Implementation Procedures - 2008 (BASA - 2000)

8.0 General

Upon request and after mutual agreement, and as resources permit, the FAA and TCCA may provide technical assistance to each other when significant activities are conducted in either the U.S. or Canada.  Both authorities concur that technical assistance is the preferred method of conducting these activities, and every effort should be made to have these certification tasks performed on behalf of one authority in the other authority’s country. These technical assistance activities will help to avoid the undue burden imposed on the exporting authority in the undertaking of its regulatory surveillance and oversight functions at locations outside of the country of export.  These supporting technical assistance activities shall in no way relieve the exporting authority of the responsibilities for regulatory control and airworthiness certification of products and parts manufactured at facilities located outside the exporting country. Each authority will use it own policies and procedures when providing technical assistance to the other authority, unless other special arrangements are agreed upon.  Types of assistance may include, but are not limited to, the following:

1. Certification Support
   1. Witnessing tests;
   2. Performing compliance inspections;
   3. Reviewing reports;
   4. Obtaining data;
   5. Verifying/determining compliance;
   6. Monitoring the activities and functions of designees/delegates or approved organizations; and
   7. Conducting investigations of service difficulties.
2. Conformity and Surveillance Support
   1. Conformity inspections
   2. Witnessing of first article inspection of parts;
   3. Monitoring the controls on special processes;
   4. Conducting sample inspections on production parts;
   5. Monitoring the activities and functions of designees or approved organizations;
   6. Conducting investigations of service difficulties; and
   7. Auditing production quality systems, including assistance in determining that a supplier complies with purchase order and quality requirements at locations either in the U.S. or Canada.
3. Airworthiness Certification Support
   1. Assistance in the delivery of airworthiness certificates for aircraft; and
   2. Determining the original export configuration of a used aircraft.

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8.1 Witnessing of Tests During Design Approval

1. FAA and TCCA may request assistance in the witnessing of tests from the other airworthiness authority.  A written request for witnessing of tests will be provided.
2. Witnessing of tests will be conducted only after consultations and agreement between FAA/TCCA on the specific work to be performed.
3. Approval of the design approval applicant’s test plans, test procedures, test specimens, and hardware configuration remains the responsibility of the airworthiness authority of the country in which the design approval applicant is located.  The design approval applicant must establish the conformity of each test article prior to the conduct of the test.
4. Requests for witnessing of tests must be specific enough to provide for identification of the location, timing, and nature of the test to be witnessed.  The requesting authority must provide an approved test plan at least two weeks prior to each scheduled test.
5. TCCA requests for witnessing of tests will be sent in writing to the responsible FAA Office, as listed in paragraph 3.1.1 (c).  TCCA's requests will include information equivalent to that included on FAA Form 8120-10, Request for Conformity.  The FAA requests for test witnessing will be sent on a completed FAA Form 8120-10 (and described in the Special Instructions section of the form) or equivalent to TCCA Headquarters, National Aircraft Certification, as listed in Appendix A.
6. Upon completion of test witnessing on behalf of the requesting authority, the FAA or TCCA will send a report stating that the test was conducted in accordance with approved test plans and confirming the test results, as well as any other documentation as notified by the requesting authority.

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8.2 Flammability Testing Procedures

1. Canadian design approval applicants are utilizing U.S. flammability test facilities in support of their design approval activities.  TCCA, or its appropriately authorized delegates using approved procedures, will interact directly with FAA designees at such facilities as follows:
   1. TCCA will approve the Flammability Test Plan and send a letter to the test facility requesting the specific conformity inspection and test witnessing of the test articles.  TCCA’s notification will fully communicate any special requirements for the testing and inspections.
   2. TCCA will ensure that the applicant has made its own Statement of Conformity (equivalent to FAA form 8130-9) prior to any U.S. conformity inspection or test. Per FAA Order 8110.4, the applicant may delegate, in writing, a representative at the supplier to complete the FAA Form 8130-9. This representative will be acting on behalf of the applicant and in this case, the supplier must submit a copy of the applicant’s authorization with the FAA Form 8130-9 prior to the inspection or test.
   3. The FAA designee(s) will conduct the inspection and/or witness the test on behalf of TCCA and submit the results to TCCA.  TCCA will evaluate and disposition any nonconformities or deviations identified during an inspection or test.
   4. TCCA is the responsible certificating authority for accepting the findings of FAA designees. TCCA shall rely on the FAA oversight of its designees and their approved processes to assure the validity of the flammability data generated to support those findings.
2. The managing FAA ACO or MIDO, as applicable, will review the authorizations for any designee at a U.S. flammability test facility that is asked to support TCCA activities.  Such designees will receive a specific authorization, noted in the Designee Information Network, to conduct conformity inspections and test witnessing related to flammability test activities on behalf of TCCA.

