Bilateral Aviation Technical Arrangement between the Department of Transport of Canada and the Civil Aviation Administration of China

on Civil Aeronautical Products Design Approval, Production Approval, Export Airworthiness Approval and Post Design Approval Activities

Table of Contents

  1. Definitions
  2. Purpose and Scope
  3. General Provisions
  4. Joint Management Committee
  5. Communication
  6. Mutual Cooperation, Assistance and Transparency
  7. Difference in Interpretation and Application
  8. Confidentiality
  9. Final Dispositions
  10. Appendix 1  –  Joint Management Committee (JMC) Membership and Technical Agents
  11. Appendix 2  – List of Addresses
  12. Appendix 3  – List of Special Arrangements
  13. Annex A – Design Approval and Post Design Approval Activities
    1. Definitions
    2. Objectives
    3. Validation by TCCA of CAAC Design Approvals
    4. Validation by CAAC of TCCA esign Approvals
    5. Common Validation Principles
    6. Post Validation Activities
    7. Continued Airworthiness Support Activities
  14. Annex B – Production Approval and Export Airworthiness Approval
    1. Definitions
    2. Objectives
    3. Production Approval
    4. Export Airworthiness Approval

The Department of Transport of Canada's Civil Aviation Directorate (TCCA) and the Civil Aviation Administration of China (CAAC), hereinafter referred to as the "Authorities",

Bearing in mind their common interest in promoting aviation safety,

Recognizing the emerging trend towards multi-national design, production and interchange of civil aeronautical products, and

Recognizing the benefits of increased cooperation to promote improved compatibility and the enhancement of safety and efficiency of our respective systems for airworthiness assurance,

Have come to the following Bilateral Aviation Technical Arrangement (BATA):

1. Definitions

For the purposes of this Bilateral Aviation Technical Arrangement (BATA), including its Annexes, the following definitions apply:

"Acceptance" means that when either Authority grants its own approval, such approval will be accepted by the other Authority as being equivalent to having granted and issued its own approval. In this case, an application and a validation will not be required.

"Aeronautical Product" means an aircraft, aircraft engine, aircraft propeller or aircraft appliance or part, or a component part of any of those things.

"Appliance" means any instrument, mechanism, equipment, apparatus or accessory that: is used, or intended to be used, in operating or controlling an aircraft in flight; is installed in or attached to, or intended to be installed in or attached to, the aircraft; and is not part of the airframe, engine or propeller of that aircraft.

"Airworthiness Requirements" mean regulations or airworthiness standards governing the design and performance of civil aeronautical products.

"Certifying Authority" means the Authority within the State of Design, charged by the laws of that State with regulating and assuring the airworthiness and aircraft emissions of civil aeronautical products.

"Environmental Requirements" mean regulations or environmental standards governing the certification of civil aircraft and engine designs with regard to noise characteristics, exhaust emissions, and fuel venting.

"Export Airworthiness Approval" means the use of either an export airworthiness certificate or an authorized release certificate, depending on whether referencing a complete aircraft or a part thereof, respectively.

"Production Approval" means a document issued by an Authority to a person, including a corporation, organization or other entity, that allows the production of a product or article in accordance with its approved design and approved quality system; for TCCA this takes the form of a CAR 561 Manufacturer Certificate; and for CAAC this can take the form of a CCAR-21 Production Certificate, a PMA, or a CTSO Authorization.

"State of Design" means the State having jurisdiction over the person, including a corporation, organization or other entity responsible for the type design – or a change to the type design – of an aeronautical product.

"State of Manufacture" means the State having jurisdiction over the organization responsible for the final assembly of an aircraft.

"Type Design" means the description of all characteristics of an aeronautical product, including its design, manufacturing processes, limitations (e.g. Approved section of the Aircraft Flight Manual), and instructions for continued airworthiness, which determine its airworthiness. This includes drawings and specifications necessary to define the configuration and design features (e.g., dimensions, materials, and processes) and the data substantiating that the design meets the applicable airworthiness and environmental requirements.

"Validating Authority" means the Authority within the importing State, charged by the laws of the importing State with regulating and assuring the airworthiness and aircraft emissions of civil aeronautical products.

"Validation" means the process whereby the validating Authority obtains information and experience on the aeronautical product approved by the State of Design Authority for the purpose of enabling the validating Authority to issue a design approval under its own regulations.

2. Purpose and Scope

This BATA is to facilitate the reciprocal acceptance or validation of design approvals, design change approvals, production approvals and export airworthiness approvals, as well as to provide for continued airworthiness support activities for those civil aeronautical products to be imported or exported between Canada and China.

The design approvals and design change approvals referred to in this BATA are those made by the Authority of the State of Design.

3. General Provisions

  1. The Authorities understand that this BATA includes:
    1. a statement of purpose and scope, defining the particular areas of cooperation in civil aviation to be addressed;
    2. technical annexes;
    3. provisions for accountability;
    4. provisions for mutual cooperation and technical assistance; and
    5. provisions for amendments to or termination of this BATA.
  2. The Authorities understand that working procedures per this BATA will be mutually decided upon in separate annexes, as follows:
    1. Annex A of this BATA defines the working procedures between the Authorities to facilitate the validation or acceptance of each other's design approvals, design change approvals and the design data approvals used in support of repairs, and to address continued airworthiness support activities.
    2. Annex B of this BATA defines the working procedures between the Authorities for the acceptance of each other's production approvals and export airworthiness approvals.

4. Joint Management Committee

  1. The Authorities will establish of a Joint Management Committee (JMC) to administer this BATA.
  2. The Authorities understand that the JMC:
    1. will be led by the Director General, Civil Aviation for Transport Canada and by the Director General, Aircraft Airworthiness Certification Department for the CAAC;
    2. will resolve any differences in interpretation and application of this BATA between the Authorities;
    3. will apply the necessary resources to ensure the successful completion of the tasks described in Chapter3; and
    4. will communicate at regular intervals jointly decided upon by them and as required.

5. Communication

The Authorities will communicate to ensure the implementation and further development of this BATA through the relevant focal points identified in Appendix 1:

  1. as regards technical matters, the Technical Agents; and
  2. as regards all other matters, the JMC.

6. Mutual Cooperation, Assistance and Transparency

  1. The Authorities will co-operate to give maximum practicable credit to each other's technical evaluations, inspections, conformity statements, certifications and approvals.
  2. Each Authority will inform the other of all its relevant laws, regulations, standards, guidance and advisory material related to its design approval of aeronautical products, export airworthiness approval, and production approval of civil aeronautical products, including design changes and continuing airworthiness, its civil aviation state safety program and, as applicable, of any changes to the aforementioned. The Authorities will direct any request for information to the appropriate Technical Agent identified in Appendix 1.
  3. In respect of aeronautical products, the certifying Authority will upon request assist the validating Authority in determining whether a major design change or a major repair design made under the control of the validating Authority, complies with the applicable airworthiness and environmental standards of the validating Authority.
  4. The Authorities will meet as necessary to review this BATA and its continued validity. The frequency of these meetings will be jointly decided upon by both Authorities, and will depend on the number and significance of the issues to be discussed between them.
  5. When either Authority needs information for the investigation of incidents, accidents, service difficulties or suspected unapproved parts involving a product imported under this arrangement, it will direct its request to the appropriate office of the Authorities. In turn, upon receipt of the request for information, the Authority will immediately do everything necessary to make sure the requested information is provided in a timely manner. If urgency requires that either Authority request the information directly from the manufacturer because immediate contacts cannot be made with the other Authority, the requesting Authority will inform the other Authority of this action as soon as possible.
  6. Each Authority will inform at the earliest opportunity the other of any changes related to the organization structure of their Authority, the JMC membership or the Technical Agents identified in Appendix 1, or the list of addresses identified in Appendix 2. The Authorities will exchange, as coordinated through the Technical Agents, written updates of their information contained in Appendix 1 and Appendix 2 in the form of amendments to these appendices and without need to sign a revised BATA.
  7. The Authorities may make Special Arrangements under this BATA with respect to design approval, production approval, export airworthiness approval, post design approval, or technical assistance in unique situations that have not been specifically addressed in this BATA and will list such Special Arrangements in Appendix 3, which may be amended per this BATA as mutually decided on between the Authorities and without need to sign a revised BATA.

7. Difference in Interpretation and Application

  1. The Authorities will refer any difference in the interpretation or application of this BATA or any related document to their Technical Agents or to the JMC for resolution.
  2. The Authorities will refer any issues that cannot be satisfactorily resolved by the Technical Agents to the JMC, which will consult on the matter.

8. Confidentiality

  1. Each Authority will maintain, to the extent required under its laws, the confidentiality of information received from the other Authority under this BATA.
  2. The Authorities will not disclose or permit the disclosure outside of the Authorities of information received from each other, or submitted by an applicant for or holder of a design or production approval, under this BATA that constitutes trade secrets, confidential commercial or financial information, or information that relates to an ongoing investigation. To this end, the Authorities will consider such information proprietary and will appropriately mark it as such.
  3. An Authority may, upon providing information to the other Authority, designate the portions of the information that it considers to be exempt from disclosure.
  4. Each Authority will take all reasonable precautions necessary to protect information received under this BATA from unauthorized disclosure.

