Advisory Circular (AC) No. 400-001

Application Guidelines for an Aviation Document Booklet

Issuing Office: Standards
Document No.: AC 400-001
File Classification No.: Z 5000-34
Issue No.: 04
RDIMS No.: 8152249-V13
Effective Date: 2014-01-22

TABLE OF CONTENTS

1.0 INTRODUCTION

  • (1) This Advisory Circular (AC) is provided for information and guidance purposes. It may describe an example of an acceptable means of demonstrating compliance with regulations and standards.
  • (2) This AC on its own does not change, create, amend or permit deviations from regulatory requirements, nor does it establish minimum standards.

1.1 Purpose

  • (1) The purpose of this document is to provide guidelines to applicants for the Aviation Document Booklet (ADB) issued by Transport Canada Civil Aviation (TCCA) for permits and licences.
  • Note: Applicants under a suspension action, including Family Order and Agreements Enforcement Assistance Act (FOAEAA), will not be issued an Aviation Document Booklet.

1.2 Applicability

  • (1) This document applies to:
    • (a) Applicants for Canadian flight crew permits, licences or air traffic controller licences,
      • (i) Includes Federal Aviation Administration (FAA) certificates converted in accordance with the conversion agreement and Foreign International Civil Aviation Organization (ICAO) licence holders making use of "Credits" to obtain Canadian licences.
    • (b) Holders of Canadian Aviation Document Booklet for the purposes of renewal,
    • (c) Verifiers who attest to the applicant's identity, or
    • (d) TCCA Authorized Persons engaged in licensing activities.
    • Note: This AC does not apply to a holder of a Student Pilot Permit (SPP) or a person only holding a Canadian medical certificate.

1.3 Description of changes

  • (1) Replaces outdated guidelines to applicants for the Aviation Document Booklet.

2.0 REFERENCES AND REQUIREMENTS

2.1 Reference Documents

  • (1) The following reference materials can be used in conjunction with this document:
    • (a) Aeronautics Act (R.S., 1985, c. A-2);
    • (b) Transport Canada Form Number 26-0726 – Application for Aviation Document Booklet;
    • (c) Transport Canada Form Number 26-0738 – Application for Re-Issue of a Civil Aviation Licensing Document;
    • (d) Part IV, Subpart 1 of the Canadian Aviation Regulations (CARs) – Flight Crew Permits, Licences and Ratings;
    • (e) Standard 421 of the CARs – Flight Crew Permits, Licences and Ratings;
    • (f) Part IV, Subpart 2 of the CARs – Air Traffic Controller Licences and Ratings;
    • (g) Standard 422 of the CARs – Air Traffic Controller Licences and Ratings;
    • (h) Part I, Subpart 4 "Charges" – Schedule I of the CARs – General;
    • (i) Part I, Subpart 4 "Charges" – Schedule IV of the CARs – Personnel Licensing and Training.

2.2 Cancelled Documents

  • (1) As of the effective date of this document, the following document is cancelled:
    • (a) AC 400-001 Issue No. 3 – Aviation Document Booklet – dated 2008-12-31.
  • (2) By default, it is understood that the publication of a new issue of a document automatically renders any earlier issues of the same document null and void.

2.3 Definitions and Abbreviations

  • (1) The following definitions are used in this document:
    • (a) Aviation Document Booklet (ADB): means, a booklet similar to a Canadian passport issued by the Minister in which certain documents issued under Part IV of the CARs can be affixed. It is used for the purpose of holding permits, licences and medical certificates issued by TCCA.
    • (b) Aviation Document Booklet number: means, the 7 digit alphanumerical serial number that is given to each ADB for record keeping purposes, at the time of printing. The number is printed on the bottom of the last page of the ADB with a corresponding barcode. For security purposes, the same alphanumerical serial number is perforated on the top of each page of the ADB. The Booklet number is not the 5802 file number.
    • (c) Booklet Label: means a label that is intended to be affixed in an aviation document booklet.
    • (d) Official document number: means an alphanumerical serial number provided by the authority that issues the document. For example, a passport number issued by Passport Canada or a police officer's credential number issued by that police department.
  • (2) The following abbreviations are used in this document:
    • (a) ADB : Aviation Document Booklet;
    • (b) CARs : Canadian Aviation Regulations;
    • (c) LP: Language Proficiency;
    • (d) TCCA : Transport Canada Civil Aviation.

