Generic arrangement - Joint Aviation Authorities
Generic arrangement on certification under Joint Aviation Requirements (JAR)-21 Subpart N between Transport Canada, Civil Aviation Directorate (TCCA) and the [National Aviation Authority] (NAA) of [NAA country]
CHANGES TO TYPE CERTIFICATES
(TCCA/JAA POST-TYPE VALIDATION PRINCIPLES)
This document addresses the principles to be applied during the post-type validation phase of validation programmes, and is supplementary to procedures defining the internal functioning of the Authorities.
The principles assume that a list of Validation Items will have been agreed between the Certificating and Validating Authorities for each programme.
1.1.1 The scope of this document is limited to:
Post-type validation activities undertaken by the Type Certificate Holder only. It is not intended to address any activities undertaken by any person other than the Type Certificate Holder.
The validation ofcivil aircraft, aircraft engines and propellers.
1.1.2 For the purposes of this document, post-type validation activities are:
Approval of changes to the approved type design (including revision of manuals) not requiring a new or amended Type Certificate.
Approval of airworthiness data included in service information.
Continued airworthiness activities including the issue of Airworthiness Directives.
Approval of repair data.
1.2.1 The Validating Authority is responsible for the safety of any aircraft on its national register. With regard to post-type validation activities, it has the right to seek information to understand and agree on findings of compliance made by the Certificating Authority to all Validating Authority requirements and on any mandatory corrective action or any significant on-going continued airworthiness topic and its means of resolution, necessary to ensure acceptable continued airworthiness of aircraft registered in the country of the Validating Authority and products fitted to any such aircraft.
1.2.2 In discharging its responsibilities the Validating Authority should seek to rely to the maximum extent possible on the findings made and actions taken by the Certificating Authority. With respect to the determination of compliance it is expected that the Validating Authority will rarely become involved in areas outside the listed Validation Items and then only where this can be technically explained.
1.2.3 The Validating Authority's involvement will be limited to activities affecting aircraft types registered, or due to be registered, in the country of the Validating Authority and other products imported or planned to be imported, except where the Type Certificate Holder requests a wider involvement and this is agreed by the Certificating and Validating Authorities.
1.2.4 When an activity is carried out by the CA on behalf of the VA, that activity may be carried out by the CA or under the legally constituted System of the CA.
1.2.5 It is expected that the Validating Authority will become involved with the Certificating Authority in the resolution of continued operational issues directly related to an accident or incident in the country of the Validating Authority. Again, the resolution of those issues should be delegated to the maximum extent possible to the Certificating Authority.
The following definitions are for the purposes of this document only:
1.3.1 Certificating Authority: The Airworthiness Authority of the state of the Type Certificate Holder.
JAA Note: Where the Certificating Authority is a member authority of JAA and the product was type certificated under JAA procedures, these JAA procedures will continue to be applied during the Post-TC phase. The application of JAA procedures does not dilute in any way the National and International responsibilities of the Certificating Authority.
1.3.2 Validating Authority: The TCCA for import into Canada or a member Authority of the Joint Aviation Authorities for import into one of the states of JAA member Authorities.
JAA Note: Where the Validating Authority is a member Authority of the Joint Aviation Authorities and the original validation of the type certification was carried out under JAA procedures, these JAA procedures will continue to be applied during the Post-TC phase, including reliance by the Validating Authority on the JAA Team for recommendations of approval against the JAA certification basis for design changes (including flight manual revisions) and repairs and for monitoring continued airworthiness and resultant corrective actions.
2.1 To ensure that the Validating Authority is provided with opportunities for involvement in the continued airworthiness of the product, where appropriate.
2.2 To ensure that the type design, as amended by post-type certification design changes and repairs, continues to comply with the certification basis of the Validating Authority and that this is documented to an acceptable standard.
2.3 To achieve these objectives through the use of efficient and practical processes.
3. Continued Airworthiness
Nothing in the procedures below shall compromise the Certificating or Validating Authority obligations under ICAO Annex 8.
3.1 The Certificating Authority will monitor the continued airworthiness of the world type certificated fleet and will keep the Validating Authority informed of all mandatory corrective actions, including those resulting from reports under CAR 591 &JAR 21.3 relating to aircraft types registered in the country of the Validating Authority and products fitted to any such aircraft.
3.2 The Certificating Authority and Type Certificate Holder will support the Validating Authority in investigating significant continued airworthiness issues relevant to products used and aircraft registered in the country of the Validating Authority or products fitted to any such aircraft.
3.3 The Certificating Authority is responsible for issuing Airworthiness Directives where necessary and will inform the Validating Authority immediately of the issue of any such Directives or other mandatory Authority actions to facilitate their adoption by the Validating Authority where appropriate.
3.4 Any activity by the Validating Authority in relation to continued airworthiness, including any proposal to vary Airworthiness Directives issued by the Certificating Authority or to issue additional Airworthiness Directives, will be decided by the Validating Authority on the basis of discussions with the Certificating Authority and the Type Certificate Holder and a review of the actions taken and proposed by these entities.