9. Final Dispositions

  1. This BATA will take effect on the date of its last signature by the Authorities, and will remain valid until such time as it is terminated or replaced by some other arrangement, or otherwise revised by mutual decision of the Authorities in accordance with the provisions of this BATA.
  2. An Authority may terminate this BATA by giving sixty days written notice to the other Authority. Such termination will terminate all existing appendices or annexes executed in accordance with this BATA. Following termination of this BATA, each Authority will maintain the validity of any design approvals, export airworthiness approvals, and production approvals issued under this BATA prior to its termination.
  3. In accordance with paragraph 2.1(b) and sections 2.7 and 8.3 of the Bilateral Aviation Technical Arrangement (Interim), effective 2 February 2015, including its Roadmap to Technical Arrangement – Certification/Production, that arrangement is superseded and cancelled when this BATA takes effect, without invalidating any approvals issued or accepted during the period that the BATA (Interim) was in effect.

Signed in duplicate at Ottawa on September 22, 2016, in the English, French and Chinese languages, each version being equally valid.

Original Signed by: Ms. Laureen Kinney

Original Signed by: Mr. Li Jian 

Ms. Laureen Kinney,
Assistant Deputy Minister, Safety and Security
For the Department of Transport of Canada

Mr. Li Jian,
Deputy Administrator
For the Civil Aviation Administration of China

Appendix 1  –  Joint Management Committee (JMC) Membership and Technical Agents

Subject TCCA CAAC

JMC Leads

Director General,
Civil Aviation Regulatory Framework

Mr. Aaron McCrorie
aaron.mccrorie@tc.gc.ca
+1 613-990-1322

Director, Standards Branch, Civil Aviation

Mr. Robert Sincennes
robert.sincennes@tc.gc.ca
+1 613-991-2738

Director General, Aircraft Airworthiness Certification Department

Mr. Yin Shijun
sj_yin@caac.gov. Cn
+86 10-6409-1323

Deputy Director General, Aircraft Airworthiness Certification Department

Madam Wang Jingling
jl_wang@caac.gov. Cn
+86 10 64091329

Design Approval
- Technical Agent

Chief, Aircraft Certification Division, Standards Branch

Mr. Blake Cheney
blake.Cheney@tc.gc.ca
+1 613-990-2738

Director, Aircraft Certification Division, Aircraft Airworthiness Certification Department

Mr. Zhang Sen
zhangsen@caac.gov. Cn
+86 10 64091331

Production Approval, Export Airworthiness Certificate, and Operational Airworthiness
- Technical Agent

Chief, Operational Airworthiness Division,
Standards Branch

Mr. Jeffrey Phipps
jeff.phipps@tc.gc.ca
+1 613-952-4386

Director, Airworthiness Inspection Division, Aircraft Airworthiness Certification Department

Mr. Li Bo
libo@caac.gov. Cn
+86 10 64091321

State Safety Program
- Technical Agent

Chief, Technical Program Evaluation & Cooperation Division, Standards Branch

Ms. Jacqueline Booth
jacqueline.Booth@tc.gc.ca
+1 613-952-7974

Director, Safety Surveillance Division,
Aviation Safety Office

Mr. Sun Changhua
ch_sun@caac.gov. Cn
+86 10 64091913

Appendix 2  – List of Addresses

TCCA Aircraft Certification and Aircraft Manufacturing Offices

Headquarters (National Capital Region)
National Aircraft Certification

Director, National Aircraft Certification
Transport Canada Civil Aviation
159 Cleopatra Drive (AARD)
Nepean, Ontario, K1A 0N5

Telephone: 613-773-8281
Fax: 613-996-9178

Chief, Engineering (AARDD)
Telephone: 613-773-8297

Chief, Project Management (AARDE)
Telephone: 613-952-4339

Chief, Continuing Airworthiness (AARDG)
Telephone: 613-952-4356

Chief, Delegations and Surveillance (AARDL)
Telephone: 613-941-8386

Contact for TCCA Airworthiness Directives:

For information on existence or applicability of any AD, please consult the Chief, Continuing Airworthiness (AARDG) or by e-mail: cawwebfeedback@tc.gc.ca.

Standards

Director, Standards
Transport Canada Civil Aviation
Place de Ville, Tower C (AART)
330 Sparks Street, 2nd Floor
Ottawa, Ontario K1A 0N8

Telephone: 613-991-2738
Fax: 613-952-3298

Chief, Aircraft Certification Standards (AARTC)
Telephone: 613-990-2738

Chief, Operational Airworthiness (AARTM)
Telephone: 613-952-4386

TCCA Regions
Atlantic Region

Technical Team Lead, Engineering (MAHI)
6th Floor, Heritage Court
95 Foundry Street
Moncton, New Brunswick E1C 5H7

Telephone: (506) 871-0634
Fax: (506) 851-7190

Technical Team Lead, Airworthiness (MAHE)
6th Floor, Heritage Court
95 Foundry Street
Moncton, NB  E1C 5H7

Telephone: (506) 851-7114
Fax: (506) 851-2563

Quebec Region

Technical Team Lead, Engineering (NAHI)
700, Place Leigh Capreol
Dorval, Quebec H4Y 1G7

Telephone: (514) 633-3593
Fax: (514) 633-2703

Technical Team Lead, Airworthiness (NAM)
700, Place Leigh Capreol
Dorval, Quebec H4Y 1G7

Telephone: (514) 214-8075
Fax: (514) 633-3361

Ontario Region

Technical Team Lead, Engineering (PAHI)
4900 Yonge Street, Suite 400
North York, Ontario M2N 6A5

Telephone: (416) 952-6033 or (416) 952-0674
Fax: (416) 952-0050 (outside North America)

Technical Team Lead, Airworthiness (PAH)
4900 Yonge Street, Suite 400
North York, Ontario M2N 6A5

Telephone: (416) 952-0326
Fax: (416) 952-0370

Prairie and Northern Region

Technical Team Lead, Engineering (RAXI)
1100-9700 Jasper Avenue
Edmonton, Alberta  T5J 4E6

Telephone: (403) 495-3856
Fax: (403) 495-7963
e-mail: pnrweb@tc.gc.ca

Technical Team Lead, Engineering (RARI)
800-1601 Airport Road, N.E.
Calgary, Alberta T2E 6Z8

Telephone: (403) 292-4990
e-mail: pnrweb@tc.gc.ca

Technical Team Lead, Engineering (RAHI)
344 Edmonton Street, 2nd Floor
344 Edmonton St., 2nd Floor
Winnipeg, Manitoba R3B 2L4

Telephone: (204) 984-1887
e-mail: pnrweb@tc.gc.ca

Technical Team Lead, Airworthiness (RAWH)
344 Edmonton Street, 2nd Floor
P.O. Box 8550
Winnipeg, Manitoba R3C 0P6

Telephone: (204) 983-4147
Fax: (204) 984-2070

Pacific Region

Associate Director, Operations (TAH or TAX)
800 Burrard Street
Vancouver, British Columbia  V6Z 2J8

Telephone: (604) 666-5599 or (604) 666-5555
Fax: (604) 666-3687

Technical Team Lead, Airworthiness (TAH)
800 Burrard Street
Vancouver, British Columbia  V6Z 2J8

Telephone: (604) 666-5599
Fax: (604) 666-3687

CAAC Aircraft Airworthiness Certification Department (AAD)

Headquarters (Beijing)

Director, Aircraft Certification Division, Aircraft Airworthiness Certification Department, Civil Aviation Administration of China
No. 155 Dongsixidajie, Dongcheng District, Beijing, China.100710.

Telephone: 86-10-64091331
Fax: 86-10-64091331

Director, Airworthiness Inspection Division, Aircraft Airworthiness Certification Department, Civil Aviation Administration of China
No. 155 Dongsixidajie, Dongcheng District, Beijing, China.100710.

Telephone: 86-10-64091321
Fax: 86-10-64091380

Director, Engine and Propeller Certification Division, Aircraft Airworthiness Certification Department, Civil Aviation Administration of China
No. 155 Dongsixidajie, Dongcheng District, Beijing, China.100710.

Telephone: 86-10-64091308
Fax: 86-10-64033087

Contact for CAAC Chinese Airworthiness Directives (CAD):

For information on existence or applicability of any CAD, please consult the Director, Airworthiness Inspection Division of CAAC-AAD or by e-mail: shs_ad@caac.gov. Cn.

