Staff Instruction (SI) No. 521-002

Type Certification of Aeronautical Products

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Issuing Office: Civil Aviation Document
No.:
SI 521-002
File Classification No.: Z 5000-32 Issue No.: 01
RDIMS No.: 5612192-V32 Effective Date: 2012-03-23

1.0  INTRODUCTION

1.1  Purpose

  1. The purpose of this Staff Instruction (SI) is to provide procedural guidelines concerning the planning and conduct of a type certification activity for a domestic aeronautical product in accordance with Division II of Subpart 521 of the Canadian Aviation Regulations (CARs). This document is to be used in conjunction with Advisory Circular (AC521-002.

1.2  Applicability

  1. This SI applies to all Transport Canada Civil Aviation (TCCA) employees, to individuals and organizations when they are exercising privileges granted to them under an External Ministerial Delegation of Authority.  With respect to delegates, this SI is limited to topics where the delegate is acting on behalf of the Minister.

  2. This information is also available to the aviation industry for information purposes.

1.3  Description of Changes

  1. Not applicable.

2.0  REFERENCES AND REQUIREMENTS

2.1  Reference Documents

  1. It is intended that the following reference materials be used in conjunction with this document:

    1. Aeronautics Act (R.S., 1985, c. A-2);

    2. Transportation of Dangerous Goods and Regulations Act (TDGR);

    3. Part I, Subpart 4 of the Canadian Aviation Regulations (CARs)  Charges;

    4. Part V, Subpart 7 of the CARsFlight Authority and Certificate of Noise Compliance;

    5. Part V, Subpart 21 of the CARsApproval of the Type Design or a Change to the Type Design of an Aeronautical Product;

    6. Standard 507 of the CARsFlight Authority and Certificate of Noise Compliance;

    7. Civil Aviation Directive (CAD) No. 3, Revision 04,  2002-10-02Recovering the Incremental Costs of Providing Services Inside/Outside Canada;

    8. Staff Instruction (SI) GEN 003, Issue 01, 2003-11-03Technical Reference Centre Holdings and Operations;

    9. SI GEN-004, Issue 01, 2004-02-05 — Cost Recovery for Aeronautical Product Certification;

    10. SI 500-003, Issue 02, 2008-02-29 — Aircraft Certification Level of Involvement (LOI);

    11. SI 500-004, Issue 01, 2003-06-10 — Special Conditions – Airworthiness (SCA);

    12. SI 500-019, Issue 01, 2005-11-21 — Issue Papers, Concern Papers and Certification Memoranda;

    13. Advisory Circular (AC) 500-015 Issue 01, 2004-12-01Certification Plans;

    14. AC 500-016, Issue 01, 2004-12-01Establishing the Certification Basis of Changed Aeronautical Products;

    15. AC 521-002, Issue 01, 2012-03-23 —  Type Certification Requirements of aircraft, Engines and Propellers;

    16. Commercial & Business Aviation (CBA) Policy Letter 136, Issue 11, 2001-01-29Operational Evaluation;

    17. Maintenance and Manufacturing Staff Instruction (MSI) 14, Revision 1, 2004-08-26Flight Authority;

    18. MSI 23, Issue 01, 2006-05-09 — Maintenance Review Board Procedures, and Manufacturers Recommendations;

    19. Transport Canada Publication (TP) 9155 Second Edition,  2006-01Master Minimum Equipment List / Minimum Equipment List Policy and Procedures Manual;

    20. Transport Canada Publication (TP) 13850, Edition 01 — Civil Aviation Scheduled Maintenance Instruction Development Processes Manual; and

    21. Transport Canada Application Form number 26-0756, Version 1007-01Type Certificate Application;

    22. Bilateral Aviation Safety Agreement (BASA) Implementation Procedures for Airworthiness Revision 1, 2008-06-05.

2.2  Cancelled Documents

  1. As of the effective date of this document, the following document is cancelled:

    1. SI 511-005, Issue 02, 2007-05-01 — Type Certification Process for Canadian Aeronautical Products.

  2. By default,it is understood that the publication of a new issue of a document automatically renders any earlier issues of the same document null and void.

2.3  Definitions and Abbreviations

  1. The following definitions and abbreviations are used in this document:

    1. Accept: the acknowledgement by TCCA that an item is in compliance or that a plan should lead to compliance. For example, applicants’ engineering reports are accepted.

    2. Approve: to make formal acknowledgement that a product or publication meets the regulations. Within this SI the word ‘approve’ is limited to the Type Certificate, Type Certificate Data Sheet (TCDS), Airworthiness Limitations (AWL) section of the Instructions for Continued Airworthiness (ICA), and the aircraft flight manual (AFM) and refers to approvals made by the Minister or his delegates.

    3. Certification Plan: a document that clearly identifies the means and methods by which an aeronautical product will be shown to comply with the applicable airworthiness requirements where the airworthiness requirements are identified in the certification basis of the aeronautical product. It is a mandatory document requirement of Sections 521.28 and 521.155 of the CARs. Additional information on certification plans can be found in AC 500-015 Certification Plans.

    4. Certification Team: a team of TCCA specialists, coordinated by the Project Manager, performs the certification process.  The team will also include the delegates within the delegated design organization working with the applicant.

    5. Finding of Compliance (FOC): a Ministerial determination that the applicant’s compliance demonstration satisfies a requirement specified in the certification basis.

    6. LOI (Level of Involvement): the activities undertaken by TCCA personnel during a certification activity in performing surveillance of the delegate when the delegate is exercising their delegated authority. Detailed information on LOI can be found in SI 500-003.

    7. Means of Compliance: the principal means by which compliance is demonstrated. Examples are: analysis, component/system test, design test, flight test, conformity inspection, drawing review, process specification, and other actions and documents.

    8. Project Manager: the assigned individual within TCCA National Capital Region (NCR) or the regional office who manages the certification project. The applicant may also have a project manager, who will be referred to as the “applicant project manager” in this document.

    9. Responsibility: the obligation to act. Responsibility can be delegated.

    10. Statement of Compliance (SOC) – a Ministerial declaration that compliance has been found against specific requirements as specified in the certification basis. Ministerial delegates normally document this Statement on TCCA Form number 26-0757.

3.0  BACKGROUND

  1. With the implementation of Subpart 521 of the CARs, new documents have been created to support the regulations. All guidance material such as SIs, ACs, and Policy Letters etc. that supported the previous CARs and Chapters 511, 513, 591 and 593 of the AWM have been reviewed and the relevant material included in the 521 series ACs and SIs.

  2. Type certification of an aeronautical product involves a comprehensive type design examination that verifies the type design of the aeronautical product complies to the applicable certification basis and environmental standards pursuant to Subpart 521 of the CARs. The scope of certification activities will depend on the category of product involved, the certification basis applied, and the complexity of the product’s design.

  3. The type certificate is associated with the type design, the operating limitations, the TCDS, the applicable certification basis with which the applicant has made a declaration of conformity, and any other conditions or limitations specified by TCCA.

  4. Although Subpart 521 of the CARs introduced a change in terminology in the English version from “compliance” to “conformity” we will be using “compliance” wherever possible to minimize confusion in this document.

    Note:

    In December 2010, a Notice of Proposed Amendment to Subpart 521 of the CARs (NPA 2010-021) was introduced to revert the terminology “conform” and “conformity” back to “comply” and “compliance".

4.0  OVERVIEW OF CERTIFICATION PHASES

  1. The TCCA type certification process is divided into a number of phases. Appendix A of this SI shows the correlation between the phases and the requirements of Division II of Subpart 521 of the CARs.

  2. The phases of the type certification process include the following:

    1. Pre-application Phase: During this phase TCCA determines if the applicant meets the eligibility criteria and the category of aeronautical product for which they intend to apply. More information on the eligibility requirements can be found in AC 521-002.

    2. Phase I–Application and Establishing Certification Basis: In this phase the applicant formally submits their application for design approval. This phase also identifies the certification approach and strategy up to and including the initial type board meeting. The applicant will have already conducted a considerable amount of design work, so that TCCA can be familiar with the conceptual design and general arrangement of the product. The primary output is the certification basis. Once satisfied that all the necessary regulatory and design standard requirements for the product’s type design are included, the Minister (TCCA) finalizes and “establishes” the certification basis to which the applicant will be required to demonstrate compliance.

    3. Phase II–Establishing Means of Compliance and TCCA LOI: The applicant and TCCA establish a thoroughly defined certification plan with considerable detail that has been agreed upon between the applicant and TCCA. It should include a definition of, and agreement on the proposed means of compliance with each requirement of the certification basis and the identification of TCCA’s level of involvement. TCCA will identify their surveillance of any delegated activities as well as identify the services they will be providing; e.g. where they will be providing Finding of Compliance (FOC).

    4. Phase III–Demonstrating and Recording Compliance: In this phase the applicant does the bulk of the certification work. The applicant demonstrates compliance with the certification basis, and TCCA accepts this demonstration through FOCs with the specified requirements. In this phase the aeronautical product is built and tested, reports are written, compliance documentation is reviewed for acceptability, the flight-testing begins and the supporting approval documents such as the Aircraft Flight Manual (AFM) and airworthiness limitation (AWL) section are drafted. At the end of this phase, the applicant submits a declaration of demonstration of conformity as per section 521.33 of the CARs.