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8.3 Conformity Certifications During Design Approval

1. The airworthiness authority of the country in which a design approval applicant is located may request conformity certifications from the airworthiness authority in the country in which the design approval applicant’s supplier is located for specified prototype/pre-production parts produced by that supplier.
2. Only authority-to-authority requests are permissible and no authority is obliged to respond to a conformity certification request from a manufacturer, supplier or designee. Certifications will be conducted only after consultations between the two airworthiness authorities on the specific work to be performed. Requests for conformity certifications should be limited to prototype/pre-production parts that are of such complexity that they are not inspectable by the product manufacturer or its airworthiness authority prior to installation in the product.  Conformity certifications may require the development of a working procedure based on the complexity of the requested certifications.  At the discretion of the authority in receipt of such requests, conformity certifications may be delegated to authorize designees or approved organizations.
3. TCCA requests for conformity certifications will be sent to the appropriate FAA geographic-accountable Directorate Manufacturing Inspection Office, as listed in Appendix A.  FAA requests for conformity certifications will be sent directly to TCCA’s Maintenance and Manufacturing Branch as listed in Appendix A.
4. The airworthiness authority of the country in which the supplier is located will note all deviations from the requirements notified by the design approval applicant’s airworthiness authority on the conformity certification for the particular part.
5. Neither conformity certification on prototype/pre-production parts, nor inspections on production parts should be construed as being an export airworthiness approval, since a conformity certification does not constitute an airworthiness determination.  Airworthiness determinations remain the responsibility of the design/production approval holder and its airworthiness authority.

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8.4 Surveillance and Other Support

The FAA or TCCA may request the other types of technical assistance outlined in section 8.0(b).  Each request shall be handled on a case-by-case basis, as resources permit.  Each written request shall include sufficient information for the task to be performed and reported back to the requestor.  Where the technical assistance is repetitive or long-term, a working arrangement may be needed.

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8.5 Airworthiness Certificates

There may be certain programs and conditions that warrant technical assistance from each authority for the issuance of standard airworthiness certificates so that aircraft may be placed directly into operation from the site of manufacture.  The importing authority may seek assistance from the exporting authority in the final processing and delivery of an airworthiness certificate when the aircraft has completed its manufacturing cycle, has been entered on the importing country’s registry, and has subsequently been granted an Export Certificate of Airworthiness by the exporting authority. These situations can be addressed through a Special Arrangement as provided in Section V.

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8.6 Protection of Proprietary Data and Freedom of Information Act (FOIA)/Access to Information Act Requests

8.6.0 Protection of Proprietary Data

Both authorities recognize that data submitted by a design approval holder is the property of that holder, and release of that data by the FAA or TCCA is restricted.  The FAA and TCCA agree that they will not copy, release, or show proprietary data obtained from either authority to anyone other than an FAA or TCCA employee without written consent of the design approval holder or other data submitter.  The FAA or TCCA should obtain this written consent from the design approval holder through the authority of the country in which the holder is located and provide it to the other authority.

8.6.1 FOIA Requests

The FAA often receives requests from the public under the United States Freedom of Information Act (FOIA) to release information, which the FAA may have in its possession.  Each record the FAA has in its possession must be disclosed under the FOIA unless a FOIA exemption applies to that record.  One exemption is for trade secrets, and financial or commercial information that is confidential or privileged.  Design approval holders’ data may include trade secrets or other information that is confidential because release of the information would damage the competitive position of the holder or other person.  When the FAA receives a FOIA request related to a product of an FAA approval holder or applicant who is located in Canada, the FAA will copy TCCA when contacting the FAA approval holder or applicant to solicit their position on what portions of that information should be excluded under the criteria above.

8.6.2 Access to Information Act Requests

The Access to Information and Privacy (ATIP) office in Transport Canada often receives requests from the public under the Access to Information Act to release information, which TCCA may have in its possession.  Each record TCCA has in its possession must be disclosed under the Access to Information Act unless an exemption is applied to that record.  Subject to Subsection 20(1) of the Act which pertains to third party information, the ATIP Office shall refuse to disclose any records requested under this Act that contains (a) trade secrets of a third party; (b) financial, commercial, scientific or technical information that is confidential information supplied to TCCA by a third party and is treated consistently in a confidential manner by the third party; (c) information the disclosure of which could be reasonably expected to prejudice the competitive position of a third party; (d) information the disclosure of which could reasonably be expected to interfere with contractual or other negotiations of a third party.  If the ATIP Office intends to disclose any record requested under this Act, or any part thereof, that contains or that TCCA has reason to believe might contain information related to (a), (b), or (c), a notice must be given to the third party under Subsection 27(1) with a statement that they have twenty days after the notice is given to make representations to the ATIP Office that has control of the record as to why the record or part thereof should not be disclosed.  When the ATIP Office receives a request related to a product of a TCCA approval holder or applicant who is located in the U.S, the ATIP Office will contact the TCCA approval holder or applicant to solicit their position on what portions of that information should be excluded under the criteria above.

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8.7 Accident/Incident and Suspected Unapproved Parts Investigation Information Requests

1. When either the FAA or TCCA needs information for the investigation of service incidents, accidents, or suspected unapproved parts involving a product imported under these Implementation Procedures, the request for the information should be directed to the appropriate office of the exporting authority.  In turn, upon receipt of the request for information, the exporting authority should immediately do everything necessary to make sure the requested information is provided in a timely manner.
2. In case of an incident/accident, the FAA and TCCA will cooperate to address urgent information needs.  Following an incident/accident, upon receipt of a request for urgent information, the FAA or TCCA will provide the requested information.  TCCA and the FAA will establish individual focal points to respond to each other’s questions and ensure that timely communication occurs.  The FAA or TCCA may request information directly from a manufacturer because immediate contact with the appropriate focal points cannot be made.  In such cases, notification of this action will be made as soon as possible.  Either the FAA or TCCA, as applicable, will assist in ensuring that their manufacturer provides requested information expeditiously.