CAAC Regional Administrations

CAAC North China Regional Administration

Director, Airworthiness Certification Division
No. 10 Shoudujichanglu, Chaoyang District, Beijing, China, 100621

Telephone: 86-10-64590381
Fax: 86-10-64596413

CAAC East China Regional Administration

Director, Airworthiness Certification Division
No. 300 Yingbinerlu, Changning District, Shanghai, China, 200335

Telephone: 86-21-22326122
Fax: 86-21-62681749

CAAC Central-South Regional Administration

Director, Airworthiness Certification Division
No. 163 Yunxiaolu, Baiyun District, Guangzhou, Guangdong Province, China, 510405

Telephone: 86-20-86133331
Fax: 86-20-86304190

CAAC Northeast Regional Administration

Director, Airworthiness Certification Division
No. 3 Xiaoheyanlu, Dadong District, Shenyang, Liaoning Province, China, 110043

Telephone: 86-24-88299237
Fax: 86-24-88294012

CAAC Northwest Regional Administration

Director, Airworthiness Certification Division
No. 27 Taoyuannanlu, Lianhu District, Xian, Shaanxi Province, China, 710082

Telephone: 86-29-88793023
Fax: 86-29-88793018

CAAC Southwest Regional Administration

Director, Airworthiness Certification Division
No. 8 Yunlinglu, Shengli Town, Shuangliu County, Chengdu, Sichuan Province, China, 610200

Telephone: 86-28-85710145
Fax: 86-28-85710155

CAAC Xinjiang Administration

Director, Airworthiness Division
No. 46 Yingbinlu, Xinshi District, Urumchi, Xinjiang Province, China, 830016

Telephone: 86-991-3802279
Fax: 86-991-3804024

Certification Centers

Shanghai Aircraft Airworthiness Certification Center

Director of Shanghai Aircraft Airworthiness Certification Center
No. 128 Konggangyilu, Shanghai, China, 200335

Telephone: 86-21-22326124
Fax: 86-21-22322252

Shenyang Aircraft Airworthiness Certification Center

Director of Shenyang Aircraft Airworthiness Certification Center
No. 3 Xiaoheyanlu, Dadong District, Shenyang, Liaoning Province, China, 110043

Telephone: 86-24-88299076
Fax: 86-24-88299189

Engine Airworthiness Certification Center

Director of Engine Airworthiness Certification Center
No. 3 Huajiadidonglu, Chaoyang District, Beijing, China, 100102

Telephone: 86-10-58172916
Fax: 86-10-58172974

Appendix 3  – List of Special Arrangements

None.

Annex A – Design Approval and Post Design Approval Activities

1. Definitions

For the purpose of this Annex, the following definitions apply in addition to those provided in the Chapter 1 of this BATA:

"Additional Technical Conditions (ATCs)" means  a requirement of the validating Authority that is in addition to the applicable airworthiness and environmental requirements of the certifying Authority or that may be prescribed: for airworthiness requirements, that provides a level of safety equivalent to that provided by the applicable airworthiness requirements of the validating Authority; for environmental requirements, that provides noise, fuel venting, and exhaust emission levels no greater than those provided by the applicable environmental requirements of the validating Authority.

"Approved Manuals" mean manuals, or sections of manuals, requiring approval by TCCA or CAAC. These include the approved sections of the Flight Manual, the airworthiness limitations section of the Instructions for Continued Airworthiness (ICA), the structural repair manual, the engine and propeller installation and operating manuals, and the certification maintenance requirements, where applicable.

"Certification Basis" consists of the applicable airworthiness and environmental requirements established by an Authority as the basis by which the type design of a civil aeronautical product, or a change to that type design is approved or accepted. The certification basis may also include Special Conditions-Airworthiness, Findings of Equivalent Level of Safety and Exemptions when determined by an Authority to apply to the type design.

"Critical Part" means a part identified as critical by the design approval holder or the certifying Authority for the civil aeronautical product. Typically, such components include parts for which a replacement time, inspection interval, or related procedure is specified in the airworthiness limitations section or certification maintenance requirements of the Instructions for Continued Airworthiness. Specific definitions for critical parts are found within the applicable airworthiness requirements.

"Exemption" means a grant of permission to allow a non-compliance with a specific requirement when processed through the appropriate regulatory procedure by TCCA or the CAAC, where found to have compensating factors that provide for equivalent level of safety and where it is in the public interest.

"Finding" means the result of a review, investigation, inspection, test, analysis, etc., to determine compliance of a design with its certification basis.

"Finding of Equivalent Level of Safety" means a finding where literal compliance with a specific airworthiness requirement cannot be demonstrated but compensating factors exist in the type design that can be shown to provide a level of safety equivalent to that intended by the applicable airworthiness requirements.

"Instructions for Continued Airworthiness (ICA)" means a set of descriptive data, maintenance planning and accomplishment instructions, developed by a design approval holder in accordance with the certification basis for the aeronautical product. The ICA provide air operators with the necessary information to develop their own maintenance program and also for approved maintenance organizations to establish the accomplishment instructions.

"Issue Paper" means a document representing an item that requires resolution prior to the issuance of the TCCA or CAAC design approval.

"Life-limited Part" means a part that, as a condition of the design approval, may not exceed a specified time, or number of operating cycles, in service.

"Major Change" means

  1. For TCCA, a change to the type design of an aeronautical product in respect of which a type certificate has been issued that has other than a negligible effect on the weight and centre-of-gravity limits, structural strength, performance, power plant operation, flight characteristics or other qualities affecting its airworthiness or environmental characteristics.[Ref: CAR 521.152]
  2. For CAAC, a change other than minor change.

"Minor Change" means

  1. For TCCA, a change to the type design of an aeronautical product other than a major change.[Ref: CAR 521.154]
  2. For CAAC, a change that has no appreciable effect on the weight and balance, structural strength, reliability, operational characteristics or other characteristics affecting the airworthiness or environmental characteristics of the product.

"Project Manager" means, as appropriate to each specific application, the person within the Authority in charge of the given certification project. For TCCA, this is either a project certification manager in the Project Management Division, National Aircraft Certification Branch, or a regional engineer within the Regional Aircraft Certification Office. For CAAC, this is an engineer from Aircraft Airworthiness Certification Department (AAD), from a regional administration, from a certification center, or from a CAAC-AAD authorized entity.

"Special Condition-Airworthiness" means a specific airworthiness standard issued by an Authority as part of the certification basis for a specific aeronautical product to address a novel or unusual design feature or characteristic that was not envisaged by the applicable standards of airworthiness.

2. Objectives

2.1 This Annex is intended to define the working procedures under the respective mandate of each Authority for the validation or acceptance of design approvals, design change approvals and the design data approvals used in support of repairs, and to address continued airworthiness activities. The following design approvals are intended to fall within the scope of this Annex:

  1. For TCCA, Type Certificates (TC), Supplemental Type Certificates (STC), Canadian Technical Standard Order (CAN-TSO) Design Approvals (formerly Appliance Type Certificates, AP-TC), Repair Design Approvals (RDA)(formerly Repair Design Certificates, RDC), and Part Design Approvals (PDA); and
  2. For CAAC, Type Certificates (TC), Type Design Approvals (TDA), Supplemental Type Certificates (STC), Modification Design Approvals (MDA), the design approval portion of Parts Manufacture Approvals (PMA), the design approval portion of Chinese Technical Standards Order Authorizations (CTSOA) and, for imported aeronautical products, Validation Type Certificates (VTC), Validation Supplemental Type Certificates (VSTC) and Validation Design Approvals (VDA).

    Note: The production approval portion of PMA and CTSOA is provided for in Annex B.

2.2 These working procedures are based on the mutual confidence between the Authorities on their technical competence, regulatory capabilities and compatibility of each other's certification and approval systems. These procedures establish the process for implementing the reciprocal acceptance or validation of each other's compliance determinations and approvals on civil aeronautical products.

2.3 The Authorities recognize that they have full powers over the certification and approval processes and compliance determinations within their respective jurisdictions. The procedures in this Annex are not intended to diminish the responsibilities of either Authority or their access to type design information, under their respective laws. Rather, each Authority has determined that its requirements, practices, procedures, and systems for the certification and/or approval of civil aeronautical products are sufficiently compatible to enable the validating Authority to rely on and accept, to the maximum extent practicable and in accordance with the procedures of this Annex, the compliance determination by the certifying Authority with the validating Authority's requirements.

2.4 The Authorities mutually recognize each other's systems of individual and organizational delegation and authorization as part of their overall systems for aircraft certification. Compliance determinations and approvals made in accordance with this Annex through these delegation and authorization systems will be given the same validity as those made directly by the Authority.

2.5 These working procedures are intended to minimize redundant inspections, tests, demonstrations, evaluations, and approvals associated with each of the above.

3. Validation by TCCA of CAAC Design Approval

TCCA has published Staff Instruction (SI) 511-004, "Type Certification of Foreign Aeronautical Products" and SI 513-003, "Acceptance and Approval of Foreign Design Changes" as guidance material with respect to foreign applicants seeking a Canadian design approval. Foreign applicants for TCCA design approvals are expected to make application to TCCA pursuant to Division XI to Part V, Subpart 21 of the Canadian Aviation Regulations (CAR 521), Approval of the Type Design or a Change to the Type Design of an Aeronautical Product. The principles and procedures of this Annex are intended to provide clarification in the TCCA application of the requirements for design approval validations supported by CAAC. Chinese applicants to TCCA, as holders of a CAAC design approval, may seek the corresponding TCCA design approval: Type Certificate (TC), Supplemental Type Certificate (STC), Canadian Technical Standard Order (CAN-TSO) design approval, Parts Design Approval (PDA) or Repair Design Approval (RDA). CAAC Type Design Approval (TDA) holders may apply for a TCCA TC. CAAC Modification Design Approval (MDA) holders may apply for a TCCA STC. CAAC Parts Manufacturer Approval (PMA) holders may apply for a TCCA PDA. Holders of CAAC STC/MDA approved for repair design may apply for a TCCA RDA.