3.0 BACKGROUND

  • (1) Transport Canada Civil Aviation (TCCA) approved a new format to present permits and licences used by flight crew and air traffic controllers, based on a Canada Border Services Agency (CBSA) security risk analysis. A bilingual 24-page Aviation Document Booklet (ADB) holds all Canadian flight crew and air traffic controller licensing documents, providing evidence that the holder has qualified for certain aviation-related permits, licences, certificates and ratings. The ADB also includes the holder's photograph for positive authentication.
  • (2) The ADB, similar to the Canadian passport, complies with the CBSA security recommendations, International Civil Aviation Organization (ICAO) personnel licensing specifications (ICAO Annex 1) and ICAO standards for machine-readable travel documents (ICAO Doc 9303).
  • (3) The ADB has an expiry date to meet the photograph identity requirements suggested by the CBSA and allows for multiple renewals of permits, licences and medical certificates throughout its validity period. Adhesive labels that represent permits, licences and medical certificates, are issued to reflect changes in licensing or medical fitness status. Labels will only be considered valid Canadian aviation documents once they are permanently affixed into the appropriate ADB.
  • (4) All permits (with the exception of the Student Pilot Permit), licences and medical certificates shall be attached in the ADB to allow the holder to exercise those privileges.
  • (5) There is no cost for the issue of an ADB, including ADB renewal.
    • (a) If the ADB is lost, made illegible or damaged by the holder, other Licensing fees apply. (See sections below).
  • (6) For more information on the Aviation Document Booklet, please visit the following TCCA web page - http://www.tc.gc.ca/eng/civilaviation/standards/general-personnel-changes-3419.htm.

4.0 APPLICANT RESPONSIBILITIES

  • (1) When making an application for an ADB, the applicant is responsible to:
    • (a) meet the "Pre-requisites" and CARs requirements prior to making application,
    • (b) complete and sign Part A of the "Application for Aviation Document Booklet" form,
    • (c) provide a photograph of themselves,
    • (d) if required, provide proof of successfully being assessed for aviation language proficiency (language proficiency is not required for Permits),
    • (e) have their identity verified, and
    • (f) submit the application and photograph and supporting documentation to their TCCA regional licensing office.

5.0 PRE-REQUISITES

5.1 Applicant Pre-Requisites

  • (1) Applicants should ensure that the following "Pre-Requisites" are met before proceeding with the application:
    • (a) Applicants cannot be under a suspension or Family Order and Agreements Enforcement Assistance Act (FOAEAA) action;
    • (b) Applicants shall have met the CARs Standard requirements for the issue of a Canadian permit or licence;
    • (c) Applicants are required to follow the guidelines provided by TCCA on the application form and AC;
    • (d) Applicants wanting to renew an ADB should submit an application for an ADB within the 90 day period preceding the expiry date of the current ADB.
    • Note: A person only holding a Student Pilot Permit (SPP) or only holding a Canadian medical certificate, should not submit an application.

5.2 Verifier Pre-Requisites

  • (1) Verifiers should ensure that the following "Pre-Requisites" are met before completing the certification attesting to the identity of the applicant.
    • (a) Verifiers shall be a person other than the applicant.
    • (b) Verifiers shall meet the CARs Standard requirements to act as a verifier attesting to the applicant's identity. Subsection 421.06(3) of the CARs Standard - http://www.tc.gc.ca/eng/civilaviation/regserv/cars/part4-standards-421-1086.htm#421_06_3
    • (c) The following describes an acceptable means of demonstrating compliance with the existing CARs Standard. A verifier can be a person from the following list:
      • (i) A person who has a delegation of authority issued by the Minister of Transport in Canada to perform functions in support of civil aviation, such as an authorized person (AP) at a flight school or other commercial operator, a pilot examiner (PE), an authorized examination invigilator (AEI), a civil aviation medical examiner (CAME), an approved check pilot (ACP), among others,
      • (ii) A TCCA employee who has been assigned verifying duties by a manager,
      • (iii) A holder of a valid Canadian passport, a Canadian or British diplomatic or consular representative, or
      • (iv) A foreign person outside of Canada from the following list who is legitimately qualified in the country they reside in
        • (A) Aviation medical examiner or medical doctor,
        • (B) Dentist,
        • (C) Judge,
        • (D) Practicing lawyer,
        • (E) Magistrate,
        • (F) Mayor,
        • (G) Notary public,
        • (H) Police officer,
        • (I) Signing officer of a bank.
    • (d) Verifiers are required to follow the guidelines provided by Transport Canada on the application form and AC.

