What does the audit area 'processes used for safety risk management and compliance monitoring' refer to in the initial certification procedure?

It refers to the processes used for safety risk management and compliance monitoring, which is the independent monitoring function.

What is the role of the 'detailed management structure' in the initial certification audit?

The audit should address the detailed management structure, notably its adequacy.

AMC1 21.B.430 Initial certification procedure

Q: What should the competent authority's investigation include to verify an organisation's compliance with applicable requirements during the initial certification procedure?

The investigation should include one or more audit(s) of the organisation, together with interviews of the personnel, typically carried out at the organisation's facilities.

Q: List the six areas that the initial certification audit(s) should address according to AMC1 21.B.430.

The audit(s) should address: (1) the organisation's core processes; (2) the detailed management structure, notably its adequacy; (3) the personnel: the adequacy of the number of staff, and of their qualifications and experience with regard to the intended terms of approval and the associated privileges; (4) the processes used for safety risk management and compliance monitoring (independent monitoring function); (5) the facilities and their adequacy regarding the organisation's intended terms of approval including its scope of work; and (6) the documentation based on which the approval should be granted.

Q: In the context of the initial certification audit, what specific aspects of personnel should be evaluated?

The adequacy of the number of staff, and of their qualifications and experience with regard to the intended terms of approval and the associated privileges.

Q: Which documentation should be covered by the initial certification audit?

The documentation based on which the approval should be granted.

Q: Are facilities part of the initial certification audit scope? If so, what aspect of facilities is evaluated?

Yes, the audit should address the facilities and their adequacy regarding the organisation's intended terms of approval including its scope of work.

Q: What is the typical location for the initial certification audits and personnel interviews?

Typically carried out at the organisation's facilities.

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AMC1 21.B.430 Initial certification procedure

ED Decision 2023/014/R

VERIFICATION OF COMPLIANCE — INITIAL CERTIFICATION AUDITS

(a) In order to verify the organisation’s compliance with the applicable requirements, the investigation by the competent authority should include one or more audit(s) of the organisation, together with interviews of the personnel, typically carried out at the organisation’s facilities.

(b) The competent authority should only conduct such an audit if it is satisfied that the application and supporting documentation are in compliance with the applicable requirements.

(1) the organisation’s core processes;

(2) the detailed management structure, notably its adequacy;

(3) the personnel: the adequacy of the number of staff, and of their qualifications and experience with regard to the intended terms of approval and the associated privileges;

(4) the processes used for safety risk management and compliance monitoring (independent monitoring function);

(5) the facilities and their adequacy regarding the organisation’s intended terms of approval including its scope of work; and

(6) the documentation based on which the approval should be granted.

Details

Source-Title: AMC1 21.B.430 Initial certification procedure View latest amendments

Erulesid: ERULES-1963177438-21903 Compare versions

Domain: Initial airworthiness

Amendedby: Issue 2, Amendment 16

Applicabilitydate: 21 October, 2023

Entryintoforcedate: 21 October, 2023

Regulatorysource: ED Decision 2023/014/R Navigate

Regulatorysubject: Part-21

Typeofcontent: AMC to IR (Acceptable means of compliance to implementing rule)

Parentir: 21.B.430 Initial certification procedure

Origin: EASA

Category: EAR