Note: TCCA issues Canadian Technical Standard Order (CAN- TSO) design approvals under Division III of Subpart 521 of the CARs, to record the approval of the design of an appliance. The authority to produce the appliance requires that a manufacturer certificate be granted under Subpart 561 of the CARs.

  1. 3.1 Application. The Authorities understand that the Chinese applicant will submit an application for the issuance of a Canadian design approval to the CAAC certifying office. The CAAC certifying office is expected to ensure that the application meets the requirements set forth in Division XI-Foreign Aeronautical Products of CAR 521. The CAAC will forward, under cover of a transmittal letter, the application for the following design approvals to the TCCA office indicated in the table below:
    Design Approval TCCA Office

    Type Certificates (all products) and CAN-TSO design approvals for Auxiliary Power Units (APU)

    Director, National Aircraft Certification

    Supplemental Type Certificates, CAN-TSO design approvals (except for APU), Part Design Approvals, Repair Design Approvals

    Technical Team Lead, Engineering

    in the TCCA Region closest to the first Canadian customer.*

    Appendix 2 of this BATA contains a list of addresses for these TCCA offices.

    * Note: Canadian customer. Participation of TCCA in foreign design approval activities leading to the issuance of a TCCA design approval has usually occurred after the certifying Authority has issued its own design approval. The need to initiate TCCA's review and issuance has typically been triggered by evidence of a legitimate Canadian customer wishing to carry out delivery of a foreign product by a proposed delivery date. In the circumstances where first delivery of an aircraft may be to a Canadian customer immediately following the issuance of the certifying Authority's design approval, early TCCA involvement is warranted (in the case of a type certificate, preferably a minimum of one year prior to the certifying Authority's certificate issuance).

  2. 3.2 Level of Review, Fees and Associated Costs. TCCA will ensure that its Project Manager prepares and sends a letter to the applicant containing a declaration of the Level of Review chosen by TCCA, following coordination with CAAC, and what this means to the applicant in terms of TCCA involvement: whether the type design examination will be conducted through sending a team for an on-site visit and/or review of requested technical documentation, or whether the design approval will be issued or accepted solely on the basis of the CAAC's design approval with no review of technical data by TCCA. The letter will also provide an explanation as to the methodology used to establish the fees and other associated costs. The applicant is expected to pay for fees and any travel expenses, including overtime incurred by TCCA for its type design examination activities, as set out in Part I, Subpart 4 of the Canadian Aviation Regulations (CAR 104.03 and CAR 104.04), upon receipt of invoices from TCCA.

    Note: "Type Design Examination" means a process by which TCCA reviews the associated technical data for the purpose of gaining knowledge of the type design and to ensure that it complies with the Canadian airworthiness and environmental requirements.

  3. 3.3 Familiarization Briefing. The Authorities understand that an initial briefing by the applicant is required to obtain detailed information regarding the characteristics of the product, the certification basis applied by the CAAC and the proposed TCCA certification basis. The CAAC will be present/part of the applicant's initial briefing. One of the key purposes of this additional information is to determine whether an on-site review is required and if so, which technical disciplines will be involved. In addition, the initial briefing can also be used to specify what the applicant is required to make available to TCCA to allow its respective Engineering/Flight Test specialists and Standards staff to conduct their review. The Project Manager will ensure that the initial briefing is scheduled at a date suitable to all participants involved and that suitable representatives from the applicant and the CAAC are solicited. For simple projects or less complex products, the technical familiarization may be streamlined if mutually decided upon by both Authorities.
  4. 3.4 Post-Initial Briefing – Required Actions. TCCA will, post-meeting:
    1. Identify Action Items for TCCA, CAAC and applicant;
    2. Determine the future activities required in each specialty area, including deciding if familiarization flight test and/or one or more on-site visits are required;
    3. When one or more on-site visits are identified as necessary, develop a specific and detailed validation project work plan, coordinated with the CAAC and the applicant. Identify any technical documentation that TCCA requests to review prior to the on-site visit(s);
    4. Decide if an on-site visit is required and provide by letter to the applicant and the CAAC a list of documents for review by TCCA;
    5. Discuss proposed dates for any on-site visit(s); and
    6. Discussion of the overall validation project schedule.
  5. 3.5 Canadian Certification Basis
    1. The certification basis for the purpose of the validation of the CAAC design approval, and issuance of a TCCA validated design approval or acceptance of CAAC design approval, is the same as that of the CAAC design approval plus any Additional Technical Conditions (ATCs) notified. TCCA will notify in writing both the CAAC and the applicant of any Canadian ATCs necessary to provide an equivalent level of safety to what would have been required for a similar product designed and manufactured in Canada at the time application was first made to the CAAC.

      Notes:

      1. (A) The Canadian certification basis is determined pursuant to Part V, Subpart 21 of the Canadian Aviation Regulations, giving consideration to the applicable airworthiness and environmental requirements in effect at the time the initial application for design approval was made to the CAAC. The TCCA project manager will translate the CAAC airworthiness and environmental requirements of the CAAC Certification Basis into their AWM equivalents (as appropriate, see Note C)for purposes of expressing these on the Canadian design approval or its data sheet, and adding to these the applicable Canadian additional technical conditions that were in effect at the time of original application to the CAAC, coordinating this with the applicant and CAAC through a mutually decided upon method as appropriate to the project (e.g. G-01 issue paper).
      2. (B) The airworthiness requirements of Canada are set out in the Airworthiness Manual (AWM) Chapters 522 through 551. Chapters 523 through 535 are based on the U.S. Code of Federal Regulations, Title 14, parts 23 through 35. Chapters 522 and 523-VLA are based on EASA Certification Specification CS-22 and CS-VLA. The environmental requirements are set out of in Chapter 516, which incorporates by reference ICAO Annex 16. Chapter 537 specifies a list of adopted FAA TSOs and EASA ETSOs in addition to Canadian unique CAN-TSOs for which a CAN-TSO design approval may be granted. Chapter 551 contains design and installation standards for aircraft equipment.
      3. (C) Prior to the coming into force of the Canadian Aviation Regulations on 10 October 1996, the Engineering and Inspection Manual, published 15 April 1952 and as amended, specified the applicable airworthiness requirements as being those regulations or standards in force at the time of application for the type approval and issued by either the United States, Britain, or the International Civil Aviation Organization, together with any special Canadian requirements which had been promulgated.
    2. TCCA may specify, as part of its certification basis, any CAAC special conditions-airworthiness, exemptions or findings of equivalent level of safety as TCCA finds appropriate in order to minimize the reproduction of certification basis documentation specified by CAAC as the certifying Authority.
  6. 3.6 Canadian Certification Basis Related Materials. The Authorities understand that the Project Manager will identify and provide to the applicant and the CAAC all regulatory materials upon which the Canadian certification basis will be established, including all applicable Advisory Circulars (AC), Policy Letters (PL), and Staff Instructions (SI), together with a G-1 Issue Paper used to document and record the respective positions between TCCA and the applicant, with the concurrence of the CAAC, on the Canadian certification basis.
  7. 3.7 Confirmation Letter to CAAC and Applicant. Once the overall work plan is finalized, the Authorities understand that the Project Manager will inform the CAAC and the applicant of the overall work plan, post-design approval requirements and publication requirements.
  8. 3.8 Validation Exercise. The Authorities understand that it is acceptable for the applicant to directly use substantiating data accepted by CAAC for showing compliance with the provisions of the validation basis that are covered by the certification basis of CAAC, if the certification team agrees; TCCA will implement any required on-site visit in accordance with its validation project work plan, such as may be tailored to each validation project. TCCA will present to the CAAC the findings recorded during an on-site visit first and then to the applicant together with the CAAC during the formal debriefing. TCCA will leave draft copies with the applicant and the CAAC to facilitate resolution of non-compliant items to the satisfaction of TCCA before issuance of the required design approval.
  9. 3.9 Letter of Findings. Following the on-site visit(s), the Authorities understand that the Project Manager will prepare a Letter of Findings to be conveyed to the applicant and the CAAC, including a copy of any Issue Papers, list of closed and outstanding action items, and other necessary documents to define the remaining work and documentation necessary to enable the issuance by TCCA of the design approval.
  10. 3.10 Design Approval Issuance. The Authorities understand that, upon satisfactory completion of all activities necessary to enable the issuance of a design approval under Part V, Subpart 21 of the Canadian Aviation Regulations, the Project Manager will transmit, under cover of a transmittal letter, the original copy of the TCCA-issued design approval document to the applicant, with a copy sent to the CAAC.
  11. 3.11 Related Airworthiness Activities. The Authorities understand that TCCA certification of the type design may not be adequate for the operations of a Canadian registered aircraft. Each aircraft is required to have a flight authority (certificate of airworthiness) and possible commercial aircraft operational authority. The granting of these authorities may in turn require further type design approval activities. In order to conduct these activities in an efficient manner, it is TCCA policy to carry them out as part of the validation process whenever the applicant has requested that the type design be reviewed against the relevant airworthiness standards to obtain these authorities.
  12. 3.12 The Authorities understand that the TCCA requirements for aircraft airworthiness and emissions certification are contained in Part V of the Canadian Aviation Regulations (CAR). The aircraft identification requirements are in Part II of the CAR. The standards related to each CAR are incorporated by reference, specifying the corresponding CAR Standard or Airworthiness Manual (AWM) Chapter. Advisory material is contained in TCCA Advisory Circulars. These documents are available through the TCCA Online Reference Centre website at: http://www.tc.gc.ca/eng/civilaviation/opssvs/managementservices-referencecentre-menu-113.htm.