    6.0 APPLICANT COMPLETING THE APPLICATION FORM

    • (1) This section applies to applicants for an Aviation Document Booklet.
    • (2) A licensing fee is not required with this application.
    • (3) This section is not intended to be used to replace an ADB that has been lost, damaged, destroyed, rendered illegible or stolen. (See Re-Issue of ADB section below)
    • Note: Additional information to renew an ADB which is about to expire or has already expired, is provided below.

    6.1 Steps to Complete the Application Form

    Note: Applicants that only hold a Student Pilot Permit (SPP) should not apply for an ADB. In this case, in accordance with section 401.06 of the CARs, the application for an ADB is to be submitted along with the "Application of Flight Crew Permit/Licence.

    • (1) Step 1: Have a photograph of yourself taken by a commercial photographer:
      • (a) The photograph shall be taken within 12 months preceding the date of the ADB application:
      • (b) The photograph shall meet all the requirements set out by TCCA. Click here for access to the Photograph Requirements web page - http://www.tc.gc.ca/eng/civilaviation/opssvs/general-personnel-photograph-2288.htm
        • (i) The name and address of the photograph studio and the date the photograph was taken (not the date the photograph was printed) shall be stamped or handwritten on the back of the photograph. Note: Stick-on labels are not accepted.
        • (ii) Sufficient space on the back of the photograph shall be allowed for your name and the declaration and the signature of the verifier or guarantor.
    • (2) Step 2: Access the Application for Aviation Document Booklet form.
    • (3) Step 3: Refer to the Application Guidelines provided on page 1.
    • (4) Step 4: Complete Part A of the Application for Aviation Document Booklet form. (Complete the application form using black ink only)
      • (a) The following fields are mandatory and shall be completed for the application to proceed:
        • (i) Surname and Given Name(s),
          • (A) Names shall be identical to the document submitted to Transport Canada as "Proof of Citizenship" pursuant to section 421.06 of the CARs Standard.
        • (ii) File 5802 number,
          • (A) This is the file number that is allocated to your file with the initial issue of your Canadian medical certificate.
        • (iii) Address, City, Province/Territory, Country and Postal Code,
          • (A) The mailing address provided in Part A of the application form will be considered as a "Notification of Change of Address" to Transport Canada. Please ensure that the address provided is the mailing address that you would like your licensing documents to be mailed to.
        • (iv) Gender, date of birth and citizenship,
          • (A) Citizenship shall be identical to the document submitted to Transport Canada as "Proof of Citizenship" pursuant to section 421.06 of the CARs Standard.
        • (v) E-mail address – The e-mail address is now a standard requirement on all applications and should be included,
        • (vi) This application is for ADB renewal – If your ADB is about to expire (within 90 days) or has already expired, check the ‘check box' and provide the expiry date of your ADB in the space provided.
        • (vii) Signature.
          • (A) You are required to sign your usual signature within the space provided. This signature appears in the ADB, so your signature should not exceed the inner limits of the signature box.
          • (B) By signing the application, you declare that all the information provided in Part A and Part B is true.
    • (5) Step 5: Have your identity verified.
      • (a) A verifier acceptable to TCCA shall be used. See "Verifier Pre-Requisites" section above. Any person accepted by Passport Canada as a guarantor may also be used.
      • (b) The verifier attests to your identity by completing Part B of the application.
      • (c) The following fields in Part B are mandatory and shall be completed by the verifier;
        • (i) Surname and Given Name(s),
        • (ii) Address, City, Province/Territory, Country and Postal Code,
        • (iii) Telephone number,
        • (iv) Type of verifier,
        • (v) "Familiarity Statements" and,
        • (vi) Verifier declaration Signature.
      • (d) The verifier should use of the information you have provided and your photograph to attest to your identity.
        • (i) If you have not known the verifier for at least two years, you should provide the verifier with supporting documentation that can be used to attest to your identity. For example, government (Either provincial or federal departments) issued photograph identification such as a passport, driver's licence or citizenship card. Note: Signed "Certified True Copies" shall be provided stating "I certify this to be a true copy of the original document."
        • (ii) Submit the "Certified True Copy" used to attest to your identity with the application form.
      • (e) The verifier is required to include on the back of your photograph, certification to the true likeness of yourself and their signature.
      • (f) Click here for access to the Verifier Requirements web page - http://www.tc.gc.ca/eng/civilaviation/opssvs/general-personnel-whoverifies-2291.htm
    • (6) Step 6: Submit the completed application, if required, proof of your aviation language proficiency and ONE photograph to the TCCA regional licensing office that is administrating your licensing file.
      • (a) Click here for access to FCL Contact Details - http://www.tc.gc.ca/eng/civilaviation/opssvs/general-personnel-licensing-1804.htm
      • Note: Applicants that have met the Pre-Requisites of this AC and the CARs requirements for permit or licence issue and have applied for an ADB but do not hold a valid ADB yet and need temporary documents to exercise the privileges of their permit(s) or licence(s), may request temporary "90-Day documents".
    • (7) Final Step: Upon receipt of your ADB in the mail.
      • (a) Review the ADB to ensure accuracy of its contents, condition, etc.
      • (b) Click here for steps to follow when you receive your ADB - http://www.tc.gc.ca/eng/civilaviation/opssvs/general-personnel-booklet-reviewingbooklet-481.htm