4. Type Design Change Approval Process
(Including Revisions to Approved Manuals)
4.1 Changes to the type design covered by these procedures include those necessary for customer unique design features, product improvements and any other design changes, including revisions to approved manuals, made by the Type Certificate Holder, for whatever reason.
4.2 Where design changes are declared by the Type Certificate Holder they will be defined relative to the current definition of the approved type design as validated by the Validating Authority.
4.3 Design changes will be classified by the Type Certificate Holder as either Major or Minor in accordance with the criteria and procedures of the Certificating Authority and these classifications will be accepted by the Validating Authority without further investigation.
Note: For legal reasons, some Importing Authorities require a separate formal application for approval of major design changes.
4.4 Design changes classified as Major will be further categorised by the Type Certificate Holder as Level 1 Major or Level 2 Major as defined below.
4.5 Level 1 Major design changes are any of the below:
4.5.1 Design changes having an effect on the certification basis or involving new interpretations of the requirements, new special conditions, new equivalent safety findings or novel methods of compliance.
Note: A method of compliance would be considered to be 'novel' if it had not been applied previously in a similar context by both the TCCA and the JAA.
4.5.2 Design changes involving a Validation Item and involving the use of a method of compliance different from those agreed by the Certificating and Validating Authorities for use in the basic certification/validation.
4.5.3 Design changes involving a Validation Item for which the Validating Authority has retained the compliance determination during the Type Validation programme.
4.5.4 Design changes involving Approved Manual revisions covering:
Initial issues of new manuals, appendices or supplements.
Introduction of configurations not previously approved by the Validating Authority.
Existing differences between Certificating and Validating Authority approved manual content.
4.5.5 Any other design changes categorised as Level 1 Major by the Certificating Authority or the Type Certificate Holder.
4.6 Level 2 Major design changes are all other major design changes not categorised as Level 1 Major.
4.7 Design changes classified as Minor or Level 2 Major (see 4.6) will be approved by the Certificating Authority in accordance with that Authority's normal procedures, against the certification bases of the Certificating and Validating Authorities. The Validating Authority will not receive notification of such changes, but all such changes will be included in the Type Certificate Holders Type Design definition which defines the Validating Authorities approved build standard.
4.8 The Validating Authority will receive notification of all Level 1 Major design changes, when that Authority's acceptance is requested, at the same time as the Certificating Authority and, will decide, in consultation with the Certificating Authority, the extent of any Validating Authority involvement. The Certificating Authority will determine compliance with the certification basis of the Validating Authority on behalf of that Authority for all Level 1 Major design changes.
The extent of any Validating Authority involvement will be discussed and decided between the Certificating and Validating Authorities in line with the principles stated in 1.2 above.
4.9 The Certificating Authority will provide the Validating Authority with a Statement of Compliance with the certification basis of the Validating Authority for all Major design changes approved on behalf of the Validating Authority. This may be achieved through the provision of individual statements for each design change or by providing collective statements for lists of approved changes (e.g. Revisions to a Type Design definition for the type as validated by the Validating Authority, see 4.10 below).
4.10 All major design changes approved by the Certificating Authority on behalf of the Validating Authority or approved by the Validating Authority on the basis of compliance findings made by the Certificating Authority will be recorded in the Type Design definition specifying the Validating Authority's current type design and provided to the Validating Authority.
4.11 This design change approval process is illustrated in this Appendix on page 8.
5. Approval of Service Information
5.1 Service information requiring approval will be approved by the Certificating Authority in accordance with that Authority's normal procedures.
5.2 Design changes contained in service information should be approved using the procedures in 4 above.
6. Master Minimum Equipment List and Maintenance Review Board
The Validating Authority will continue to be involved in the MMEL and MRB activities after type certification as determined by the applicable procedures.
7. Repair Data
The approval of repair data generated by the Type Certificate Holder will normally be made by the Certificating Authority (including finding of compliance with the Certification Basis of the Validating Authority) without involvement of the Validating Authority, except for repairs changing the current approved Type Design and involving Level 1 Major design changes.
8. Existing Post-Type Validation Programmes
Where a list of Validation Items was not defined in accordance with the TCCA/JAA Type Validation Principles document, the LOD/ATC concept should be used as an alternative to the Validation Items concept until such time as transition to the validation item principles concept is accomplished. From the list of LOD/ATC those items will be identified by the Validating Authority team and endorsed by the Validating Authority Management which are comparable in scope to the Validation Items.
Note: For the purposes of this document, LOD and ATC are defined :
List of Differences
The List of Differences (LOD) means the list of those conditions in the Validating Authority Certification Basis which are different from the Certificating Authority Certification Basis that are necessary to account for all the differences between the applicable certification regulations of the TCCA and JAA requirements, associated technical policy material and means of compliance.
Additional Technical Conditions
Additional Technical Differences (ATC) identify significant applicable regulatory differences between JAR and CAR/AWM. These include associated policies and means of compliance.
The criteria for significant are defined as :
- Significant impact on:
- Airworthiness level
- Operational Limitations
- Operating Characteristics
- Significant differences in means of compliance.
- Significant differences in means of compliance.
Design Change Approval Procedure
(Including Approval of Revisions to Approved Manuals)