4. Validation by CAAC of TCCA Design Approvals

The CAAC Aircraft Airworthiness Certification Department (hereinafter "CAAC-AAD") has issued Airworthiness Procedures AP- 21-01, "Validation Procedures for Import Civil Aviation Products and Parts", providing guidance material for the subject CAAC validation process, pursuant to Chinese Civil Aviation Regulations (CCAR), Part 21, Certification Procedures for Civil Aviation Products and Parts. The principles and procedures of this Annex are intended to provide clarification procedures in the CAAC application of AP-21-01 for design approval validations supported by TCCA. Canadian applicants to CAAC, as holders of a TCCA design approval, may seek the corresponding CAAC design approval: a Validation Type Certificate (VTC), Validation Supplemental Type Certificate (VSTC), or Validation of Design Approval (VDA) in respect of TCCA CAN-TSO design approval. TCCA PDA holders may apply to CAAC for a VDA. TCCA Repair Design Approvals holders may apply to CAAC for a VSTC.

Notes:

  1. (A) Prior to 1 December 2009, TCCA approved the design of an appliance through the issuance of an appliance type certificate (AP-TC) where the certification basis was based on adopted FAA Technical Standard Orders (TSO) or standards defined through the issuance of a Special Condition-Airworthiness. The authority to manufacture the appliance requires that a manufacturer certificate be granted under Subpart 561 of the CARs. These AP-TCs do not confer installation approval. AP-TC's may be validated by the CAAC using procedures leading to the issuance of a VDA.
  2. (B) CAN-TSO and PDA are design approvals only. The authority to manufacture the associated appliance or part requires that a manufacturer certificate be granted under Subpart 561 of the CARs.
  1. 4.1 Application. The Authorities understand that the Canadian applicant will submit an application for the issuance of a Chinese design approval to the TCCA certifying office. The TCCA certifying office is expected to ensure that the application meets the requirements set forth in CCAR-21 and AP-21-01. TCCA will forward, under cover of a transmittal letter, the application for the following design approvals to the CAAC office indicated in the table below:
    Design Approval CAAC Office

    Design Approvals for aircraft, parts and appliances (except APU)

    Director, Aircraft Certification Division, CAAC-AAD

    Design Approvals for engines, propellers and APUs.

    Director, Engine and Propeller Certification Division, CAAC-AAD

    Appendix 2 of this BATA contains a list of addresses for these CAAC offices.

    Notes:

    1. (A) Chinese customer. Participation of CAAC in foreign design approval activities leading to the issuance of a CAAC design approval has usually occurred after the certifying Authority has issued its own design approval. The need to initiate CAAC's review and issuance has typically been triggered by evidence of a legitimate Chinese customer wishing to carry out delivery of a foreign product by a proposed delivery date. In order to avoid delaying the aircraft delivery, the applicant is expected to submit the application to CAAC as early as possible. In the circumstances where first delivery of an aircraft may be to a Chinese customer immediately following the issuance of the certifying Authority's design approval, early CAAC involvement is warranted (in the case of a Validation Type Certificate, preferably a minimum of one year prior to the certifying Authority 's certificate issuance).
    2. (B) The Authorities understand that a VTC application for engine or propeller is expected to be submitted to CAAC no later than the date when the VTC application for the aircraft on which the engine or propeller installed is submitted.
    3. (C) CAAC may request the applicant to arrange an initial familiarization meeting, when CAAC finds it necessary. Although not a frequent requirement for validation projects, the purpose of the initial familiarization meeting would be to enable the CAAC to ascertain information about the project such as to determine whether CAAC may accept the application. TCCA will be present/part of the initial familiarization meeting.
  1. 4.2 CAAC Acceptance or Refusal of Application. The CAAC will notify the applicant of the acceptance (using notification form AAC-013) or refusal of the application, stating the reason(s) for any refusal. Upon acceptance of the application, the CAAC-AAD will nominate a Project Manager and a Certification Team that will be in charge of the project, informing TCCA and the applicant of the assignment. The Authorities understand that the applicant will complete the formalities as described on the notification form after receiving it from the CAAC, and discuss with the CAAC a time schedule for any required on-site validation activities.
  2. 4.3 Validation Activities. The Authorities understand that the following are the key points and general methodologies of the validation process, but the certification team can make the necessary adjustment according to the product characteristics. For simple projects or less complex products, the process may be streamlined if jointly decided upon by both Authorities. Before the validation activities are implemented, the applicant is expected to contrast the applicable airworthiness requirements and environmental requirements of CCARs in effect at the date when the application was first made to TCCA with the TCCA certification basis and evaluate the compliance status with the differences.
    1. Where one or more on-site visits are identified as necessary, CAAC will develop a specific and detailed on-site visit schedule, coordinated with TCCA and the applicant.
    2. Familiarization Briefing. The Authorities understand that in order to obtain detailed information regarding the characteristics of the project, the certification team may require the applicant to arrange a familiarization briefing, and if necessary a familiarization flight test. TCCA will be present/part of the applicant's familiarization briefing. The familiarization briefing normally includes:
      1. Product design and any unique or novel design features, including any design changes up to the time of application for the validation;
      2. Certification basis established by TCCA, including related issue papers on special conditions, findings of equivalent level of safety and any exemptions, etc.;
      3. Relevant service experience, corrective measures to preclude occurrence of incidents or accidents, and mandatory airworthiness actions (e.g. Airworthiness Directives);
      4. General introduction to the Compliance Check List with the TCCA certification basis;
      5. Contrasting result as required above of the differences between the TCCA certification basis and the applicable airworthiness and environmental requirements of the CCARs, and the evaluation of compliance with the differences;
      6. Any other matters deemed necessary by the certification team and/or the applicant.
    3. Technical Briefing. The Authorities understand that in order for CAAC to understand the product's compliance to TCCA's certification basis and to establish the ATC, the certification team may require the applicant to arrange a technical briefing and make available the related data. Sometimes, the technical briefing is part of an on-site visit, while in other cases the CAAC will invite the applicant to China to have the meeting, or by any other format mutually agreed by all parties. TCCA will be present/part of the applicant's technical briefing. The technical briefing may include detailed review of the type design of the product, a detailed description of the means and methods of compliance with the certification basis of TCCA, and the results of the applicant's evaluation of the product's compliance status with any differences between the certification basis of TCCA and the applicable airworthiness requirements of CCARs.
       

      Note: For the most complex projects, the three formats of meeting (initial familiarization meeting, familiarization briefing, and technical briefing ) would all be used. However, for simple cases, these three formats would be combined into one or two.

    4. Validation Basis. The Authorities understand that the certification team will discuss with the applicant and establish the validation basis. The validation basis is expected to be established on the following principles:
      1. Certification basis as established by TCCA for the product type design and design changes;
      2. Additional Technical Conditions (ATC) prescribed by CAAC. Additional Technical conditions may include, but are not limited to:
        1. After contrasting the certification basis with applicable airworthiness requirements and environmental requirements of CCARs in effect at the date when the application was first made to TCCA, additional conditions based on differences in the airworthiness requirements, environmental requirements, applications, policies, and guidance materials between CAAC and TCCA. For a product with an initial domestic application date in Canada that preceded implementation of the related CCAR, the basic airworthiness standards are the appropriate equivalent foreign or international standards (i.e. U.S. Federal Aviation Regulations (FAR), Joint Airworthiness Requirements (JAR), or their predecessors, or of the International Civil Aviation Organization) and any Chinese ATCs that provide an equivalent level of safety to what would have been required for a similar product designed and manufactured in China at the time application was first made to TCCA;
        2. Special conditions for novel or unusual design features that are not covered by the certification basis of TCCA. The novel or unusual design features may include application of new technology, novel application of existing technology, and/or unconventional use of the product, etc.;
        3. Additional requirements based on an evaluation of findings of equivalent level of safety and exemptions granted by TCCA;
        4. Additional requirements based on mandatory airworthiness actions (e.g. Airworthiness Directives) deemed necessary for continued safe operation in China as a result of service history and actions taken by TCCA to correct unsafe conditions.
      3. CAAC will determine each requirement of additional technical conditions and its means of compliance by issue papers, and inform TCCA and the applicant.
      4. CAAC will document any anticipated exemptions or findings of equivalent level of safety in issue papers. Upon granting of the exemptions or the findings of equivalent level of safety, which, along with any operating limitations, are expected to become part of the validation basis;
      5. The certification team will inform TCCA of the validation basis and will request that TCCA make the findings of compliance with the ATC in the validation basis on behalf of CAAC, providing the corresponding statements of compliance to CAAC, except for any items retained by the CAAC.