    6.2 Steps to Renew an Expiring Aviation Document Booklet

    • (1) This section applies to applicants that hold an ADB which is about to expire or has already expired.
      • (a) The expiry date of the ADB is provided on the "Personal Data" page of the ADB.
    • (2) This section is not intended to be used to replace an ADB that has been lost, damaged, destroyed, rendered illegible or stolen.

    Notes:

    1- There is no cost for the renewal of an ADB that is about to expire or has already expired.

    2- Application for ADB renewal is a stand-alone application and does not affect applications previously submitted for other licensing actions. These require their own application form, process and fee(s) and will result in separate mailings.

    • (3) Renewing an ADB should be done no later than 90 days prior to the expiry date of the current ADB in order for TCCA to meet the "Service Standards for issuance of a licence".
      • (a) Since the ADB's expiry date is based on the last date of a successful Language Proficiency (LP) examination for a holder of an "Operational level (4)" LP rating, TCCA recommends that these applicants successfully pass a LP test within 12 months preceding the application date for renewal of the ADB.
        • (i) This 12 month recommendation is for the benefit of the holder and if anytime different is required by the holder, this may result in a shorter validity period for their ADB.
        • (ii) If you have any concerns regarding your LP rating or validity period, consult your TCCA regional licensing office before submitting the application for the ADB.
      • (b) The photograph time limit specified in the CARs Standard is 12 months prior to application.
    • (4) Step 1: Follow the steps provided in Section 6.1 above.
    • (5) Step 2: Keep the current ADB until you have received and reviewed the new ADB.
      • (a) The new ADB may not reflect your most recent licensing privileges.
        • (i) If any residual validity period(s) exist, keep the current ADB along with the new ADB to provide proof of meeting your licensing requirements.
        • (ii) Any recent licensing actions providing new licensing privileges will be mailed to you as soon as possible in the form of a label.
    • (6) Step 3: Transfer any relevant information from pages 13 and 14 to the corresponding pages in the new ADB.
    • (7) Final Step: Decide what to do with the old ADB.
      • (a) Once the new ADB contains the relevant information to allow you to exercise the privileges of your permit(s) or licence(s), the old ADB becomes null and void and will not reflect the valid Booklet number held in Transport Canada's files.
      • (b) You may decide to keep the old ADB or destroy it to protect the personal information contained therein.