    5. Phase IV–Type Design Approval: TCCA approves the type design and issues the type certificate.

    6. Phase V–Post-Certification Activities: This phase identifies the responsibilities of the type certificate holder and procedures for approval of post-certification design changes.

5.0  PRE-APPLICATION PHASE

  1. Section 521.26 of the CARs requires the applicant to have or have access to the required technical capabilities. If an applicant chooses to involve a member or organization of the aviation industry who holds ministerial delegation for the work to be undertaken then the requirements of section 521.26 of the CARs will have been met. If a delegate is not associated with an application, the required technical capabilities are to be established before the application can continue. Refer to AC 521-002 for information on how to determine the level of technical capability for each certification project.

  2. Recording of Technical Capability: In the case where the “have access to” provision for technical capability is being used, records should be retained in the project’s documentation to identify the person or organization providing the required technical capability and how their competency to provide this capability was determined. The rationale for not accepting that the “technical capability” requirement has been satisfied must be clearly documented and justified with supporting evidence.

Figure 1: Evaluation of technical capability

Text version

Flowchart: Evaluation of technical capability

The flow chart shows a box which says 521.25 – Eligibility Requirements which arrows down to a decision diamond that says Delegate Involvement? No? Previously established Technical Capability? No? Eligibility Requirements not met.

Delegate Involvement Yes? Technical Capability appropriate? Yes? Eligibility Requirements are met.

Delegate Involvement No? Previously Established Technical Capability Yes? Technical Capability is Appropriate Yes? Eligibility Requirements are met.

Delegate Involvement No? Previously Established Technical Capability Yes? Technical Capability is Appropriate No? Eligibility Requirements not met.

6.0  PHASE I–APPLICATION AND ESTABLISHING CERTIFICATION BASIS

  1. The following flow chart identifies the regulatory, administrative and process requirements that form part of the Phase I activities. The order in which the administrative and process requirements are completed may vary.

Figure 2. Phase I–Regulatory and Administrative Requirements

Text version

Flowchart of Regulatory Requirements on the left side and Administrative or Process Requirements on the right side

Figure 2: Phase I – Regulatory and Administrative Requirements

The figure on the left is titled Regulatory Requirements

521.26 Eligibility Requirements and 521.27 Aircraft Categories are both boxes that feed into 521.28 Application for a Type Certificate including:

  • (a) application,

  • (b) description of product

  • (c) draft certification basis and

  • (d) certification plan.

This leads to the next box which is 521.29 Effective Period of an Application which leads to the next box 521.30 Certification basis.

521.31 Standards of Airworthiness, 521.32 Aircraft Emission Standards, 521.30(1)(c) Special Conditions, 521.30(1)(d) and 521.30(1)(e) Exemption all feed into 521.30 Certification Basis which then points into PHASE II.

The box on the right is titled The Administrative or Process Requirements and includes:

  • Pre-Application Inquiries and Meetings

  • Concept Briefing

  • Provide Support to the Applicant for Foreign Certification

  • Management Briefing (EASA/FAA/TCCA/Applicant)

  • Establish the General Compliance Program

  • Initial Type Board Meeting

  • Develop G-Series Issue Papers

6.1  Pre-Application Inquiries and Meetings

  1. Upon receipt of a certification inquiry, a representative from the Project Management division, or regional office, as applicable, may communicate with the potential applicant to obtain a preliminary assessment of the general features and degree of complexity of the given product. Exploratory discussions are held to assess future requirements, and to set the parameters of a concept briefing, if appropriate.

6.2  Concept Briefing

  1. A concept briefing is suggested for complex projects. During a concept briefing the applicant provides a description of the product, and gives TCCA a high level overview of how they intend to demonstrate compliance with the regulatory requirements for novel or unusual features. The concept briefing is the first formal discussion in regards to the certification basis and means of compliance. Both TCCA specialists and managers may attend the concept briefing.

  2. The agenda may include the following:

    1. aircraft overview;

    2. any applicable lessons learned from previous programs;

    3. novel and unusual features;

    4. multi-disciplinary requirements;

    5. schedule for follow-on specialist meetings; and

    6. objectives prior to initial type board meeting.

  3. Specialist breakout sessions may follow the concept briefing if needed.

6.3  Application

  1. Applicants submit an application for the issuance of a Canadian type certificate in accordance with the requirements of section 521.28 of the CARs, which details the required elements to be included in an application. The Application for Type Certificate Form number 26-0756 is available at any TCCA Centre and on the TCCA web site. In the event that not all the required information is available at the time of application, a submission schedule shall be provided.

  2. Applications for a type certificate for an aeronautical product are to be submitted to the Director, National Aircraft Certification at the NCR, or the TCCA regional office responsible for the applicant’s geographical area. Applications for the approval of manned free balloons are normally submitted to the regional office in the applicant’s geographical area. See Appendix B of this SI for more information on manned free balloons.

  3. In the case of a type certificate application to the NCR, the Director will forward the application to the Chief, Project Management who will assign a Project Manager. In the case of a regional office, a Project Manager will be assigned to the project. The Project Manager will ensure that all the required elements are included, and, if necessary, seek additional data from the applicant. The date of the application determines the certification basis of the product. See section 521.29 of the CARs for more information.

  4. The type certificate applicant is generally the intended type certificate holder. If this is not the case, then typically the type certificate applicant and the intended type certificate holder are to have an agreement on how the requirements for the responsibilities of the type certificate holder will be met, and TCCA must be notified.

  5. Once the project is certain to be launched, the Project Manager is responsible for the following:

    1. a new Records, Documents and Information Management System (RDIMS) classification number;

    2. a National Aeronautical Product Approval System (NAPA) project number; and

    3. a new Standard Cost Recovery and Activity Measuring System (SCRAM) entry for the project.

    4. send a letter to the applicant advising them of cost recovery fees and the requirements of CAD No. 3; and

    5. request a commitment to pay these fees.

6.4  Record Keeping Within Transport Canada Civil Aviation

  1. In general, correspondence or documents addressing significant technical issues raised during the type certification process and the limitations and conditions under which the type certificate was granted should be saved and maintained in NAPA. NAPA also generates the type certificate and therefore the NAPA project should include the documentation supporting the project. If documents are saved in RDIMS then NAPA may reference these documents by RDIMS number.

  2. Documents saved in RDIMS, should include incoming and outgoing correspondence and be entered as soon as possible after being received or sent. This facilitates access to the documents by others and future searches. Exceptions may apply such as discrete, well-defined activities with limited involvement by others. In such cases it may be appropriate and advantageous to have the documentation grouped in RDIMS.

6.5  Charges

  1. Subpart 104 Schedule V of the CARs defines the fees established for the type certification of aeronautical products. Charges are invoiced to the applicant based on the hourly rate specified in Subpart 104 Schedule V of the CARs, for the time spent on the project by TCCA personnel. TCCA may require the applicant to agree in advance to reimburse additional costs that are incurred during evaluations performed in support of the type certification. Refer to Civil Aviation Directive No. 3 for more information. Subpart 104 Schedule V of the CARs specifies the applicable cap on charges that is dependent on the type of aircraft. Refer to SI GEN-004 for more information. Applicants are billed for travel outside Canada.

  2. The Cost Recovery Officer within the National Aircraft Certification (NAC) Project Management Division, or the individual in the Regional office with a similar role, is responsible for accruing the charges and seeking cost recovery from the applicant, which is done on a quarterly basis. SI GEN-004 provides guidance in accruing the appropriate charges.

  3. The Project Manager is responsible for reviewing and signing off the quarterly charges accrued by the members assigned to the project team prior to the cost recovery officer invoicing the applicant.

6.6  Determine Certification Team

  1. In order to establish an appropriate certification team, the Project Manager will organize an initial briefing for general familiarization with the project. This could be in the form of a concept briefing in the case of complex projects, or an initial type board meeting in the case of simpler or derivative products. See sections 6.2 and 6.15 of this SI for more information on concept briefings and initial type board meetings respectively.

  2. Depending on the complexity of the project, the TCCA Project Manager will request that team members be identified from one or all of the following disciplines: powerplants, avionics, electronic equipment design assurance, fuel and hydro mechanical systems, structures, occupant safety and environmental systems, flight test, continuing airworthiness, regulatory standards, aircraft evaluation group (AEG) and national operations.

6.7  Estimate Project Schedule

  1. Although the application is required to include a proposed project schedule as part of the certification plan, this is typically a top-level schedule that only identifies major milestones. The Project Manager is expected to work with the applicant towards the development of a more detailed project schedule. Ideally, the applicant, who has the most control over the timing of events, writes this schedule and provides it to the Project Manager who will disseminate it to the certification team. Typical events to schedule in addition to the major milestones are design review meetings, major ground or flight tests, and submission and acceptance of major certification reports. Milestones should align with the phases in section 4.0 of this SI. The Project Manager should ensure that any TCCA resource constraints are accommodated in the schedule. The schedule should cover milestones, accomplishments and the expected levels of service of both the applicant and the TCCA project team.

  2. The level of detail included in a schedule may be lessened for simple projects.

6.8  Create Action Item Database

  1. Action items may result from the following:

    1. meeting minutes;

    2. contact reports;

    3. flight test debrief notes;

    4. review of reports; or

    5. a multitude of other sources.

  2. The Project Manager will work with the applicant’s project manager to create an action item database. The applicant’s project manager is responsible for maintaining the action item database and the TCCA Project Manager verifies the accuracy. The database is a shared database with input from all members of the certification team, applicant and TCCA alike. The one who raises a new action item is responsible for advising TCCA and applicant project managers of the item. It is recommended that the applicant, who has the most control over the timing of events, controls the action item database. Ground rules should be created to determine the types of action that require tracking and the procedures for closing each item. Specialists from TCCA and the applicant should understand the structure and function of the action item database.

  3. The database will remain active until the end of the type certification process to ensure that no action items are overlooked and that all items are dealt with before the project is completed.

6.9  Create Contact Reports

  1. Contact reports are generated as an output from formal meetings, ad hoc meetings, test witnessing, telephone calls or e-mails. Minutes of meetings can also constitute contact reports. A contact report might be generated anytime throughout the type certification process. If a decision was made or an action item agreed to, some form of contact report should be made. No specific format is required, but the essentials of the meeting should be captured, including:

    1. identification of personnel involved;

    2. date;

    3. place;

    4. topic;

    5. decisions made and action items generated; and

    6. the agreement of the participants to the accuracy of the decisions or action items identified in it.
  2. All team members shall ensure that the Project Manager and the applicant’s project manager are aware of new action items and decisions made. The Project Manager will ensure that the action item database is populated with new items.

  3. Either the applicant or a TCCA team member may write a contact report. In either case, copies shall be forwarded to both the Project Manager and the applicant’s project manager. Ideally, both sides of the team will have reviewed it for accuracy. Signatures may be used to record agreement to the accuracy of the contact report.

  4. Larger, pre-planned meetings such as type board meetings should have a designated secretary named ahead of time. Typically, the secretary is selected from within the Project Management Division of the National Aircraft Certification Branch, and is responsible for generating the contact reports.

6.10  Establish and Record the Draft Certification Basis

  1. The applicable airworthiness and emission standards for aeronautical products are the standards that were in force on the date of application specified for the type certificate as per Part V of the CARs. The applicant may also propose Special Conditions, Exemptions, Findings of Equivalent Safety, or Elect to Comply with later amendments as outlined in section 521.30 of the CARs. More information on Special Conditions - Airworthiness (SCAs), Exemptions and Findings of Equivalent Safety can be found in AC 521-002.

  2. After the initial type board meeting described in paragraph 6.15 below, there should be an agreement between TCCA and the applicant on the type certification basis. Any SCA, Exemptions, Findings of Equivalent Safety or Elect to Comply information is recorded in separate G–series issue papers and the certification basis summary is recorded in the G–1 issue paper. Detailed issue paper procedures are defined in SI 500-019. The certification basis will also be recorded in the TCDS at the end of the program.

  3. The effective period of an application varies from 3 to 5 years, depending on the type of aeronautical product. In the case where a type certificate will not be issued within the effective period of the application, the applicant should discuss the situation with the TCCA Project Manager and follow one of the available options prescribed in section 521.29 of the CARs. More information on effective periods can be found in AC 521-002.

  4. If the product is a changed or derivative product it would be subject to the Changed Product Rule (CPR). CPR advisory material can be found in AC 500-016.

6.11  Establish Concurrent Type Certification Application for Foreign Certification (if required)

  1. Applicants often seek concurrent certification with foreign airworthiness authorities such as the Federal Aviation Administration (FAA) and European Aviation Safety Agency (EASA).

    1. In the case of the FAA, the Project Manager will prepare TCCA’s application on the applicant’s behalf and shall make early contact with the assigned FAA project manager to determine the need for any project specific working arrangement. Such an arrangement should include a list of the personnel required for future meetings. More information on this subject can be found in the Bilateral Aviation Safety Agreement Implementation Procedures for Airworthiness between Canada and the United States.

    2. Application to EASA is made through a TCCA letter to EASA’s Applications and Procurement Services Department. More information on this subject can be found in the Technical Implementation Procedures for Airworthiness and Environmental Certification between the Government of Canada and the European Community. This information will be available in the near future on the TCCA website under International Agreements and Arrangements.

  2. With respect to other countries, if an airworthiness agreement or similar arrangement exists between TCCA and a foreign airworthiness authority for type design examination, then the requirements of the agreement are to be followed. TCCA will send a letter of application on behalf of the applicant to the foreign airworthiness authority.

  3. If the foreign airworthiness authority with which the applicant has requested validation has no airworthiness agreement or similar arrangement with TCCA then concurrent certification may require research into the unique application and certification processes of that authority. The applicant may need to meet the requirements an applicant in that foreign jurisdiction would need to meet. This would require coordination with the Aircraft Certification Standards Division within the Standards Branch.

  4. The applicant may wish to show compliance with foreign standards for the purposes of foreign certification. TCCA may assist in making findings of compliance with these standards if so requested by the foreign authority. These standards will not form part of the Canadian certification basis.

6.12  Perform Management Briefing for a European Aviation Safety Agency/ Federal Aviation Administration/ Transport Canada Civil Aviation Applicant

  1. A management level meeting with the foreign airworthiness authority may be required to brief the foreign airworthiness authority on the design concept of the product and the certification approach that will be used, to better define their participation. This meeting may cover much the same material as the concept briefing described earlier such as:

    1. establishing foreign airworthiness authority agreement to the proposed certification schedule; and

    2. identifying any significant regulatory differences between the Canadian standards of airworthiness and the applicable foreign standards. The foreign airworthiness authority normally identifies any significant regulatory differences.

  2. This briefing may be included as part of the initial type board meeting, if the agenda permits. The Project Manager is responsible for arranging this meeting.

  3. The Project Manager should consult with the foreign airworthiness authority concerning their expected level of participation. This activity may require the active involvement of the applicant. This should be a topic of discussion at the initial type board meeting and should ideally be documented in a project specific working arrangement. More information on initial type board meetings can be found in paragraph 6.15 of this SI.

6.13  Establish Draft Certification Plans

  1. The applicant develops proposed certification plans in Phase I of the certification process– Application and Establishing Certification Basis. In Phase II – Establishing Means of Compliance and TCCA Level of Involvement (LOI), TCCA and the applicant discuss, negotiate and modify these certification plans as necessary prior to acceptance of them by TCCA. Acceptance of the certification plans accomplishes the core goal of Phase II, which is to agree on the means and methods of compliance and LOI.

    1. More information on LOI can be found in SI 500-003.

    2. More information on certification plans can be found in AC 500-015.

    3. A sample certification plan can be found in AC 521-002 Appendix A.

6.14  Establish Function and Reliability Test Flight Requirements

  1. In accordance with section 521.57 of the CARs function and reliability testing does not have to be completed before type certificate issue as long as the applicant has a program to ensure their completion before the later of the delivery of the first aircraft and the issuance of the certificate of airworthiness., The Project Manager shall ensure that an agreement is reached between the team and the applicant on:

    1. the function and reliability test plan;

    2. the representative type design configuration to be subject to function and reliability test flying;

    3. where applicable, the breakdown of dedicated and non-dedicated function and reliability test flight hours; and

    4. the extent of TCCA involvement.

6.15  Initial Type Board Meeting

  1. The goal of the initial type board meeting is to bring together the applicant with the specialists and management from TCCA to exchange information about the technical aspects of the aeronautical product, its proposed certification basis and the proposed schedule. The Director, NAC or the Project Manager in the case of engine and appliance projects chairs the meeting. The Project Manager and/or the applicant’s airworthiness manager will usually take the role of secretary. Attendance should include:

    1. the TCCA certification team and their Chiefs and Managers;

    2. Aircraft Maintenance and Manufacturing representatives;

    3. Aircraft evaluation group (AEG);

    4. operational representatives from the NCR and the applicable regions;

    5. the applicant’s certification team at the engineering and management levels; and

    6. foreign authorities, especially if a separate briefing to them is not proposed.

  2. The Project Manager is responsible for organizing the meeting, with the assistance of the applicant’s airworthiness office.

  3. TCCA will work with the applicant to discuss their expectations for the type certification process with their TCCA counterparts prior to the meeting. At the meeting, the applicant should be fully prepared, present information clearly, agree on milestones and identify any possible areas of contention.

  4. A suggested agenda for an initial type board meeting should include:

    1. a detailed design description that will include the anticipated role of the aircraft, weights, performance, passenger capacity, etc. and any novel or unusual features to be incorporated into the design;

    2. the draft certification basis. Ideally, by the time of the meeting, the G–series issue papers will have been negotiated. The meeting members will formally agree to the certification basis while acknowledging that there may still arise unknown SCAs, Findings of Equivalent Safety, Exemptions and Elect to Comply items that will be necessary to include in the certification basis;

    3. the proposed certification plan and schedule. TCCA may accept the proposed schedule and commit to adhering to it, as far as possible. In addition, lower level schedules that are already completed at this time may be discussed. Lower level schedules may include the following:

      1. rig testing;

      2. flight testing;

      3. function and reliability test flying;

      4. operations after ground cold soak demonstration; and

      5. report submission and acceptance schedules.

    4. Risk areas – topics requiring immediate attention;

    5. the means of compliance are discussed in a general way at this meeting. Itemized means of compliance are documented in the certification plans, which is covered in depth in Phase II;

    6. an overview of the flight test program;

    7. the maintenance schedule;

    8. the Function and Reliability Test Flights program;

    9. TCCA LOI overview;

    10. involvement of foreign airworthiness authorities;

    11. operational evaluation plans;

    12. plan for development of ICA and Maintenance Review Board;

    13. involvement of suppliers and partners; and

    14. engine and propeller certification status.

  5. Primary outputs of the initial type board meeting are an agreed certification basis and a commitment to respect the schedule. These outputs are documented in the G-1 issue paper and in the minutes of the meeting respectively. The minutes of the meeting should be made available to attendees shortly after the meeting.

7.0  PHASE II – ESTABLISHING MEANS OF COMPLIANCE AND TRANSPORT CANADA CIVIL AVIATION LEVEL OF INVOLVEMENT

  1. The following flow chart identifies the regulatory, administrative and process requirements that form part of the Phase II activities. The order in which the administrative and process requirements are completed may vary.

    Figure 3: Phase II Flow Chart of the Regulatory and Administrative Requirements

    Text version

    Figure 3: Phase II Flow Chart of the Regulatory and Administrative Requirements

    The figure on the left is titled Regulatory Requirements

    PHASE I arrows down to a box which reads 521.28 Application for a Type Certificate (d) certification plan. This box then arrows down to PHASE III.

    The box on the right is titled Administrative or Process Requirements and includes:

    • Establish Maintenance Review Board

    • Establish Operational Evaluation

    • Develop Technical Issue Papers

    • Cockpit Review Meetings

  2. Phase II consists of a series of reviews and meetings aimed at seeking concurrence on the proposed means and methods of compliance contained in the certification plan submitted in Phase I. As the compliance demonstration activities are established through these reviews, TCCA will specify its LOI, and the applicant will record this LOI as part of the certification plan. The output of Phase II is the agreed certification plans. The agreed certification plans define the applicant’s responsibility with regards to compliance demonstration that is conducted in Phase III, and defines the activities where TCCA specialists will participate throughout this compliance demonstration.

7.1  Design Review Meetings

  1. The objectives of design review meetings are to gain detailed knowledge of the product design in specific areas and enable TCCA to accept the company proposals on demonstrating compliance. The applicant is responsible and expected to organize and convene meetings, prepare meeting minutes and have TCCA sign off on those minutes.

  2. Design review meetings are generally intended to allow TCCA specialists to perform detailed reviews of specific areas of the product design with their counterparts. Design review meetings should be scheduled well in advance, but they may be arranged as required. Typically, Project Management is not represented at these meetings.

  3. The TCCA specialist attending a design review meeting shall ensure that:

    1. a detailed contact report is prepared outlining the specific topics discussed and the  aspects of the product reviewed;

    2. the report identifies agreements reached and records any outstanding action items; and

    3. a copy of the report is given to the Project Manager for updating the overall project status, the action item database and the certification plan, and to aid in preparation of type board and management meetings.

7.2  Refine Project Schedule

  1. In Phase II, the overall development schedule produced by the applicant for the initial type board meeting should be expanded into a detailed schedule. The exact testing requirements should be developed either from certification plans or other planning. This schedule should be regularly updated and shared with TCCA.

7.3  Review of Fundamental Certification Documents

  1. Certain compliance documents are required very early in the certification program as aids to discussion and to improve the certification team’s understanding of the applicant’s product. These early deliverables are called the Fundamental Certification Documents (FCD). These form the basis for the detailed design and compliance demonstrations. The FCDs should be drafted by the applicant during Phase I and submitted for discussion and acceptance by TCCA early in Phase II. The list may include, but is not limited to:

    1. Aircraft Level Functional Hazard Assessment;

    2. High Intensity Radiated Fields (HIRF) system criticality;

    3. Durability and Damage Tolerance Methodology; and

    4. Software System Criticality Assessments.

7.4  Develop Instructions for Continued Airworthiness

  1. In accordance with Airworthiness Manual Chapter XXX.1529 the applicant must prepare instructions for continued Airworthiness (ICA).

  2. The ICA includes a program for scheduled maintenance. For large transport category aircraft, maintenance programs and supporting instructions are typically developed using a Maintenance Review Board (MRB). The MRB process is described in MSI 23 and TP13850. The aircraft evaluation group (AEG) team member, in cooperation with their applicant counterpart, will initiate and follow through with this activity. Refer to TP13850 for a more detailed description of the approval process for these ICA.

  3. For rotorcraft, small airplanes and engines, the MRB process has seldom been applied, but a plan to address the requirements for ICA is needed within Phase II.

  4. The Project Manager shall:

    1. ensure the early involvement of the AEG in the discussions with the applicant;

    2. ensure that the certification plan identifies items that are to be submitted by the applicant to address the ICA;

    3. coordinate the review and acceptance of manuals with the AEG attached to the team; and

    4. coordinate the review of the AWL with the team and their subsequent approval by the Chief of Engineering, NAC.

7.5  Establish Operational Evaluation

  1. For transport category airplanes and rotorcraft, an operational evaluation is conducted in accordance with Commercial & Business Aviation (CBA) Policy Letter 136. It is the responsibility of NAC to initiate and coordinate this activity. However they may require input from the Standards branch Commercial Flight Standards Division representative. This process is not required for normal category aeroplanes and rotorcraft.

7.6  Inspect Applicant’s Type Design Configuration Control System

  1. The applicant is expected to have an effective configuration tracking system in place at all times.

  2. Before each certification test such as flight, ground and fault board analyses, the item to be tested shall conform to the drawings, specifications and manufacturing processes proposed for the type design. It is the applicant’s responsibility to ensure compliance.

  3. If the type design is changed subsequent to a certification test, the applicant may have to either repeat the test or substantiate that the design change does not affect compliance with the relevant design standard requirements.

  4. TCCA may conduct conformity inspections as necessary.  At the end of the certification project, the configuration control system shall result in a definition of the type certified product.

7.7  Define Conformity Inspection Requirements

  1. In phase II TCCA should identify all the conformity inspections required. The following items should be identified:

    1. the rigour of conformity inspection methods used by the applicant;

    2. the adequacy of the applicant’s configuration control system; and

    3. the criticality of the configuration for the relevant tests.

  2. The Project Manager should extract all conformity inspection requirements from the certification plans and any other sources and forward through the maintenance and manufacturing team member to the responsible Regional Inspector. A certification team meeting may be needed to accomplish this planning. Details of the conformity inspection requests will follow in Phase III.

  3. When executing test plans:

    1. Near the beginning of a project, an agreement shall be reached between the TCCA team and the applicant on the required tests and the responsibility for test witnessing. The details shall be written into the certification plans, and TCCA LOI shall be established. Test plans will be written by the applicant and accepted by TCCA. This should be done as early as possible and prior to the test;

    2. Test articles will be built to an agreed build standard and shown by the applicant to conform to that standard. In many cases the TCCA specialist will request that an additional conformity inspection be performed before the test is conducted. The Regional Aircraft Maintenance/Manufacturing staff will conduct this conformity inspection; and

    3. Test Witnessing is done by the certification team specialists, who will assess the design and make the FOC. Normally, when TCCA chooses to witness a test, the delegate will be present. Delegates are expected to witness all tests in accordance with the established LOI;

  4. The applicant shall provide TCCA time to review the test plans. Applicants should be cautioned that if the test plan is not accepted, or if TCCA’s test witnessing requirements are not satisfied before a test is conducted, there is a risk that TCCA will not accept the test results.

7.8  Develop Certification Memorandums

  1. A Certification Memorandum is raised when a point of clarification is required with respect to a requirement or group of requirements within the certification basis on a domestic type certification project.

  2. During type board meetings, the Project Manager shall provide a status report of the outstanding Certification Memorandums.

  3. The use and creation of Certification Memorandums is described in SI 500-019.

7.9  Develop Technical Issue Papers

  1. A technical issue paper, other than the G–Series issue papers, is used:

    1. to document a technical issue on a domestic certification project, when the possibility of non-compliance with one or more related elements of the certification basis for that product is raised;

    2. when the specialists representing the applicant and TCCA cannot reach agreement on a subject. The Project Manager should attempt to resolve disagreements between the applicant and the team before issuing a technical issue paper; and

  2. The Project Manager is responsible for raising and coordinating the sign off of the technical issue paper by the appropriate technical specialists and managers prior to submitting it to the applicant. Sign-off or initialling of the technical issue paper is used as a control mechanism within TCCA to ensure that the position stated in the paper is accurately and clearly reflected and acceptable to all disciplines. Typically, all affected specialists, including Project Managers, and their managers and chiefs will initial each outgoing revision of the technical issue paper. The Project Manager shall:

    1. ensure the format and writing of the technical issue paper, while technical specialists are responsible for ensuring that the technical details of the issue are correctly represented; and

    2. ensure that agreement is reached between all affected parties on actions required to close the issue paper prior to design approval.;

  3. Should an issue be resurrected due to a design change or a change in the position of the applicant or TCCA, the existing technical issue paper should be re-opened rather than creating a new technical issue paper.

  4. The use and creation of issue papers is described in SI 500-019.

7.10  Cockpit Review Meetings

  1. The design of the cockpit involves many subjective assessments of ergonomics and is typically of interest to all certifying authorities. It is often useful to define the cockpit layout well in advance of other aspects of the design. Meetings are usually held to discuss these matters, often with the aid of a cockpit mock-up.

7.11  Review and Accept Documents

  1. During Phase II the first of the compliance documentation such as test plans, certification plans or fundamental certification documents may be generated and submitted to TCCA, although the bulk of the documentation is generated in Phase III.

  2. Reports submitted for review as part of TCCA LOI, are sent to the Project Manager, logged in and forwarded to applicable team specialists. Comments from the specialist are usually discussed by phone or e-mail with their applicant counterpart. Criticality of the comments may require a contact report to be developed. Once the applicant has shown compliance to appropriate requirements, the delegate and TCCA specialists may begin to sign-off portions of the certification plan.

  3. The applicant and TCCA responsibilities are as follows:

    1. The applicant:

      1. encouraged to discuss report content with the TCCA specialist prior to submitting the report to TCCA; and

      2. is responsible for submitting to TCCA the certification deliverables identified in the certification plans.

    2. The Project Manager:

      1. shall monitor the submission schedules. Should serious delays occur, they will advise the certification team and Branch management;

      2. shall ensure that copies of all other documents referred to in the certification plan are available to the team; and

      3. shall facilitate discussions between specialists as needed and collate all technical comments in a letter to the applicant.

    3. The certification team:

      1. shall review the submissions in a timely manner; and

      2. shall provide concise technical comments or acceptance of the documents.

7.12  Coordinate Foreign Airworthiness Authority Support

  1. The applicant is responsible for ensuring that the foreign airworthiness authority is invited to witness tests or to attend design review meetings for which they have identified involvement. The Project Manager should be aware of this activity. It is highly desirable to have appropriate TCCA attendance whenever foreign authorities visit domestic applicants.

  2. TCCA will invite foreign authorities to major milestones such as intermediate type board meetings.

8.0  PHASE III– DEMONSTRATE AND RECORD COMPLIANCE

  1. The following flow chart identifies the regulatory, administrative and process requirements that form part of the Phase III activities. The order in which the administrative and process requirements are completed may vary.

    Figure 4: Phase III Flow Chart of Regulatory and Administrative Requirements

    Text version

    Figure 4: Phase III Flow Chart of Regulatory and Administrative Requirements

    The figure on the left is titled Regulatory Requirements

    PHASE II arrows down to a box titled 521.33 Conformity with Certification Basis. Three boxes titled 521.44 Inspections and Tests, 521.45 Test Flights and 521.46 Test Flight Operations feed into 521.33 Conformity with the Certification Basis. 521.33 Conformity with the Certification Basis then arrows down to 521.47 Function and Reliability Test Flights which then arrows down to PHASE IV

    The box on the right is titled Administrative or Process Requirements and includes:

    • Sign off of GCP

    • Design Review Meetings

    • Coordinate Foreign Airworthiness Authority Support

    • Prepare Test Plans

    • Witness Tests

    • Engineering Inspections

    • Commences sign-off of GCP

    • Intermediate Type Board Meetings

    • Flight Test Debrief Notes

    • Certification Readiness Review Meeting

    • Prepare Type Certificate Data Sheet

    • Final Type Board Meeting

  2. Phase III is when the applicant executes demonstrations of compliance and the Minister, represented either by a delegate or TCCA employee, as appropriate, makes the FOC. If a delegate is not involved, TCCA interaction with the applicant is considered a service to the applicant, and TCCA will be responsible for the FOC in these areas. As the certification demonstration progresses, both the applicant and TCCA will conduct, track, and record the completion of LOI.

  3. By the end of Phase III, the demonstration of compliance will be completed, and the following milestones will have been reached:

    1. The applicant will have demonstrated that the type design complies with Subpart 521 of the CARs and may request the issuance of the type certificate;

    2. The delegate makes FOC against all elements in the certification basis within their scope of authority; and

    3. TCCA will have declared the LOI complete and the TCCA Specialist will have completed the FOC for those areas outside the delegate’s scope.

  4. The applicant shall demonstrate compliance with the certification basis by:

    1. finalizing the definition of the type design; and

    2. conducting design review meetings as described in paragraph 7.1 of this SI, so that TCCA can gain detailed knowledge of the project design and thus be better able to accept the company proposals on the FOC;

    3. producing the required certification documents such as compliance reports and manuals.

  5. Activities in this section also include:

    1. closing of any outstanding domestic and foreign issue papers;

    2. approving the following, if applicable:

      1. MRB report AWL Section;

      2. AFM; and

      3. provision of the declaration of demonstration of conformity with the certification basis.

8.1  Review Demonstration of Compliance with the Applicable Requirements

  1. The demonstration of compliance is executed and LOI is conducted in Phase III. As the demonstration of compliance progresses, both the applicant and TCCA conduct, track and record the completion of LOI. Refer to SI 500-003 for more information on LOI.

  2. At the end of Phase III and in accordance with subsection 521.33(b) of the CARs the applicant should be ready to sign a declaration that the design conforms with its certification basis and submits a signed undertaking to carry out the responsibilities of a design approval document holder. An example of these signed undertakings can be found in AC 521-002.

8.2  Sign-Off the Certification Plan/Make a Finding Of Compliance

  1. Within their scope of authority, each delegate involved in an approval program shall:

    1. make the FOC against all elements in the certification basis within their defined scope of authority;

    2. not make the FOC where they are aware of a disagreement with the TCCA specialist accountable for the requirement in question; and

    3. confirm that the LOI has been completed before approving changes.

  2. The certification plan, or equivalent, is typically used to record and track the FOC made by the delegate, and, when necessary, the TCCA specialists. TCCA specialists will make the FOC only where there is a limitation of scope of authority of the delegate such as the:

    1. AWL;

    2. AFM;

    3. Special Conditions Airworthiness; or

    4. where the delegate:

      1. is unavailable to make the FOC; or

      2. has not participated in the certification program.

  3. The FOC is not considered part of the LOI, however it is recognized that where TCCA specialists are making the FOC, the LOI will be more extensive, as necessary, to demonstrate compliance.

  4. The delegate signs the original paper copy of the certification plan beside each item near the end of Phase III. Ideally, once compliance has been demonstrated for an item, the appropriate signatures should be added. Specialists and delegates should keep in mind that they are finding compliance for a particular design operated within a particular envelope. If the envelope is still in flux and if growth of the envelope would invalidate the compliance finding, the finding should be delayed until the envelope is firmly defined.

  5. There are four situations that may exist at the end of Phase III with respect to FOC:

    1. Delegate and TCCA agree compliance has been demonstrated: The delegate indicates the FOC by initialling the certification plan against the specific requirement. Where the delegate has a scope of authority for all aspects of the particular requirements, only the delegate signature is expected.

    2. Demonstration of compliance with limitations and/or mandated inspections: In some instances, compliance can only be found by the imposition of a limitation and/or inspection. If a limitation/inspection can enable compliance to be found, the delegate and the TCCA specialist shall sign the certification plan. TCCA shall provide explicit agreement on the acceptability of the limitations before the delegate can sign. The certification plan should be annotated to include the nature and location of the limitation/inspection that enabled the finding to be made. These limitations/inspections shall also be included as part of the appropriately approved publication e.g. the AFM, and AWL section of the ICA. Compliance items falling into this category are fully compliant, and as such could remain as permanent situations.

    3. A non-compliance exists: Sometimes the delegate cannot make a finding of compliance because compliance has either not been fully established or the aircraft has been found not to be compliant with the certification basis. The delegate or TCCA specialist is therefore not able to sign the certification plan. Requirements that cannot be signed shall be listed as such and clear and agreed reasons shall be defined for each. Compliance finding items falling into this category may require interim limitations or mandatory inspections to be imposed to assure that items of paragraphs 521.30(1)(d) and 521.30(1)(e) of the CARs are satisfied.

    4. Delegate and the TCCA specialist are known to be in disagreement: In cases where disagreement exists between the delegate and the specialist concerning compliance or means and methods of compliance, neither should sign the certification plan. Such a disagreement would normally result in the creation of an issue paper as a vehicle to resolve the problem.

8.3  Update Project Schedule

  1. The applicant is responsible for updating the overall project schedule. Regular communications between the applicant and the Project Manager is needed to avoid conflict with other TCCA commitments and constraints.

  2. The Project Manager shall ensure that specialists are aware of significant changes in schedule by holding team meetings.

8.4  Witness Tests

  1. Specialists witness tests in order to be able to assess the design and to make an FOC. When a TCCA specialist witnesses a test, the delegate will be present as well. Delegates are expected to witness all tests, as per the LOI.

  2. TCCA specialists or delegates witnessing tests do not participate in the tests. This ensures that the individual remains impartial and can concentrate on the overall activity rather than being tasked with performing a specific function while the test is going on.

8.5  Engineering Inspections

  1. An engineering inspection is a specific task carried out to review the finished product against the design requirements. An engineering inspection is not a conformity inspection. The key reason for an engineering inspection is that some compliance determinators are not practical unless the engineering inspector physically sees the finished product, Some examples include:

    1. to give perspective to the drawings and determine their adequacy;

    2. to provide familiarization with the aircraft: its layout, systems operations and structural load paths;

    3. to show possible interactions and interference between systems or components;

    4. to examine HIRF or lightning related features such as bonding or gaps in metallic enclosures;

    5. to conduct zonal inspections for the purposes of compliance to standards for flammable fluids, fire zones or interior installations; and

    6. to verify compliance with the requirements of the certification basis.

  2. TCCA specialists or delegates conducting an engineering inspection should document the results and note any discrepancies resulting from design or conformity issues as action items for the applicant. The applicant shall be debriefed on the inspection and the action items recorded.

8.6  Intermediate Type Board Meetings

  1. The intermediate type board is normally held prior to first flight with TCCA personnel. This meeting is optional but encouraged. More than one intermediate type board meeting could be convened. The meeting serves as a useful management update between senior management representatives from TCCA and the applicant’s organization. The meeting should be used to:

    1. review the design description;

    2. review the certification basis;

    3. review the status of the certification tests;

    4. review the status of the certification plan;

    5. review the status of issue papers and certification memoranda;

    6. review the flight test operations manual;

    7. review/sign-off Conditions for TCCA First Flight personnel;

    8. review the status of foreign type certification projects;

    9. provide an overview of the project status and schedules;

    10. provide the status of reports submission and acceptance/approval;

    11. review the status of FAA, EASA and other foreign airworthiness authority parallel certification activities;

    12. identify significant issues and problems; and

    13. establish a mutually agreed direction and action to resolve areas of concern.

  2. The intermediate type board meeting can be replaced by management reviews which can be held throughout the program as agreed. It is typical to have monthly management reviews while phase III is fully underway.

8.7  Issue Flight Permits

  1. An experimental flight permit is required for all developmental and type certification flight-testing issued in accordance with section 507.04 of the CARs. MSI 14 explains the process of issuing an experimental flight permit. This flight authority is not an airworthiness declaration but permission to fly an aircraft deemed safe for flight. Guidance on the criteria for ‘safe for flight’ is found in AC 521-002. An experimental flight permit has conditions and restrictions attached which will change throughout the certification program. For any flights conducted outside Canada, the foreign airworthiness authority will issue the flight permit and may impose additional requirements or conditions.

8.8  Perform Company First Flight

  1. AC 521-002 contains information such as the Company First Flight and first flight with TCCA on the conduct of test flights. The requirements for test flights by the company and by TCCA are the same. The application for first flight requires meeting pre-requisites such as the following:

    1. the existence of a maintenance program;

    2. achievement of an appropriate level of maturity of the design;

    3. establishment of a conformity control system and completed pilot egress training;

    4. written airworthiness declaration attesting that the aircraft being used for the test flight satisfies the conditions of paragraph 521.45(1)(b) of the CARs; and

    5. a written declaration attesting to the condition of the aircraft and its conformity with the configuration specified for the purposes of the test flight, made by a person authorized to do so by the manufacturer of the aircraft.

  2. The Project Manager shall coordinate the engineering, maintenance and flight test acceptance of the conditions and limitations for the flight permit. Once the conditions of section 521.45 of the CARs and AC 521-002 are met, the appropriate TCCA regional office issues a flight permit.

  3. For aircraft, a test flight operations manual must also be approved before first flight. More information on what this manual must include can be found in section 521.46 of the CARs and AC 521-002.

  4. A draft AFM is required as early as possible, typically two months before the company first flight. This draft will mature and grow during the certification project.

  5. The applicant may use the first flight as a public affairs media event. It may be appropriate to provide the Minister a briefing note on the event. The Project Manager will draft this in cooperation with the Policy, Technology and Special Projects Division, National Aircraft Certification.

  6. When flight tests are conducted outside Canada, the applicant shall also meet the requirements of the country in which the tests are to be conducted. The Project Manager shall be informed and will coordinate this activity with the applicant and the foreign airworthiness authority. The foreign airworthiness authority will issue/validate the flight authority.

8.9  Perform Transport Canada Civil Aviation First Flight

  1. The TCCA Project Manager coordinates the approval of the conditions for first flight. The requirements outlined in section 521.45 of the CARs are an extension of the applicant’s first flight activities but with more stringent assurance that the aircraft is safe for flight. For more information regarding the emergency provisions required before first flight see AC 521-002.

8.10  Flight Test Debrief Notes

  1. The TCCA flight test team will write the flight test debrief notes after each certification flight. The TCCA flight test team will document the flight results with comments and identify certification issues and/or ask questions which the applicant shall action. The applicant shall track the flight test debrief notes and keep TCCA management apprised of the status of the action items. Some applicants use the TCCA flight test debrief notes as an integral part of the compliance documentation. The Project Manager shall always be kept informed as to flight test debrief notes related to the project.

8.11  Create Action Item/Burn-Down Lists

  1. Towards the end of a type certification project, the need to track any outstanding work becomes increasingly important. Accordingly, some form of burn-down list is often created. A burn-down list is a list of outstanding action items that need to be accomplished to reach the certification target. This could include the following:

    1. signatures required on the certification plan;

    2. open action items;

    3. open issue papers; (see section 7.9 of this document)

    4. remaining tests;

    5. reports to be submitted and accepted; or

    6. any element of TCCA’s LOI or the applicant’s compliance demonstration and recording of compliance.

  2. A previously created action item tracking system can serve the function of a burn-down list.

  3. The Project Manager and the applicant should work together on a burn-down list that provides management with a summary of future activities while also providing the type certification team with the required task details and the proposed schedules to meet the goals. If a complete and current LOI schedule and action item tracking system have been created and updated; the creation of an accurate burn-down list should not involve significant effort.

8.12  Finalize Definition of Type Design

  1. It is the applicant’s responsibility to clearly define the product being certified. Reference to a model number or name is not sufficient. A reference to a definition drawing, a top drawing or a detailed configuration description is required to define the product being approved. Applicants may further define the product as a basic aircraft with a list of optional equipment.

  2. TCCA specialists and delegates require a thorough understanding of the configuration for which they are expected to demonstrate compliance. The Project Manager needs this information for dissemination to the certification team, and it also forms an integral part of the TCDS.

8.13  Certification Readiness Review Meeting

  1. By the end of Phase III one or more certification readiness review meetings may be held at which TCCA specialists and delegates discuss the entire design with the goal of determining how close the project is to type certification. Topics will include the following:

    1. open action items;

    2. unfinished tests;

    3. determination of the flight envelope to be approved;

    4. closure of issue papers, certification memos;

    5. approval of AWL and of the AFM; and

    6. any other items from the burn-down list.

  2. Three certification readiness review meetings may be held, for the following purposes:

    1. one meeting held by the applicant alone to prepare for the combined meeting;

    2. one meeting held by the TCCA team alone to prepare for the combined meeting; and

    3. a combined certification team meeting.

  3. By the end of Phase III the applicant is required to declare that they have demonstrated that the aeronautical product conforms with its certification basis and in accordance with paragraph 521.57(2)(b) of the CARs, in the case of an aircraft that no feature or characteristic makes the aircraft unsafe. Both are equally important. It is the goal of the certification readiness review meeting to discuss and agree on actions needed to make this declaration.

8.14  Review Flight Manual

  1. Before an aircraft type certificate is issued, the AFM must be approved. The Chief of Flight Test is to approve the AFM. See AC 521-002 for further guidance on AFMs.

  2. TCCA Flight Test and Engineering specialists review the AFM and provide their comments to the Project Manager for formal transmission to the applicant, until there is an agreed version ready for approval.

8.15  Review and Approve Master Minimum Equipment List

  1. An approved Master Minimum Equipment List (MMEL) is not required for a type certificate to be issued. However, in the event that an applicant wishes to have a MMEL, it is normally developed during Phase III of the type certification project. The applicant will forward a draft MMEL to the Chairman of the Review Group in the Flight Test Division, NCR, with a copy to the Project Manager. A formal review meeting between the applicant and TCCA specialists will be convened, and may include operators, Flight Technical Standards, AEG and foreign civil aviation authorities (CAAs). The MMEL, once approved, is a TCCA document published on the TCCA website. It is maintained by TCCA with input from the applicant and others. The Master Minimum Equipment List/Minimum Equipment List Policy and Procedures Manual which can be found on the TCCA website provides details on content and approval.

  2. The MMEL review includes input from AEG, MRB Chair or National Aircraft Certification member with respect to the maintenance tasks required to be carried out as part of the MMEL relief definition.

8.16  Review and Accept the Instruction for Continued Airworthiness

  1. The acceptance of the ICA is the responsibility of the AEG in the National Aircraft Certification (NAC) Branch with the exception of the AWL section. The Chief of Engineering shall approve the AWL Section and this section shall include a statement to that effect.

  2. At the start of the project, all parties will discuss and agree on the extent of the ICA that will be needed to ensure proper operation and maintenance of the product in the field. The title, format and content of these instructions should be defined as early as possible. The detailed content may be revised during the certification project as the need arises and as agreed to by the team and the applicant. More information on means of compliance with ICA can be found in AC 521-002.

8.17  Confirm the Effective Period of an Application

  1. There is a time limit on the effective period of an application. This time period should be reviewed periodically to ensure that all certification activities can be completed within the allotted time. If the type certification date will exceed the time limit the applicant can:

    1. submit a new application and pay the application fee; or

    2. apply for an extension of the effective period of the original application. This extension may only be granted during the original effective period of application and no fee will be charged. If an extension is applied for after the current application period has expired, the application fee must be paid.

  2. In either case the applicant must meet any relevant additional requirements if the design standard has been revised since the original application date.

  3. More information on the effective period can be found in AC 521-002.

8.18  Prepare the Type Certificate Data Sheet

  1. Work on this activity spans Phases III and IV. The type certificate data sheet (TCDS) will form part of the type certificate.

  2. The TCDS:

    1. defines the type design, often by reference to a top drawing;

    2. identifies the certification basis as captured in issue paper G–1; and

    3. identifies the limitations and conditions under which the type certificate was issued, which might include:

      1. a description of the approved flight envelope, engine limits, approved fuels and lubricants, maximum weights, number of passengers;

      2. the AWL;

      3. the approved MRB report, if applicable; and

      4. the applicable ICA by reference to the maintenance manual or section where this is recorded.

  3. For more information on what constitutes the content of the TCDS, refer to AC 521-002.

  4. The applicant and Project Manager responsibilities in regards to the TCDS:

    1. The applicant is to provide the necessary content for the draft TCDS. The required information is identified in AC 521-002. Often the applicant will provide a completed draft of the TCDS;

    2. Either the Project Manager or applicant can create the draft TCDS. The TCDS shall be compiled, as it becomes a public document used widely by the aviation community worldwide for subsequent approvals. The Project Manager will forward the draft TCDS for comment to the applicant and all certification team members;

    3. The applicant and the team member specialists ensure that the information is accurate and complete prior to certification; and

    4. The Project Manager will arrange for the final release of the TCDS concurrently with the type certificate.

8.19  Close Issue Papers

  1. Issue papers should be closed as soon as practical. Often they will be closed in Phase III. Closure should be based on an agreed position and not necessarily on the demonstration of compliance. For example, should the issue concern a means of demonstrating compliance, it should be closed as soon as TCCA and the applicant have agreed on the appropriate means of demonstrating compliance.

  2. All issue papers are to be closed before type certification.

8.20  Close Foreign Issue Papers and Certification Review Items

  1. CRIs are documents used by EASA to track and record the resolution of a certification subject which requires clarification or interpretation or represents a major technical or administrative issue.

  2. Foreign civil aviation authorities typically wish to have TCCA comment on and state its position on the issue paper or CRI they submit. Accordingly, TCCA specialists will be asked to review a foreign authority’s issue paper and CRI, as well as, the applicant’s position in respect of the following:

    1. If the TCCA specialist disputes the applicant’s position, the TCCA specialist will inform the applicant with the communication coordinated by TCCA project management; or

    2. If the TCCA specialist agrees with the applicant, the applicant’s response will be forwarded to the foreign airworthiness authority indicating TCCA support.

  3. Closure of foreign issue papers or CRIs is not a pre-requisite for type certification in Canada.

8.21  Sign-off Certification Plan/Make a Finding of Compliance

  1. The applicant and TCCA sign-off on the certification plan in Phase II, Phase III and Phase IV. At the end of Phase III the original certification plan is sent to TCCA for completion. At this point the delegate will have signed off the certification plan completely, indicating an FOC. The Project Manager will have custody of the original certification plan. The Project Manager ensures that all specialists have access to the certification plan to provide compliance finding signatures.

8.22  Approve the Instructions for Continued Airworthiness

  1. The AEG reviews the ICAs including the MRB report if applicable.The AEG MRB Chairman approves the MRB report. Continuing Airworthiness may provide advisory assistance on the MRB, as required.

  2. The Director or Chief of Engineering, NCR can approve the AWL Section of the ICA. The applicant will have provided a suggested AWL section at the end of Phase III. The Project Manager will distribute this for review by the appropriate engineering specialists. Once all specialists have recommended for approval the contents, the Chief of Engineering is asked to approve it. The original is forwarded to the applicant for publishing and safekeeping.

8.23  Approve the Aircraft Flight Manual

  1. The Director or Chief of Flight Test, NAC can approve the AFM. Throughout Phase III, the AFM will go through many iterations before final approval. The applicant will have provided a proposed AFM at the end of Phase III. The Project Manager will distribute the proposed AFM for comment to the appropriate engineering and flight test specialists. The flight test division coordinates the AFM review within engineering, keeping the Project Manager informed of its status. Once all affected specialists have accepted the contents, the Chief of Flight Test approves it. The original is forwarded to the applicant. AC 521-002 contains information about meeting AFM format and content.

8.24  Documents Associated with Engine and/or Propeller Type Certification

  1. The AWL sections, if recorded in one of the following manuals, require formal approval:

    1. Engine and/or Propeller Installation Drawing and Manual;

    2. Engine and/or Propeller Operating Manual; and

    3. Engine and/or Maintenance and Overhaul Manual.

  2. The AWL sections of these documents shall be signed off by the Chief, Engineering, NCR.

8.25  Final Type Board Meeting

  1. A final type board meeting (FTBM) is held near the end of a project to focus on any outstanding work that is required before issuance of the type certificate. Activities are identified and strategies are discussed to ensure their completion.

  2. Outstanding activities in the following areas should be reviewed:

    1. definition of type design configuration;

    2. certification testing, including flight testing and function and reliability test flying;

    3. compliance schedule;

    4. Flight Manual;

    5. Maintenance Manual and other ICA;

    6. TCDS;

    7. foreign type certification projects;

    8. declaration of demonstration of conformity; and

    9. declaration to undertake the responsibilities of a design approval document holder.

  3. The FTBM usually includes the following participants:

    1. the applicant;

    2. the TCCA members of the certification team and their managers;

    3. the TCCA Chiefs, the Director, NAC and their company counterparts;

    4. Maintenance and Manufacturing Division representatives; and

    5. representatives from those foreign CAAs asked to certify the design.

  4. The outcome of the FTBM is:

    1. a list and schedule for all actions required to be completed prior to type certification; and

    2. a list and schedule to resolve all issues required for foreign approvals.

8.26  Documents Required for Type Certification

  1. Before a type certificate is issued, section 521.367 of the CARs requires specific manuals and other technical documents be provided to TCCA in a specific quantity. See SI GEN 003 for more information on the appropriate process the Project Manager will use to coordinate the supply of required manuals.

  2. The Technical Reference Centre, NCR is responsible for distributing the manuals to the regions.

9.0  PHASE IV –TYPE DESIGN APPROVAL

  1. The following flow chart identifies the regulatory, administrative and process requirements that form part of the Phase IV activities. The order in which the administrative and process requirements are completed may vary.

    Figure 5. Phase IV Flow chart of the Regulatory and Administrative Requirements

    Text version

    Figure 5. Phase IV Flow chart of the Regulatory and Administrative Requirements

    PHASE III arrows down to a box titled 521.57 Issuance of a Type Certificate which arrows down to PHASE V.

    The box on the right is titled Administrative or Process Requirements and includes:

    • Final Type Board Meeting - Declaration of Conformity

    • Undertaking to carry out responsibilities of Div. VIII

    • Close Issue Papers

    • Final Sign Off of the GCP

    • Letter of Recommendation to Foreign Authorities

    • Administrative Project Closure

  2. LOI shall be complete before a type certificate is issued. A tracking document will have been used to record the completion of LOI, which was defined in Phase II and conducted in Phase III.

  3. Before the type certificate is issued, the applicant must have:

    1. Demonstrated that the product meets the applicable standards as per section 521.57 of the CARs;

    2. Submitted their signed declaration of conformity; and

    3. Submitted their signed undertaking to take on the responsibilities of a design approval document holder as described in Division VIII of Subpart 521 of the CARs.

  4. Once the Minister finds compliance with the certification basis, the type certificate is issued.

  5. The Project Manager shall create a package with a decision record for the Director, NAC recommending the type certificate be issued on behalf of the certification team, including a confirmation of no unsafe features as per paragraph 521.57(2)(b) of the CARs. See Appendix C of this document for a checklist of the requirements to be completed before issuance of the design approval document.

9.1  Issue the Type Certificate

  1. Once all the type certification requirements have been satisfied and the draft TCDS has been reviewed by the appropriate specialists, the specialists recommend to their respective Chiefs that the type certificate be issued. In turn, the Chiefs recommend to the Director, NAC the type certificate be issued. This recommendation usually takes the form of a Decision Record and affirms in accordance with Section 521.57 of the CARs, the following:

    1. The signed declaration of conformity has been received;

    2. The signed declaration to carry out the responsibilities specified in Division VIII has been received;

    3. The type design of the aeronautical product complies with its certification basis;

    4. In the case of an aircraft, the applicant has demonstrated that no feature or characteristic makes the aircraft unsafe;

    5. All test flights have been conducted; and

    6. If function and reliability test flights have not been completed, a program exists to ensure their completion before the later of the delivery of the first aircraft and the issuance of the certificate of airworthiness.

    Note: 

    See Appendix C of this SI for a checklist containing these items.

  2. The Director issues the type certificate in accordance with Section 521.57 of the CARs.

  3. Once signed, the original certificate and TCDS is forwarded to the type certificate holder. An electronic copy or other appropriate information media is placed on the TCCA web site.

9.2  Provide a Letter of Recommendation to Foreign Civil Aviation Authorities

  1. Providing a written declaration of certification to a foreign airworthiness authority is a function of protocol and of the particular requirements of the foreign airworthiness authority. The Project Manager addresses the process elements required by the foreign airworthiness authority in the content of the TCCA letter. For example, the foreign airworthiness authority may require that TCCA make a statement of compliance with unique airworthiness requirements. The Project Manager shall make sure such a statement appears in the TCCA letter.

  2. Regardless of process requirements, protocol dictate at least a simple letter formally offering the Canadian type certificate and TCDS be sent to the foreign airworthiness authority.

9.3  Provide Documents Required for Entry into Service

  1. For many products the entry into service and the issuance of the first Certificate of Airworthiness (C of A) do not occur on the same date. For large transport category aircraft, a distinction between these dates is useful. For example, when the first aircraft are delivered to a completion centre, the aircraft will be given a C of A even though it may be lacking a completed interior or a complete suite of avionics. While the aircraft would have a C of A, the entry into service date would come later when the completion centre delivers the aircraft to the operator.

  2. A MMEL is not required by the certification requirements. Operational rules for some operators require the use of a Minimum Equipment List (MEL), which will drive the need to produce a MMEL. Although the entry into service date is often a useful deadline for the publishing of a MMEL, if one is needed, the MMEL should be approved and published as close as possible to the type certification date in order to allow appropriate time for the development and approval of a MEL.

9.4  Administrative Project Closure

  1. The SCRAM and NAPA projects initiated in Phase I are terminated as the project comes to a close. The timing of this closure is at the discretion of the Project Manager. The SCRAM and NAPA projects do not need to be closed simultaneously.

  2. The SCRAM field created for the cost-recovery of TCCA activities should be closed as soon as is reasonably possible. This will seldom be at the time of type certification as there is typically much cleanup activity that needs to be recorded in SCRAM, such as final report acceptance. For large transport airplane projects, the majority of activity has typically been completed by the time the first C of A is issued, which provides an appropriate trigger for SCRAM project ending. Some lag time to permit TCCA personnel to complete old SCRAM entries may be required. If the fee cap has been reached, the timing of the SCRAM closure is less important. Once the project SCRAM field has been closed, the certification team shall be advised to log hours into post-type certification fields.

  3. Hourly charges stop at type certificate issuance unless otherwise agreed. (However, the fee cap is typically reached before type certificate issuance).

  4. NAPA shall be used as an archive for relevant papers such as issue papers, SCAs, Exemptions, and foreign issue paper/CRIs. The Project Manager will close the NAPA project file as soon as all the required documentation has been filed.

10.0  PHASE V– POST ISSUANCE ACTIVITIES

  1. The following flow chart identifies the regulatory, administrative and process requirements that form part of the Phase V activities. The order in which the administrative and process requirements are completed may vary.

    Figure 6. Flow chart of Phase V activities

    Text version

    Figure 6. Flow chart of Phase V activities

    The figure on the left is titled Regulatory Requirements

    PHASE IV arrows down to a box titled 521.58 Change to a Type Design Approved in a Type Certificate

    The box on the right is titled Administrative or Process Requirements and includes:

    • Post Certification Design Changes

    • Approved Amendment Process

  2. Phase V pertains to the post-certification design changes made by the type certificate holder. This does not address third party modifications. This SI describes Phase V in general terms only.

  3. The internal practices used for post-certification activities vary greatly amongst holders. One holder may use modification summaries, (mod-sums), another may rely extensively on options and customization, while another may use yet another design change categorization method. In phase V the needs of the type certificate holder are much more diverse than in the previous phases. There is a requirement for the type certificate holder to inform TCCA of changes to the type design so the LOI may be established, if required.

  4. Regardless of the method of design change used, all design changes will be approved in a manner similar to the one used for the original product. In general terms, post-certification design changes require less TCCA LOI than the type certificates and use only a sub-set of the requirements discussed in this SI. Elements of this SI may be used, if applicable.

  5. For foreign validations of post-certification design changes, the importing authority will identify the types of changes to be approved and the processes to be used for these approvals. Typically, a foreign airworthiness authority, depending on the bilateral arrangements in place, will have less involvement in post certification design changes and will rely on delegation to TCCA for approvals in their countries. The Project Manager will ensure that the protocol for foreign validations of post-certification design change is communicated to the applicant and should assist with expediting these approvals.

11.0  CONTACT OFFICE

Suggestions for amendment to this document are invited, and should be submitted via
the following e-mail address:

AARTInfoDoc@tc.gc.ca Attn: Chief, Aircraft Certification Standards (AARTC)

[original signed by]

Jacqueline Booth
A/Director, Standards Branch
Civil Aviation
Transport Canada

APPENDIX A—REGULATORY FLOW CHART

Appendix A—Regulatory Flow Chart

Text version

Appendix A - Regulatory Flow Chart

Pre-application includes 521.25 Application, 521.26 Eligibility Requirements and 521.27 Aircraft Categories. This leads into Phase I which includes 521.28 Application for a Type Certificate, 521.29 Effective Period of an Application and 521.30 Certification Basis. The Certification Basis includes 521.31 Standards of Airworthiness and 521.32 Aircraft Emissions Standards. 521.28 Application for a Type Certificate also includes 521.28(d) Submit a Certification Plan which is Phase II.

521.30 Certification Basis leads to Phase III which includes 521.33 Conformity with the Certification Basis. Included in this Basis are 521.44 Inspections and Tests, 521.45 Test Flights and 521.46 Test Flight Operations. Compliance demonstrated? No – back to 521.33 Conformity with the Certification Basis. Yes – Within Effective Period? No back to 521.29 Effective Period of an Application. Yes – 521.47 Function and Reliability Test Flights. This leads to Phase IV – 521.57 Issuance of a Type Certificate which then leads to Phase V – 521.58 Change to the Type Design Approved in a Type Certificate and DIVISION VIII – Responsibilities of a Design Approval Document Holder.

APPENDIX B—REGULATORY REQUIREMENTS AND APPLICATION PROCESS FOR MANNED FREE BALLOONS

Surface or air transport of hot air balloon fuel gas cylinders is a characteristic of hot air balloon operation. Air balloon operators are required to know the regulatory requirements and application process applicable to the surface and air transport of the fuel gas cylinders.

  1. Regulatory requirements include the following:

    1. The CARs address only the approval and use of the fuel gas cylinders while on the aircraft for the purposes pursuant to the Aeronautics Act.

    2. The Transportation of Dangerous Goods Act (TDG) and Regulations apply and must be followed when the fuel gas cylinders are in transport by road or any mode within the scope of the TDG Act. The TDG Regulations require that containers for compressed gas meet and be certified to prescribed standards (CAN/CSA B339 with TCCA stamping).

    3. Concurrent certification under the CARs and the TDG is desirable for the fuel gas cylinder.

  2. The application process:

    1. The fuel gas cylinder manufacturer will normally apply for certification of the fuel gas cylinders to the Director, Regulatory Affairs, TDG;

    2. The fuel gas cylinder user will request a properly certified fuel gas cylinder from their respective manufacturer or supplier;

    3. Where the applicant elects to have a parallel TDG certification of the fuel gas cylinder, the aircraft certification project manager may wait to issue the type certificate for the balloon, including the fuel cylinder, until the applicant has demonstrated that the chosen fuel gas cylinder is acceptable under TDG. The approval/data sheet should describe the fuel gas cylinder in terms of manufacturer, make, model, and identify its approval status under TDG.

  3. Note that the United States Department of Transport (DOT) stamping is the certification required in the USA, but cylinders with DOT stamping alone are not acceptable under TDG in Canada. Nonetheless, cylinders may be certified and marked both TCCA and DOT to be acceptable for transport in both countries.

APPENDIX C – CHECKLIST TO BE COMPLETED BEFORE TYPE CERTIFICATE ISSUANCE

CAR Requirement Check when completed
Fees have been paid as per Subpart 104 of the CARs
521.57(1)(a) Declaration of Conformity submitted
521.57(1)(b) Declaration to carry out the responsibilities specified in Division VIII submitted
Other than Restricted Category
521.57(2)(a) The type design of the aeronautical product conforms to its certification basis
521.57 (2)(b) For an aircraft, no feature or characteristic makes the aircraft unsafe
521.57(2) (c) Flight tests required under 521.44(c) and 521.47 have been conducted
521.57(2)(d)  If F&R testing has not been completed, a program exists to ensure their completion
Restricted Category
521.57(3)(a) No feature or characteristic makes the aircraft unsafe when operated within its limitations
521.57(3)(b) The aircraft has a type design that conforms to its certification basis
521.57(3)(b)(ii) The aircraft is manufactured in accordance with the requirements of, and accepted for use by DND and has been modified for its intended use.

Transport Canada documents or intranet pages mentioned in this document are available upon request.

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