        Notes:

        1. (A) The airworthiness requirements of China are set out in the Civil Aviation Regulations of China (CCAR) Parts 23 through 35. The environmental requirements are set out of CCAR Parts 34 and 36.
        2. (B) When establishing the validation basis and its means of compliance, ATC such as markings and placards in the Chinese language (reference CCAR-21, §§ 21.29(e)(1)-(3) and CAAC Management Document MD-AA-2013-003) and Chinese fuel specifications, with design impacts and with the necessity for continuing safe operation under particular circumstances in China should be considered.
    5. Key Aspects of the Substantiation Process. The Authorities understand that the applicant will be required to show to the satisfaction of the certification team that the product complies with each requirement of the validation basis in accordance with the means of compliance concurred by the certification team. All the substantiation activities will be recorded in the Compliance Check List.
      1. The Authorities understand that it is acceptable for the applicant to directly use substantiating data accepted by TCCA for showing compliance with the provisions of the validation basis that are covered by the certification basis of TCCA, if the certification team agrees;
      2. The Authorities understand that, for each ATC, the applicant is expected to show compliance with the ATC to TCCA and, in line with the provisions of 5.1(a) of this Annex, TCCA will find compliance if requested by CAAC on its behalf, then to be validated by the certification team. The applicant is expected to record the compliance status with the ATC and incorporate the related design changes for complying with the ATC to the type design, and record the compliance status in the Compliance Check List.
      3. The Authorities understand that, for a certain validation requirement and their means of compliance, the applicant's and the certification team's positions may be presented in issue papers, documenting the respective positions and the eventual concurrence between CAAC and the applicant, supported by TCCA.
      4. The Authorities understand that, the complete validation Compliance Check List is expected to be submitted by the applicant to the certification team.
    6. Flight test. The Authorities understand that the applicant will provide the CAAC with the opportunity for assessment/verification flights when the certification team finds it necessary.
  3. 4.4 Issuance of Design Approval Validation. Upon satisfactory completion of the validation process under the Civil Aviation Regulation of China, Part 21, TCCA will provide a formal statement of compliance to CAAC. The CAAC Project Manager will send the original of the CAAC-issued design approval document to the applicant, with a copy of the correspondence to TCCA.
  4. 4.5 Related Airworthiness Activities. The Authorities understand that the CAAC certification of the type design may not be adequate for the operations of a Chinese registered aircraft. Each aircraft is required to have a certificate of airworthiness and possibly a commercial aircraft operational authority. The granting of these authorities may in turn require further type design approval activities. In order to conduct these activities in an efficient manner, it is CAAC policy to carry them out as part of the type certification process whenever the applicant has requested that the type design be reviewed against the relevant airworthiness standards to obtain these authorities.
  5. 4.6 The CAAC regulations, airworthiness procedures and advisory circulars maybe found on the CAAC website at: http://www.Caac.gov.Cn/en/SY/.

5. Common Validation Principles

  1. 5.0 General. The Authorities understand that this BATA is based upon the determination of sufficiently similar aircraft certification systems between TCCA and CAAC being in place at the time of signing of this BATA. Therefore, it is unnecessary to do a review of the certifying Authority's regulatory system, standards and processes as part of a validation activities, unless there are significant changes within the regulatory system not yet reviewed.
  2. 5.1 Findings of Compliance
    1. The validating Authority will normally elect to recognize or accept findings of compliance by the certifying Authority. However, findings of compliance may be retained by the validating Authority where it is not possible to recognize or accept the certifying Authority findings, such as where the certifying Authority has not acquired sufficient understanding to make a finding of compliance on behalf of the validating Authority.
    2. For any findings of compliance retained by the validating Authority, the validating Authority may nevertheless request assistance from the other Authority in making those findings of compliance.
    3. Authority Cooperation. Since the certifying Authority needs to understand the validating Authority's position on all the items for which the certifying Authority will be making determinations of compliance, the validating Authority will include the certifying Authority throughout the validation program. The validating Authority will normally seek the certifying Authority's opinions before significant issues are resolved and, accordingly, may postpone a meeting with the applicant to discuss and resolve technical issues until the certifying Authority is adequately represented. Similarly, correspondence will be answered through, coordinated with, or copied to the certifying Authority. Close cooperation between the Authorities is necessary to provide for effective management of the validation projects and for the effective utilization of resources. The certifying Authority will recommend issuance of a design approval to the validating Authority together with making statements of compliance to the validating Authority certification basis.
  3. 5.2 Issue Papers
    1. The validating Authority will keep issue papers to a minimum. However, the validating Authority will prepare issue papers which contain the certification basis and other unique validation requirements. The validating Authority may also prepare issue papers to address issues such as acceptable means of compliance, findings of equivalent level of safety, special conditions-airworthiness, and additional technical conditions. When the certifying and validating Authority's positions are equivalent, the certifying Authority's issue papers may be used directly by the validating Authority in lieu of an issue paper originated by the validating Authority.
    2. The Authorities understand that issue papers will be coordinated through the certifying Authority. Such coordination will expedite the timely and mutually acceptable resolution of certification issues. The validating Authority will incorporate the certifying Authority's and the applicant's position in all issue papers originated by the validating Authority.
  4. 5.3 Correspondence and Data Submittal. The Authorities understand that all correspondence and applicable data to be exchanged as part of a design approval validation activity will be done in the English language. Letters, data and documents may be exchanged in hard copy or electronic format, as mutually decided by the applicant, TCCA and CAAC on each project. The initial application and the issuance of a design approval will necessarily be done in hard copy.
  5. 5.4 The Authorities understand that the design approval holder is:
    1. the primary source for providing the technical support to either Authority for purposes of this Annex. When requested, either Authority may provide necessary assistance and support within its regulatory functions and resource capacity; and
    2. in charge of demonstrating compliance with each Authority's certification basis.
  6. 5.5 Replacement Parts
    1. A replacement part is a part intended to be installed in the place of a part specified in the type design of a civil aeronautical product:
      1. For TCCA, a replacement part design, for a part that is not a critical part or a life-limited part, is approved using a Part Design Approval (PDA); and

        Note: TCCA will approve non-original equipment critical parts or life-limited parts as a design change approval via an STC. Chinese applicants for TCCA validation of non-original equipment critical parts or life-limited parts may apply to TCCA for an STC.
      2. For CAAC, a replacement part design is approved using a Part Manufacture Approval (PMA).
    2. Marking Requirements. The identification and marking of replacement parts may differ between each Authority's requirements. This Annex provides that the Authorities accept each other's identification and marking requirements as being compliant with its own legal requirements provided such marking is accomplished in accordance with the regulations of the Authority granting the initial approval of the product. Therefore, no additional identification or marking requirements will be required by either Authority on a replacement part when recognizing and accepting the approval by the other.

      Notes:

        1. (A) CAAC PMA replacement parts will not be accepted for installation on Canadian-registered aircraft without first having been granted a TCCA PDA.
        2. (B) TCCA PDA replacement parts will not be accepted for installation on Chinese-registered aircraft without first having been granted a CAAC VDA.
        3. (C) PMA or PDA parts may in fact be "new" originally supplied OEM parts, if included in the type design definition of an aircraft, engine or propeller. In this case, the validation occurs with the original type design, not with the PMA/PDA holder individually.
        4. (D) PDA/PMA parts installed on complete aircraft for export do not require a validation of the PDA/PMA parts at time of importation.
  7. 5.6 Issuance of a Design Approval. The validating Authority will issue its own corresponding design approval once it has determined that the type design complies with the validating Authority's certification basis established under 3.5 or 4.3(d) of this Annex.
  8. 5.7 Approved Manuals. The certifying Authority, on behalf of the validating Authority, will approve the Approved Manuals and any subsequent changes, as part of the validation activities.
  9. 5.8 Communication
    1. Each Authority will assign, for each design approval project, a Project Manager to facilitate the implementation of this Annex. All routine communication related to the activities of this Annex will formally take place between these two project managers.
    2. The Authorities will communicate about the activities of this Annex in the English language.
    3. Unless mutually decided by the two project managers assigned in accordance with (a) above, otherwise the Authorities will copy each other on all correspondence between the applicant and the validating Authority related to the activities of this Annex in order for the certifying Authority to support the applicant and the validating Authority in the future.
  10. 5.9 Availability of Design Approval Information. The Authorities will require Chinese and Canadian design approval holders to hold relevant design approval information (type design data, drawings, processes, materials specifications, operations limitations, test plans, test analysis reports, approved manuals, accepted manuals, and service bulletins) and to make it available to their respective certifying Authority upon request. This information is available to the validating Authority from the design approval holders upon request to the holder via the certifying Authority.

6. Post Validation Activities

  1. 6.1 Design Change Approval
    1. The Authorities understand that design changes that result in the re-issuance of a design approval, which will constitute the basis for the re-issuance of the design approval or acceptance of the other Authority's design approval under this Annex, will have to be validated by the other Authority by applying a validation procedure similar to that described in chapters 3. And 4.of this Annex.
    2. The certifying Authority will notify the validating Authority of major changes to type design that are applicable to the validating Authority's approved type design configuration. The validating Authority will determine the extent of its technical review prior to acceptance of the certifying Authority's design change approval. Minor changes to type design and TSO articles done in accordance with procedures acceptable to the certifying Authority and in compliance with the validating Authority certification basis will be accepted by validating Authority.