    7.0 CERTIFICATION BY THE VERIFIER – ATTESTING TO APPLICANT'S IDENTITY

    • (1) This section applies to the verifier attesting to the applicant's identity.
    • (2) Paragraph 421.06(3)(d) of the CAR Standard requires that someone verifies that the photograph submitted with the "Application for Aviation Document Booklet" form is a true likeness of the applicant - http://www.tc.gc.ca/eng/civilaviation/regserv/cars/part4-standards-421-1086.htm#421_06_3
    • (3) TCCA accepts verifiers that:
      • (a) Have known the applicant for at least 2 years and can attest to the applicant's identity based on personal familiarity. No supporting documentation required.
      • (b) Do not know the applicant and shall attest to the applicant's identity based on appropriate supporting documentation.
    • (4) Step 1: Refer to Part B of the Application Guidelines.
    • (5) Step 2: Complete Part B of the Application for Aviation Document Booklet form.
      • (a) Use of the information provided by the applicant and their photograph to attest to their identity.
      • (b) The following fields are mandatory and shall be completed by a verifier;
        • (i) Surname and Given Name(s),
        • (ii) Address, City, Province/Territory, Country and Postal Code,
        • (iii) Telephone number,
          • (A) At least one telephone number shall be provided,
        • (iv) Type of eligible verifier,
          • (A) Select one person from the table provided in the "Application Guidelines" or as found in the drop down menu on the application form.
          • (B) If you are a Canadian Passport holder insert your valid passport number in the space provided in this field, or
          • (C) if you are a foreign Police officer, British diplomatic or consular representative, provide your credential number in the space provided in this field.
        • (v) Verifier "Declaration",
          • (A) Choose one of the "Familiarity Statements" provided on the form that best suits your relationship with the applicant and check the applicable "check box".
          • Note: to have known an applicant "personally" means that you are able to confirm aspects of the applicant's personal attributes such as name, approximate age, place of birth, physical description and some personal history such as occupation and place of residence.
          • (B) If you have not known the applicant for at least two years, you shall attest to the applicant's identity from other official document sources. For example, government (Either provincial or federal departments) issued photograph identification such as a passport, driver's licence or citizenship card. Note: Signed "Certified True Copies" shall be provided stating "I certify this to be a true copy of the original document.".
          • (C) Complete the "Supporting Document Expiry Date" and "Supporting Document Identifying Number" fields as required.
        • (vi) Signature.
          • (A) By signing the application, you certify that all the information provided in Part A and Part B has been reviewed and from the information provided, that you attest to the identity of the applicant.
      • (c) Step 3: Certify the photograph.
        • (i) The names on the photograph shall match those on the application form,
        • (ii) Ensure the following certification is provided on the back of the photograph: "I certify this to be a true likeness of (applicant's name),"
          • (A) This statement shall be clearly legible,
        • (iii) Provide your signature below your certification,
          • (A) By signing the photograph, you attest to the applicant's identity,
          • (B) Your signature shall match the one on the application form.
      • (d) Final Step: Return the application, photograph and applicable "Certified True Copy" document to the applicant.

    8.0 ACTIONS TO REPLACE A LOST OR DESTROYED AVIATION DOCUMENT BOOKLET

    Notes:

    1 – This section is not intended to be used for ADB renewal.

    2 - Do not submit an "Application for an Aviation Document Booklet" form to replace an ADB that has been lost, damaged, destroyed, rendered illegible or stolen.

