudes and working atmosphere.
(2) Process/Procedure: Effectiveness of organizational structure, clarity of accountabilities / responsibilities, correctness and completeness of procedures and manuals.
(3) Product/System: Reliability and fault-free design or/and manufacturing of the ground support equipment, product or system.
(4) Training/Familiarization: Training provided to personnel on products/systems or the relevant processes, procedures or regulations, or familiarization provided on the aerodrome environment and rules, or customer airline policies and procedures.
(5) Human Factors: Specify which of the following 12 basic parameters constitute the contributing human factor(s) to the non-compliance:
(i) Lack of communication;
(ii) Complacency (self-satisfaction accompanied by a loss of awareness of the danger);
(iii) Lack of knowledge (on the product/system despite adequate training);
(iv) Distraction;
(v) Lack of teamwork;
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(vi) Fatigue;
(vii) Lack of resources;
(viii) Pressure;
(ix) Lack of assertiveness (ability to express your feelings, opinions, beliefs and needs in a positive, productive manner);
(x) Stress;
(xi) Lack of awareness (failure to recognize all the consequences of an action, or lack of foresight);
(xii) Norms (implicit rules of behavior encountered in a given social context).
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CHAPTER 7 – OCCURRENCE AND SAFETY REPORTING
(a) Certificated and non-certificated ground service providers must report all occurrences to GACA using the on-line GACA Q5 Application as per the instructions received by the Authority. The organization should submit on-line:
(1) The detailed description of the event.
(2) Attach all relevant forms and documents, including pictures, where available.
(b) In addition to paragraph (a) above, certificated and non-certificated ground service providers must report within 24 hours to GACA Ground Services Standards department all occurrences prescribed in GACAR § 151.117 (a) & (b).
(c) The quality assurance post-holder of each certificated organization, or the equivalent party of a non-certificated entity, should notify the occurrence, and all associated information to the following email address: SER-GND.SVCS.OPS@gaca.gov.sa
(d) Certificated and non-certificated ground service providers must fill out a quarterly ground safety report for each ground station/aerodrome in the context of GACAR § 151.117(c), as per the template form provided in Attachment C, which can be downloaded from GACA website.
(e) The form must be submitted by the quality post-holder of each certificated organization, or the equivalent party of a non-certificated entity, within 7 calendar days from the end of each annual quarter, in accordance with the following table:
<table><tr><td>Quarter:</td><td>Ends on:</td><td>Submit by:</td></tr><tr><td>\( 1^{st} \)</td><td>31 March</td><td>7 April</td></tr><tr><td>\( 2^{nd} \)</td><td>30 June</td><td>7 July</td></tr><tr><td>\( 3^{rd} \)</td><td>30 September</td><td>7 October</td></tr><tr><td>\( 4^{th} \)</td><td>31 December</td><td>7 January</td></tr></table>
(f) The data submitted must accurately reflect the number, type, process and outcome of all incidents and accidents occurred, as they will be verified against the databases maintained by GACA Safety & Risk Management directorate, the airport operators and the Saudi Accident Investigation
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Bureau (AIB).
(g) The quarterly ground safety report must be submitted to GACA Ground Services Standards department at: SER-GND.SVCS.OPS@gaca.gov.sa
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