7. Continued Airworthiness Support Activities

  1. 7.1 General. The Authorities will fulfill the applicable continuing airworthiness obligations assigned to ICAO Contracting States under Annex 8 to the Convention on International Civil Aviation. Under Annex 8, the State of Design is responsible for resolving in-service safety issues related to a civil aeronautical product's design or production. Under Annex 8, the functions of the State of Design, and where appropriate, State of Manufacture or State of Registry are to be carried out by the appropriate Authority. These procedures are intended to facilitate the fulfillment of those obligations and for the timely resolution of in-service safety issues arising on civil aeronautical products under their respective jurisdictions.
  2. 7.2 Continuing Airworthiness Obligations. Each Authority, upon request, will assist the other Authority in establishing procedures deemed necessary by the requesting Authority for maintaining the continuing airworthiness of the aeronautical product covered by any design approval subject of this BATA. The certifying Authority will support the continued operational safety of the exported aeronautical product. The validating Authority, upon issuance or acceptance of the design approval as validated, will support the certifying Authority to ensure continued airworthiness while operating on its registry.
  3. 7.3 Failure, Malfunction and Defect Reporting. The Authorities will provide each other with information on failures, malfunctions, defects and accidents encountered in service, when requested.
    1. The Authorities understand that the reporting of failures, malfunctions and defects to each other will be in respect of those failures, malfunctions and defects that have resulted in or may result in an unsafe condition.
    2. The Authorities agree to perform the following functions for those civil aeronautical products for which they are the State of Design:
      1. tracking of reports on failures, malfunctions and defects, other service difficulty reports, and accident/incidents;

        Note: Accidents and incidents are understood to be defined within the meaning of ICAO Annex 13 – Aircraft Accident and Incident Investigation.

      2. evaluating failures, malfunctions and defects, and the results and/or conclusions drawn from accident or incident investigations;
      3. investigating and resolving unsafe conditions;
      4. advising the validating Authority of known unsafe conditions and the necessary corrective actions (see 7.4 of this Annex);

        Notes:

        1. (A) In the case of TCCA, this information is provided through the Continuing Airworthiness Web Information System (CAWIS), which provides access to the Web Service Difficulty Reporting System (WSDRS) for reports of failures, malfunctions and defects, and to the Airworthiness Directives database. Both systems can be accessed at: http://wwwapps3.tc.gc.ca/Saf-Sec-Sur/2/CAWIS-SWIMN/
        2. (B) In the case of CAAC, this information is provided through the Domestic Aircraft Airworthiness Directives, which can be accessed at: http://caacaad.org.Cn/shzl/gchkq.htm.
      5. providing the validating Authority, upon request, with the following:
        1. reports of failures, malfunctions and defects;
        2. status of investigations into failures, malfunctions and defects and accidents/incidents; and
        3. copies of final reports reached in its investigation into failures, malfunctions and defects, if available.
      6. making a reasonable effort to resolve issues raised by the validating Authority concerning matters of safety for civil aeronautical products operated or used in its jurisdiction.
    3. The Authorities, when acting as validating Authorities, will perform the following functions:
      1. advise each other of failures, malfunctions and defects and accidents/incidents which are believed to be potentially unsafe conditions occurring on the civil aeronautical products which are imported from the other State;
      2. support the certifying Authority in investigations of unsafe conditions and their occurrences on the imported aircraft; and
      3. advise the certifying Authority, if as a result of investigations made by the validating Authority into failures, malfunctions and defects and accidents/incidents, it has determined that it will implement its own mandatory corrective action(s).
    4. Failure, malfunction and defect reports will be transmitted in the manner required by the State of Design, as follows:
      1. for TCCA, through the TCCA web-based Web Service Difficulty Reporting System, which will forward the failures, malfunctions and defects (known as Service Difficulty Reports) to the type certificate holder; and
      2. for CAAC, directly to the type certificate holder, who then will report to the CAAC per applicable CAAC procedures.
  4. 7.4 Notification of Unsafe Conditions. When the service experience in the importing State indicates the existence of an unsafe condition associated with the design, manufacture or operation/maintenance of an aeronautical product, such information is expected to be promptly notified by the validating Authority to the certifying Authority. When such information is provided, the certifying Authority will promptly analyze this information in coordination with the design approval holder and will notify the validating Authority of any action it deems necessary.
  5. 7.5 Unsafe Conditions and Mandatory Continuing Airworthiness Information
    1. The Authorities will perform the following activities for the civil aeronautical products for which they function as the State of Design:
      1. issue mandatory continuing airworthiness information (such as an airworthiness directive) whenever the Authority determines that an unsafe condition exists in a civil aeronautical product, or is likely to exist or develop in a product of the same type design. This may include a civil aeronautical product that has another product installed on it and the installation causes the unsafe condition. The contents of such a mandatory continuing airworthiness information should include, but are not limited to, the following:
        1. make, model, and serial numbers of affected civil aeronautical products;
        2. description of the unsafe condition, reasons for the mandatory action, and its impact on the overall aircraft and continued operation;
        3. description of the cause of the unsafe condition (e.g. stress corrosion, fatigue, design problem, quality control, suspected unapproved part);
        4. the means by which the unsafe condition was detected and, if resulting from in-service experience, the number of occurrences may be provided; and
        5. corrective actions and corresponding compliance times, with a list of the relevant manufacturer's service information including reference number, revision number and date.

          Note: TCCA does not necessarily automatically issue an airworthiness directive. It may allow the manufacturer to campaign the replacement of defective parts. Where that campaign is not successful, then TCCA will issue an airworthiness directive.

      2. issue a revised or superseding mandatory continuing airworthiness information whenever the certifying Authority finds any previously issued mandatory continuing airworthiness information was incomplete or inadequate to fully correct the unsafe condition;
      3. notify the validating Authority of the unsafe condition and the necessary corrective actions by transmitting by e-mail, or other mutually accepted means, a copy of the mandatory continuing airworthiness information at the time of publication;

        Note: The certifying Authorities are encouraged to provide to the other Authority an advance notice of the mandatory continuing airworthiness information.

      4. notify the validating Authority of any emergency airworthiness information;
      5. assist the validating Authority in defining the appropriate actions to take in the issuance of its own mandatory continuing airworthiness information; and
      6. provide the validating Authority with a summary index list of mandatory continuing airworthiness information issued by the State of Design for civil aeronautical products operated or used by the importing State.

        Notes:

        1. In the case of TCCA, this information is provided through the Continuing Airworthiness Web Information System (CAWIS), which provides access to the Web Service Difficulty Reporting System (WSDRS) for reports of failures, malfunctions and defects, and to the Airworthiness Directives database. Both systems can be accessed at: http://wwwapps3.tc.gc.ca/Saf-Sec-Sur/2/CAWIS-SWIMN/
        2. In the case of CAAC, this information is provided through the Domestic Aircraft Airworthiness Directives, which can be accessed at: http://caacaad.org.Cn/shzl/gchkq.htm.
    2. The Authorities may disagree as to the finding of an unsafe condition. If such a disagreement arises, the validating Authority will normally consult with the certifying Authority prior to issuing its own Airworthiness Directive. The certifying Authority will work with the design approval holder to provide sufficient information, e.g. service bulletins, to the validating Authority in a timely manner for its use in issuing this unilateral Airworthiness Directive.
    3. The validating Authority may issue its own mandatory continuing airworthiness information to address all unsafe conditions on affected products that have been certified, approved or otherwise accepted by the validating Authority. The Authorities will respond quickly when the State of Design issues mandatory continuing airworthiness information.
  6. 7.6 Alternative Means of Compliance (AMOC) to Mandatory Continuing Airworthiness Information
    1. The Authorities will consider an AMOC of general applicability that is issued by either Authority for its own State of Design civil aeronautical products as automatically accepted.
    2. The certifying Authority will, upon request, assist in determining the acceptability of a specific AMOC request submitted to the validating Authority on an Airworthiness Directive that has been issued by the State of Design for its own civil aeronautical products.

Annex B – Production Approval and Export Airworthiness Approval

1. Definitons

For the purpose of this Annex, the following definitions apply in addition to those provided in the Chapter 1 of this BATA:

"Manufacturer" means a person, including a corporation or other legal entity, who, by Canadian or Chinese regulation, is responsible for determining the civil aeronautical products produced under its production quality system conform to TCCA or CAAC approved design or established government or industry standard and are in a condition for safe operation.

"Licensing Agreement" means a commercial agreement between the holder of a design approval and the holder of a production approval (or applicant) formalizing the rights and duties of both parties to use the design data for the purpose of manufacturing the aeronautical product.

"Production Certificate Extension" means an extension by TCCA or CAAC of a Production Certificate to a facility located in another country.

"Supplier" means a person, including a corporation or other legal entity, at any tier in the supply chain who provides an aeronautical product or service that is used or consumed in the design or manufacture of, or installed on, an aeronautical product.