    • (1) This section applies to applicants who have already had an ADB issued to them and due to the following reasons, need an ADB to be reissued as a replacement:
      • (a) ADB not received in the mail,
      • (b) ADB lost,
      • (c) ADB damaged, destroyed or rendered illegible, or
      • (d) ADB stolen.
    • (2) Step 1: Access the Application for Re-Issue of a Civil Aviation Licensing Document form.
    • (3) Step 2: Refer to the Application Guidelines provided on page 1.
    • (4) Step 3: Determine which fees are applicable.
      • (a) Fees do not apply if submitting an application to re-issue an ADB that was never received in the mail or one that was stolen. Contact your TCCA regional licensing office for further information.
      • (b) For an ADB that has been damaged, destroyed or rendered illegible the following Licensing fees apply:
        • (i) If you need to exercise the privileges of your permit(s) or licence(s) as soon as possible – The following Licensing fees apply:
          • (A) In this case, a minimum of three fees totaling $115 CAD are charged One fee for replacing the ADB ($35 CAD) and a minimum of two additional fees for the temporary permit or licence and medical certificate ($40 CAD per document).
        • (ii) If you do not need to exercise the privileges of your permit(s) or licence(s) immediately and can wait for the replacement ADB - The following Licensing fee apply:
          • (A) One fee is charged for the reissued ADB totaling $35 CAD, regardless of how many permits, licences or medical certificates it contains.
    • (5) Step 4: Complete Part A and B of the form.
      • (a) Part B - From the decision made in Step 3, select the type of Civil Aviation Licensing Document you require to be re-issued.
    • (6) Step 5: Submit the completed application form and the appropriate fee(s) to your TCCA regional licensing office.
    • Note: Damaged ADB should be submitted with the application.
      • (a) Fee payments may be made using cheques or money orders payable to the "Receiver General for Canada" or credit cards (Visa, MasterCard or American Express), in Canadian funds, at the TCCA regional office that provided the service or through the TCCA Communications Centre telephone service @ 1-800-305-2059. Applicants choosing the "civil aviation fee payment" option from the the TCCA Communications Centre telephone service will:
        • (i) be required to pay by credit card,
        • (ii) receive a call back from TCCA with the receipt number, and
        • (iii) receive an e-mail confirmation.
      • (b) Click here for access to FCL Contact Details - http://www.tc.gc.ca/eng/civilaviation/opssvs/general-personnel-licensing-1804.htm
    • (7) Final Step: Upon receipt of your ADB in the mail:
      • (a) Review the renewed ADB to ensure accuracy of its contents, condition, etc.
      • (b) By default, it is understood that the publication of a new issue of a document automatically renders any earlier issues of the same document null and void.
      • Note: In the case where the ADB was not received in the mail and it finally arrives after going through the above process, contact your TCCA regional licensing office for further instructions.

    9.0 REFUSAL TO ISSUE

    • (1) The Minister's power to refuse to issue or amend a Permit, Licence, Rating or Medical Certificate is set out in the Aeronautics Act.
    • (2) Grounds for refusing to issue are as follows:
      • (a) incompetence of the applicant for the document or amendment as per section 6.71 of the Act;
      • (b) failure to meet the qualifications or fulfill the conditions necessary for the issuance or amendment of the document as per section 6.71 of the Act;
      • (c) public interest reasons as per section 6.71 of the Act; and
      • (d) failure by the applicant to pay monetary penalties as per section 7.21 of the Act.
    • (3) Care will be taken by TCCA to ensure that a determination is made whether an application is merely incomplete or whether a decision to refuse to issue a document is due to the applicant not meeting the requirements of the CARs.
      • (a) If an applicant has not submitted all of the required material, licensing personnel should advise the applicant that the application cannot be processed until specified additional documentation or information is provided.
      • (b) When all options are exhausted and the information provided by the applicant demonstrates that the applicant is not qualified for the requested document, licensing personnel shall advise the applicant of the decision not to issue the document.
    • (4) Where the Minister decides to refuse to issue or amend a Permit, Licence, Rating or Medical Certificate in accordance with the Aeronautics Act, the Minister will forward a "Notice of Refusal to Issue or Amend a Canadian Aviation Document" letter to the applicant. The letter states the grounds and the specific reasons for the decision.

    10.0 INFORMATION MANAGEMENT

    • (1) Not applicable.

    11.0 DOCUMENT HISTORY

    • (1) Advisory Circular (AC) 400-001, Issue 03, RDIMS 4628546 (E), 4629422 (F), dated 2008-12-31, Aviation Document Booklet;
    • (2) Advisory Circular (AC) 400-001, Issue 02, RDIMS 4469568 (E), 4481681 (F), dated 2008-11-10, Aviation Document Booklet;
    • (3) Advisory Circular (AC) 400-001, Issue 01, RDIMS 2603263 (E), 3664768 (F), dated 2008-07-18, Aviation Document Booklet.

    12.0 CONTACT OFFICE

    For more information, please contact:
    Chief of Commercial Flight Standards - AARTF

    Fax: 613-990-6215
    E-mail: fcl@tc.gc.ca

    Suggestion for amendment to this document are invited, and should be submitted via the Standards Branch "AART Documentation Services" mailbox at the following address: AARTinfodoc@tc.gc.ca

    Original signed by Aaron McCrorie on January 27, 2014

    Aaron McCrorie
    Director
    Standards Civil Aviation
    Transport Canada

    Transport Canada documents or intranet pages mentioned in this document are available upon request through the Contact Office.

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