2. Objectives

  1. 2.1 This Annex is intended to define the working procedures under the respective mandate of each Authority for the acceptance of each other's production approval and export airworthiness approval.
  2. 2.2 All products manufactured and exported under this BATA shall be produced in accordance with an approved production quality system, which assures conformity to the type design approved by the Importing Authority and ensures that completed products are in a condition for safe operation. Therefore, a separate approval of the manufacturer's production quality system by the Importing Authority is not required, however the Importing Authority may request, on an initial and recurrent basis, to become familiar with the manufacturer's production quality system.

3. Production Approval

  1. 3.1 TCCA Production Approval
    1. All new civil aeronautical products exported to China under the provisions of this BATA are expected to be produced in accordance with a TCCA CAR 561 production approval.
    2. TCCA production approval is identified by the issuance of a Manufacturer Certificate that contains an approval number and approved limitation record.
  2. 3.2 CAAC Production Approval
    1. All new civil aeronautical products exported to Canada under the provisions of this BATA are expected to be produced in accordance with a CCAR-21 production approval.
    2. CAAC production approval is identified by the issuance of a
      1. Production Certificate that contains a PC number and an approved production limitation record; or
      2. production approval portion of PMA or;
      3. production approval portion of CTSO Authorization.
  3. 3.3 Extensions of Production Approvals
    1. As the Authority of the State of Manufacture, the Authorities may authorize production approval extensions. This includes manufacturing sites and facilities in each other's countries or in a third country. The Authority of the State of Manufacture remains in charge of the surveillance and oversight of these manufacturing sites and facilities.
    2. TCCA will be in charge of the surveillance and oversight of TCCA production approval holders with a facility located in China. Surveillance and oversight may be performed by the CAAC on behalf of TCCA through technical assistance between Authorities. The CAAC will be in charge of surveillance and oversight of CAAC production approval holders with a facility located in Canada. Surveillance and oversight may be performed by the TCCA on behalf of the CAAC through technical assistance between Authorities. The Authorities will define such technical assistance in a Special Arrangement.
  4. 3.4 Split State of Design and State of Manufacture
    1. For split State of Design and State of Manufacture projects between Canada and China, a Special Arrangement is required to delineate State of Design and State of Manufacture roles between the Authorities.
    2. For split State of Design and State of Manufacture projects, for which a third country is the State of Design, TCCA or CAAC, as the Importing Authority, will accept new aeronautical products in accordance with the provisions of this arrangement. If the third country is the State of Manufacture, TCCA or CAAC, as the Importing Authority, will conclude an arrangement with that third country in order to accept the certification for that product.

      Note: For the above mentioned situations listed in section 3.4, a Licensing Agreement is needed between the design approval holder and the production applicant/approval holder.

  5. 3.5 Supplier Surveillance Outside the Exporting Country
    1. TCCA will be in charge of surveillance and oversight of TCCA production approval holders' suppliers located in China. Surveillance and oversight may be performed by the CAAC on behalf of TCCA through technical assistance between Authorities.
    2. CAAC will be in charge of surveillance and oversight of CAAC production approval holders' suppliers located in the Canada. Surveillance and oversight may be performed by the TCCA on behalf of the CAAC through technical assistance between Authorities.
    3. The Authorities will identify technical assistance in a Special Arrangement.

4. Export Airworthiness Approval

  1. 4.1 This Section addresses the procedures by which a civil aeronautical product being exported from Canada or China to the other country will be accepted on the basis of an export airworthiness approval issued by the Exporting Country. The Importing Authority will recognize and accept the export airworthiness approval of the Exporting Authority when issued in accordance with this BATA.
  2. 4.2 For civil aeronautical products exported from Canada or China, the following export airworthiness approvals are recognized and accepted as follows:
    1. for complete aircraft only, an Export Airworthiness Certificate, TCCA Form 21-0049 or CAAC Form AAC-157; and
    2. for aircraft engines, propellers, appliances, and parts other than Standard Parts, an authorized release certificate, TCCA Form One or CAAC AAC-038.
  3. 4.3 Export of New Aircraft.
    1.  The Exporting Authority will certify that a new aircraft being exported to Canada or China:
      1. conforms to the type design approved by the Importing Authority, as specified in the Importing Authority's type certificate data sheet and any additional modifications approved by the Importing Authority;
      2. is in a condition for safe operation; and
      3. complies with the applicable airworthiness directives and additional import requirements of the Importing Authority, where notified.
    2. The Exporting Authority will provide a statement or declaration on the Export Airworthiness Certificate of its certification in respect of 4.3(a) above, and will include the identification of any exception from the identified approved type design of the Importing Authority. The Authorities will coordinate the exception from the identified type design in accordance with 4.6 below;
    3. The Exporting Authority will provide information on the acoustical configuration of the new aircraft and its noise and emission characteristics necessary for the Importing Authority to establish compliance with its environmental requirements and to complete the certificate of noise compliance or equivalent record.
  4. 4.4 Export of New Aircraft Engines, Propellers, Appliances and Parts
    1. A new aircraft engine, propeller, appliance, and any part being exported to Canada or to China will be certified by the Exporting Authority that it:
      1. conforms to the applicable approved design data; and
      2. is in a condition for safe operation.
  5. 4.5 Export of Used Aircraft
    1. A used aircraft under the jurisdiction of Canada or China may be exported to the other only when the used aircraft, regardless of State of Design, has a design approval granted by the Importing Authority, including major design change and major repair design approvals.

      Note: The TCCA will allow importation while design changes, including repair designs, are being validated. However, the aircraft may not be eligible for a certificate of airworthiness until it conforms to a Canadian approved type design.
    2. The Exporting Authority will certify that a used aircraft eligible under 4.5(a) above being exported to Canada or to China:
      1. conforms to the type design approved by the Exporting Authority, as specified in the Exporting Authority's type certificate data sheet and any additional STCs approved or accepted by the Exporting Authority;
      2. is in a condition for safe operation;
      3. is maintained using approved procedures and methods (evidenced by logbooks and maintenance records); and
      4. complies with the applicable airworthiness directives and additional import requirements of the Importing Authority, where notified.
    3. Any exception from the identified approved type design of the Importing Authority will be coordinated in accordance with 4.6 below.
    4. In the case of 4.5(b)(iii) above, the Importing Authority may require inspection and maintenance records, which include but are not limited to:
      1. the original or certified true copy of the Export Certificate of Airworthiness, or equivalent, issued by the Exporting Authority;
      2. records, which verify that all overhauls, major changes, and major repairs were accomplished in accordance with data approved in accordance with Annex A of this BATA;
      3. maintenance records and logbook entries which substantiate that the used aircraft is properly maintained by fulfilling the requirements of an approved maintenance program by an authorized person or organization; and
      4. where major design changes or STCs are embodied in a used aircraft, all necessary data for subsequent maintenance should be provided, such as the data describing the installation, the materials and parts used, wiring diagrams for installation on avionic and electrical systems, drawings or floor plans for installations in the cabin, fuel or hydraulic systems, structural changes.
    5. In the case where Canada or China is the State of Design of the used aircraft, and such aircraft is being imported from a third country, the Authorities will, upon request, assist each other to the extent possible in obtaining information regarding the configuration of the aircraft at the time it left the manufacturer. The Authorities will assist each other in obtaining information regarding subsequent installations on the used aircraft that have been approved by the State of Design.
  6. 4.6 Coordination of Exceptions on Export Certificate of Airworthiness
    1. Where the Exporting Authority identifies a non-compliance to the approved type design of the Importing Authority and intends to identify these as exceptions to its export certification, the Exporting Authority will, prior to issuing its Export Certificate of Airworthiness, notify the Importing Authority of such non-compliance. This notification by the Exporting Authority is expected to help to resolve all issues concerning the aircraft's eligibility for an airworthiness certificate. This notification is expected to be sent to the appropriate office of TCCA or CAAC.
    2. In all cases, the Importing Authority will provide a written confirmation of its acceptance of the noncompliance notified under 4.6(a) before the Exporting Authority issues its Export Certificate of Airworthiness.
  7. 4.7 Identification and Marking Requirements. Under this BATA, the Authorities mutually recognize and accept each other's identification and marking of civil aeronautical products as being compliant with their own legal requirements, when such identification and marking are accomplished in accordance with the regulations of the Exporting Authority.
  8. 4.8 Additional Requirements for Import. The Importing Authority may have additional requirements, which will be complied with in order to import the civil aeronautical product being imported. The following are required, but not limited to those in (a), (b) and (c) below.
    1. Instructions for Continued Airworthiness (ICA). Instructions for continued airworthiness (lCA) will be provided by the TC or STC holder.
    2. Aircraft Flight Manual, Operating Placards and Markings, Weight and Balance Report, and Equipment List. The Authorities understand that an approved Aircraft Flight Manual, including all applicable supplements, accompanies each aircraft and that the aircraft has the appropriate operating placards and markings, a current weight and balance report, and a list of installed equipment
    3. Logbooks and Maintenance Records. The Authorities understand that logbooks and maintenance records accompany each aircraft (including the aircraft engine, propeller, rotor, or appliance).
Date modified: