Staff Instruction. Delegation of Authority Process Aircraft Certification

Transcription

1 Staff Instruction Subject: Delegation of Authority Process Aircraft Certification Issuing Office: Standards Activity Area: Qualifying SI No.: File No.: Issue No.: 01 RDIMS No.: v4 Effective Date: TABLE OF CONTENTS 1.0 INTRODUCTION Purpose Applicability Description of Changes REFERENCES AND REQUIREMENTS Reference Documents Cancelled Documents Definitions and Abbreviations BACKGROUND INITIAL PROCESS General Application Review of Application PERSONNEL QUALIFICATION AND EXPERIENCE REVIEW Qualification Criteria - Educational Background Qualification Criteria - Knowledge Qualification Criteria Experience Qualification Criteria Applicable to the nominees within an AEO/DAO Equivalency Criteria Educational Background PROCEDURES MANUAL REVIEW AUTHORIZATION DECISION NOMINATION OF AP BY DAO/AEO Prerequisite Nomination Procedure (With a Core ACC) Nomination Procedures (Without a Core ACC or ACC) AUTHORIZATION DOCUMENTATION Certificate of Authorization Letter of Authorization (LOA) OVERSIGHT... 15

2 10.1 Post Appointment Monitoring Audit Follow-up activities CHANGES TO AUTHORIZATION Extension Reduction OPI Responsibilities APs Changing Employers or Positions within an Employer Dual appointments Duration Notice of Suspension RECORDS Authorization Numbers National File Numbers Delegations Information System (DIS) Records, Document and Information Management System (RDIMS) Document Distribution CONTACT OFFICE APPENDIX A DAR PROCESS CHART...23 APPENDIX B DELEGATED ORGANIZATION PROCESS CHART...24 APPENDIX C CHECKLIST FOR AEO/DAO...25 APPENDIX D CHECKLIST FOR DAR...28 APPENDIX E EQUIVALENCY CRITERIA FOR SOFTWARE SPECIALTY...31 APPENDIX F EQUIVALENCY CRITERIA FOR FLIGHT TEST PILOT SPECIALTY...33 APPENDIX G NOTICE OF SUSPENSION...35

3 1.0 INTRODUCTION 1.1 Purpose The purpose of this Staff Instruction (SI) is to provide guidance on processing, approving and making changes to Ministerial delegations of authority with respect to type certification, modification or repair activities, and for approving Design Approval Representatives (DAR) and Authorized Persons (AP) within a Design Approval Organization (DAO) and an Airworthiness Engineering Organization (AEO). 1.2 Applicability This document is applicable to Transport Canada Civil Aviation (TCCA) employees, and Aircraft Certification personnel, including delegates. 1.3 Description of Changes This document is a new issue, but represents a consolidation of Aircraft Certification Staff Instructions (ACSI) 47, 48, 49, 50 and 51, as well as Aircraft Certification Policy Letters (ACPL) 33 and 72. The content has been amended to address inconsistency issues that existed in the former ACSIs and ACPLs. 2.0 REFERENCES AND REQUIREMENTS 2.1 Reference Documents It is intended that the following reference materials be used in conjunction with this document: The Aeronautics Act, R.S. 1985; (d) (e) (f) (g) Part I, Subpart 3 of the Canadian Aviation Regulations (CARs) Administration and Compliance; Part V, Subpart 11 of the CARs Approval of the Type Design of an Aeronautical Product; Part V, Subpart 13 of the CARs Approval of Modification and Repair Designs; Chapter 505 of the Airworthiness Manual (AWM) Delegation of Authority; Transport Canada Publication (TP) 8606 Inspection and Audit Manual; Staff Instruction (SI) GEN-006 Aircraft Certification Inspection and Audit Procedures; (h) Aircraft Certification Staff Instruction (ACSI) 11 Approval of Airworthiness Limitations - Regional Aircraft Certification Projects; (i) (j) RTCA Document (DO)-178 (as amended) Software Considerations in Airborne Systems and Equipment Certification Approval of Airworthiness Limitations - Regional Aircraft Certification Projects; and Records, Document and Information System (RDIMS) Saving Documents and Versions in RDIMS. 2.2 Cancelled Documents As of the effective date of this document, the following documents are cancelled: ACPL No. 33 Issue 01, dated Generic Flight Test Responsibility and Delegation Limitations Engineering Procedures Manuals (EPMs); ACPL No. 72 Issue 01, dated Determination of Equivalency for Ministerial Delegation; ACSI No. 47 Issue 01, dated Delegate Approval and Authorization Process; of 36 SI Issue 01

4 (d) (e) (f) (g) Delegation of Authority Process Aircraft Certification ACSI No. 48 Issue 01 dated Scope of Authority Designated Engineers; ACSI No. 49 Issue 01 dated Airworthiness Engineering Organization (AEO) / DAO Personnel Qualification Criteria; ACSI No. 50 Issue 01 dated Qualification and Authorization Procedures for AEO/DAO Personnel; and ACSI 51, Issue 01, dated Software Approval Delegation Design Approval Representative (DAR) and Designated Engineer Appointment Criteria. 2.3 Definitions and Abbreviations The following definitions and terms are used in this document: (d) (e) (f) (g) 3.0 BACKGROUND Airworthiness Control Committee (ACC) means a committee within an AEO/DAO that provides a management function to support the provision of the delegate s authorized functions. Applicant means any person who requests a delegation of authority in accordance with Subchapter B, C or E of Chapter 505 of the AWM. Authorized Person (AP) means an individual who performs delegated functions for an AEO or DAO, on behalf of the Minister. Delegate means a person, (DAR) or a corporation (with an AEO/DAO) that has been authorized pursuant to subsection 4.3(1) of the Aeronautics Act to perform functions on behalf of the Minister subject to the conditions specified in the applicable subchapter 505 of AWM. Delegations Information System (DIS) is a national database developed to capture and consolidate information on all delegates and AP. Nominee means a person intended to become an AP within an AEO/DAO. Procedures Manual means the Engineering Procedures Manual (EPM) or the Design Approval Procedures Manual (DAPM) approved by TCCA, which governs the delegate s activities, in accordance with Chapter 505 of the AWM. (1) In accordance with subsection 4.3(1) of the Aeronautics Act, the granting of Ministerial delegation of authority under Chapter 505 of the AWM allows a person or corporation to perform the authorized functions of either a DAR or an AEO/DAO. (2) This authorization process is intended to assist TCCA personnel when evaluating applicants to determine if they meet the relevant requirements of Chapter 505 of the AWM, depending on the delegation requested: Subchapter B applies to AEO; Subchapter C applies to DAR; and Subchapter E applies to DAO. (3) Additionally, this process assists TCCA personnel when evaluating procedures manuals to determine if they meet the applicable criteria listed in Chapter 505 of the AWM, and if they reflect the appropriate scope of authority. (4) The process is completed by the issuance of the documentation needed to enable the Ministerial delegation. (5) For the purposes of this document, a Division (for example, Delegation and Quality Division or Flight Test Division) refers to the Division of the National Aircraft Certification Branch of 36 SI Issue 01

5 4.0 INITIAL PROCESS 4.1 General (1) The following sections describe the delegation of authority process, presented as a flowchart in Appendix A for a DAR, and Appendix B for an AEO/DAO. This evaluation process shall be utilized both for new applicants, and for those requesting a change in scope of authority. The process shall be used for the: review of personnel qualifications and experience, in accordance with Sections , or of the AWM; approval of procedures manuals, in accordance with sections , or of the AWM; or approval of revisions to an AEO/DAO s DAPM that may be required as a result of approving an additional AP. (2) The checklists in Appendices C and D may be useful when reviewing applications for AEO/DAOs or DARs respectively, against the requirements of Chapter 505 of the AWM. 4.2 Application (1) An Aircraft Certification functional Office of Primary Interest (OPI) is assigned to each application for delegation, identifying who should be responsible for coordinating and completing the authorization process. (2) Applications for the delegations and authorizations should be directed according to the criteria defined below: (d) (e) (f) An individual seeking a delegation of authority should apply to the Aircraft Certification functional office in the Region where the individual resides; except, in the case of applications for flight test delegation. These applications should be sent to the Delegations and Quality Division, who shall coordinate with the Flight Test Division. A corporation seeking a delegation of authority should make application under the applicable provisions of chapter 505 of the AWM, i.e. sections or as explained below. Successful applicants must establish an AEO/DAO sections and of the AWM, which is composed of individuals authorized to accomplish the functions on behalf of the Minister. For an AEO/DAO to conduct type certification activities under Subpart 511 of the CARs on other than balloons or appliances should apply to the Delegations and Quality Division. For an AEO/DAO to conduct type certification activities for balloons or appliances under subpart 511 of the CARs should apply to the Aircraft Certification functional office in the Region where the corporation operates. For an AEO/DAO to conduct repair or modification activities under subpart 513 of the CARs should apply to the Aircraft Certification functional office in the Region where the corporation operates. Any person who does not fit into any of the four preceding categories should contact the Chief, Delegation and Quality Division. (3) An applicant should submit all information required to substantiate compliance with section , or of the AWM as applicable. An AEO/DAO may develop forms to substantiate compliance to the respective subchapters of the AWM 505. These are acceptable if they have been documented in the procedures manual, and approved by TCCA: An existing AEO/DAO requiring APs to perform the authorized functions should seek the approval of the nominees as APs (initially or in addition to the existing APs) of 36 SI Issue 01

6 Delegation of Authority Process Aircraft Certification An AEO/DAO should follow the nomination procedures, and make application according to the process outlined in its procedures manual; and Requests for changes to the scope of authority for an AEO/DAO/DAR or that of an AP should be directed to the Aircraft Certification functional office that has oversight responsibility. (4) An individual DAR may provide services for an AEO/DAO only on an occasional basis. A corporation should not continuously employ a DAR. This requirement promotes consistent application of procedures and processes of the delegation of authority. (5) Aircraft Certification functional personnel reviewing nominations from an existing AEO/DAO for a new AP, must consult section 5.4 of this document to determine the level of participation that the AEO/DAO may have in the authorization process. The applicants should adhere to the nomination process specified in the AEO/DAO s procedures manual. 4.3 Review of Application When an application is received by the OPI, he should complete the following activities: (d) (e) (f) (g) written confirmation to the applicant that his application has been received; maintain communication with the applicant to keep the applicant apprised of the status of the application; determine if personnel qualification requirements of sections , or of the AWM can be satisfied by the data package received with the application; determine if the content in the procedures manual satisfies the requirements of section , or of the AWM; determine if the data package is adequate to support review of the application, and meets the requirements of Chapter 505 of the AWM. If the data package is not adequate, the applicant is to be informed that they are to submit any additional information required or a revised data package before the review will continue; discuss the documentation requirements with the applicant to ensure that they are understood; and arrange to have a Z5010-file number assigned, as explained in paragraph 12.2 of this SI, once the review has been successfully completed. 5.0 PERSONNEL QUALIFICATION AND EXPERIENCE REVIEW (1) The OPI is to determine which TCCA specialists should participate in the review of the application, once all supporting documents have been received. In all situations where assistance is required from Aircraft Certification functional specialists, the OPI should coordinate this activity through the Delegation and Quality Division. While the Delegation and Quality Division is the liaison to manage the specialist feedback between the TCCA regions and other headquarters divisions, the OPI continues to manage the application and determine the suitability of the DAR applicants or the nominees. (2) The Aircraft Certification functional specialist review shall determine if the DAR applicant or AP nominee meet the qualification and review requirements specified in section , or of the AWM. The specialist(s) shall determine if the requested scope of authority is appropriate to the stated qualifications and experience. (3) The OPI shall collate all specialist comments, and if warranted, convene an internal review meeting to complete the assessment for potential delegation. The OPI shall: with the assistance specialists interview the DAR applicant or nominee; of 36 SI Issue 01

7 Delegation of Authority Process Aircraft Certification if required, make requests for further information or clarification of material already submitted; and discuss the nominee s eligibility with the ACC or with the Core AP, or the appropriate Airworthiness Manager as applicable. 5.1 Qualification Criteria - Educational Background (1) The DAR applicants and nominees should have graduated with an engineering degree preferable in aerospace, from a recognized Canadian university. Where this requirement is not met, an equivalency review, outlined in section 5.6 of this document and appendix E or F, may be required. (2) A recognized university is one that offers accredited undergraduate engineering programs that meet or exceed the accreditation criteria identified by the Canadian Engineering Accreditation Board (CEAB). These criteria are designed to identify engineering programs that provide graduates with the academic requirements necessary for registration as a Professional Engineer (P.Eng) in Canada. The Canadian Council of Professional Engineers (CCPE) publishes the names of those Canadian educational institutions that currently offer accredited engineering programs as well as those institutions that did so previously. The lists are included in CCPE s CEAB Accreditation Criteria and Procedures Report, which may be obtained by ing the CEAB Secretariat at ceab@ccpe.ca. (3) Alternatively, DAR applicants and nominees should be certified, or should be assessed by a P.Eng organization in Canada as being eligible to be licensed. This certification of evaluation is obtained by contacting provincial engineering associations. (4) Equivalency determined by the Provincial Engineering Licensing Association (Licencing body) may determine equivalency to being a P.Eng. For example, the Association of Professional Engineers, Geologists and Geophysicists of Alberta licences registered Professional Technologists in Engineering as equivalent to P.Eng. within a clearly defined scope of practice. 5.2 Qualification Criteria - Knowledge (1) DAR applicants and nominees shall have completed specialized training and gained enough work experience to have a thorough knowledge of the Canadian Aviation Regulations and Standards. They should also have knowledge of the equivalent foreign regulations and standards. (2) To meet this requirement, the individual shall demonstrate to TCCA during the one year working relationship: General knowledge of the airworthiness and operational requirements and processes applicable to the specialty; including: (i) (ii) (iii) means and methods of compliance; TCCA advisory and guidance materials; and understanding of the differences between Canadian and foreign regulations. Specialist, rather than generalist, knowledge of design requirements specific to the particular specialty function. Thus, the assessment of specialist s functional capability may include a review of the understanding of: (i) (ii) (iii) (iv) regulatory developments including international harmonization activities; systems safety assessment principles and practices; qualification of equipment, systems and installations; and active participation in all phases of a type certification program including the detailed design reports authored by the applicant or nominee of 36 SI Issue 01

8 (d) (e) Delegation of Authority Process Aircraft Certification An activity log, detailing any certification activities and including the compliance reports that the individual prepared, checked or approved or participation in certification tests, could be used to document the involvement by the nominee. General knowledge of process requirements, this may be obtained through successful completion of the Aircraft Certification Specialty course, or an equivalent course that is acceptable to TCCA. All DAR applicants should take the Aircraft Certification Specialty Course. However, in the case of an AEO/DAO, the Aircraft Certification Specialty Course is mandatory for Core APs involved in nominating other APs, and recommended for other APs. Specialist knowledge of operational requirements that may impact on the related design requirements. The DAR applicants and the nominees shall demonstrate an understanding of the operational requirements related to their specialty function. This may include areas such as: (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) flight data recorders; cockpit voice recorders; terrain awareness; oxygen equipment; life saving equipment; emergency locator transmitters; instrument flight rules (instruments and equipment); extended range operations; night flying equipment; noise emission standards and certification. (3) TCCA must be confident that delegates and APs are able to perform their functions independently at the time of appointment. Therefore, TCCA may conduct formal interviews with a DAR applicant or nominee to determine the extent of his knowledge. In the case of a nominee, TCCA, with the ACC or the Airworthiness Manager as applicable, should be involved in the interview process. All decisions shall be documented and permanently retained on the DAR applicant or nominee s file. (4) The extent of an individual s knowledge and experience shall be reflected in his scope of authorization. 5.3 Qualification Criteria Experience (1) In accordance with Chapter 505 of the AWM, DAR applicants and nominees shall demonstrate that they have six years aeronautical engineering experience. DAR applicants and nominees with industry experience shall have not less than six years of progressively more responsiblerelated aeronautical engineering experience. Core APs are required to have a greater level of experience than non-core APs. (2) The DAR applicants and the nominees must have: developed maturity and sound judgment in applying standardized procedures and methodologies of varying complexity; demonstrated technical competence and proficiency, particularly in the area of specialization; performed increasingly complex and more varied tasks with increased scope, or directed subordinates or associates in the performance of such tasks; of 36 SI Issue 01

9 (d) (e) Delegation of Authority Process Aircraft Certification evaluated or developed alternate methods and solutions to design problems, or directed subordinates or associates in such efforts; and have gained an appreciation of the impact of design changes on the overall design and certification of the product. (3) Relevant experience may include, for example: drafting of technical requirements and specifications for vendors, partners or suppliers and providing technical oversight of their activities; developing technologies in the specialty and associated fields; and active participation in technical committees, conferences and courses to maintain currency and proficiency. (4) DAR applicants and nominees shall also have a minimum of one-year satisfactory working relationship with TCCA in accordance with paragraphs (4), (5) or section (d) of the AWM. The objective is to encourage sufficient opportunity for TCCA personnel to make a determination regarding personal suitability, technical competency and proficiency. In the case of a nominee TCCA may also seek and accept the advice of Core APs or other APs. The working relationship may be increased at the discretion of the OPI until the determination can be made. (5) Credit may be given to DAR applicants or nominees for prior experience with TCCA specialists while working on other projects. Additionally, credit may be given to nominees for work completed under the direct supervision of a Core or other AP. (6) Satisfactory working relationship with TCCA is also evaluated to determine that the DAR applicant or nominee is able, skilled and suitable to properly represent the Minister independently from his obligations to commercial clients to whom he provides a service. Therefore, a DAR applicant or nominee shall demonstrate that he: (d) (e) (f) communicates effectively, both orally and written; analyzes and evaluates compliance data and test results in determining compliance with the standards; judiciously uses tact, diplomacy, cooperation, and tolerance in his interpersonal relationships with colleagues and TCCA; demonstrates personal integrity; demonstrates forthrightness; and takes initiative and is decisive in resolving technical issues. 5.4 Qualification Criteria Applicable to the nominees within an AEO/DAO (1) Chapter 505 of the AWM does not specify an organizational structure for an AEO/DAO. However, requirements within paragraphs (3) and (4) of the AWM make it necessary to evaluate the organizational structure and the role of the nominee within it. The nominee s position should be evaluated to establish that his position will have high enough profile within the organization where he will have the authority to ensure that the design meets the applicable airworthiness requirements. (2) When determining compliance with paragraphs (3) or (4) of the AWM, the following criteria must be used: The AEO/DAO must show that the nominee will have direct influence and the authority to ensure a design complies with the applicable standards of airworthiness; of 36 SI Issue 01

10 Delegation of Authority Process Aircraft Certification The AEO/DAO must recognize the nominee as a credible subject matter expert in the specialty area. Evidence of this recognition should be made available to TCCA for review, and may include verification of the nominee s: (i) (ii) (iii) leadership on working groups within the AEO/DAO to resolve significant technical issues in the area of specialty; responsibilities for technical requirements and specifications provided to vendors, partners and suppliers; and appropriate level of access to senior management of the AEO/DAO. 5.5 Equivalency Criteria Educational Background (1) It is recognized that DAR applicants and nominees should meet all the requirements of eligibility as stated in section , , or subsection of the AWM and should be eligible for registration as a P.Eng. Qualified specialists who are not engineers may request a delegation of authority with limited scope. For example, an individual with a Bachelor of Science (Honours) degree majoring in Applied Physics may be a qualified specialist for delegation with limited scope in electromagnetic compatibility or lightning protection. The fields could include flammability, aero elasticity, noise, lighting protection, uncoupled avionics installations, etc. (2) In these cases it may be necessary for the Minister to establish the required knowledge and technical experience suitable in his opinion, for the delegation of authority requested as per the applicable eligibility requirements. (3) The following criteria should be considered while reviewing these types of applications: (d) A DAR applicant or nominee who did not graduate from an engineering discipline should have successfully graduated from a degree or diploma program with courses directly related to the requested field of specialty from either a recognized university or a technical college; An individual holding either an engineering degree/diploma, or a degree/diploma with courses directly related to the requested field of specialty from either a foreign or nonrecognized university or technical college, should obtain a determination of academic equivalency through the assistance of the Canadian Information Centre for International Credentials, or a similar recognized service; In the case of broad delegation of authority, it may be necessary to extend the requirement of the six years of related aeronautical experience stated in subsection , (e), or of the AWM, including the one-year working relationship with TCCA Aircraft Certification personnel on relevant projects; For limited delegation of authority, the applicant or AP nominee shall have a minimum of three years of technical experience after graduation, including the one-year working relationship with Aircraft Certification personnel, instead of the six-year requirement stated in subsection , (e), or of the AWM; (4) Even though the DAR applicant or nominee is considered to be knowledgeable and a respected specialist and practitioner in the field, equivalency determination will be made by the OPI assigned to the application in consultation with Chief of Delegation and Quality (AARDL) and Chief of Engineering Division (AARDD) or Chief of Flight Test (AARDC) and the applicable regional manager Aircraft Certification as appropriate to the requested delegation. (5) The qualification criteria was established to: determine if DAR applicants and nominees have the requisite educational background to be authorized on behalf of the Minister to perform the particular requested functions; and provide TCCA with confidence in the ability of those individuals to carry out their particular requested functions, once authorized, on behalf of the Minister of 36 SI Issue 01

11 (6) Provide a consistent approach for determining equivalency for the education or experience requirements for DAR applicants and nominees. DAR applicants and the nominees must demonstrate that they meet all other requirements specified in section , or section of the AWM before applying for delegation based on equivalency requirements. (7) Appendix E provides the equivalency criteria for the software specialty. Appendix F provides the equivalency criteria for the flight test pilot specialty. 6.0 PROCEDURES MANUAL REVIEW (1) The OPI shall review the procedures manual to identify any concerns or questions, and ensure that it meets the technical and procedural content requirements specified in sections , or of the AWM, and as summarized in Appendices C or D of this SI. The OPI may request that specialists review specific sections of the manual to assess the technical or procedural content. (2) In all cases, the OPI shall ensure that a written copy of concerns noted during the review is discussed with the applicant until each concern is resolved. Disposition of comments shall be documented and permanently retained on the applicant s file. If the concerns are significant enough to warrant a procedures manual revision, the applicant shall respond to comments identified by the OPI, and submit a revised procedures manual for approval. (3) Flight Test Division review on a new or revised procedures manual is not required where there is little flight test content. This would likely be the case in manuals for an AEO/DAO and a non-flight test DAR, but would not be the case if new or amended test pilot or flight analyst delegation is being proposed in an AEO/DAO. The OPI shall assess the need for Flight Test Division review and, when deemed unnecessary, check to confirm that the following generic limitation statements are included in the manual. (4) The limitations section should indicate that approval of the following items are not delegated: (d) (e) (f) (g) (h) (i) (j) (k) (l) (m) An aircraft flight manual or aircraft flight manual supplement, or changes to these documents, unless delegated specifically approved in the Letter of Authorization (LOA) and the procedures manual; a master minimum equipment list (MMEL) or MMEL supplement; a limitation applicable to an aeronautical product and recorded in the Type Certificate or Supplemental Type Certificate Data Sheet for that product, see ACSI No. 11 Approval of Airworthiness Limitations - Regional Aircraft Certification Projects for guidance; a service life applicable to any life-limited part of an aeronautical product; a certification maintenance requirement; an airworthiness directive or an equivalent instruction issued under the authority of a foreign airworthiness authority; a noise approval applicable to an aircraft; findings of compliance related to Equivalent Safety and Exemptions; confirmation of the certification basis, if different than that identified on the Type Certification Data Sheet for a previously certified aeronautical product; Special conditions; a limitation contained in a Maintenance Manual or a Maintenance Manual Supplement; new, novel, or unique technologies; and design change approvals involving innovative technology or unusual design features not considered in the Type Certification basis and/or requiring special conditions of 36 SI Issue 01

12 (5) The responsibilities section should indicate that the person responsible for the airworthiness activities of the AEO/DAO, or the DAR, is ultimately responsible for: ensuring that the appropriate flight test qualitative and quantitative assessments are made by a technically qualified crew, using a properly configured aircraft equipped with adequate instrumentation and recording capability for the intended test; and liaising with the appropriate Aircraft Certification functional office or the Flight Test Division or both regarding the scope and extent of flight test programs as well as the acceptable means of compliance. (6) The Director, National Aircraft Certification, shall sign the approval page of all original procedures manuals. Revisions to procedure manuals shall be signed by the appropriate Aircraft Certification functional office, that being the Director, National Aircraft Certification for HQ managed delegates, or the Regional Manager Aircraft Certification having oversight responsibility for that delegate. (7) The procedures manual shall clearly identify the procedures and the criteria regarding how and when revisions will be made. AEO/DAOs may approve certain revisions to their procedures manual if they do not affect the approved scope of authority or certification procedures of the AEO/DAO. 7.0 AUTHORIZATION DECISION (1) When all interviews, specialist consultations and documentation reviews have been completed, the OPI should inform the DAR applicant or nominee of the results. The OPI may find that: The DAR applicant or nominee has not met the requirements of Chapter 505 of the AWM. In this case, the OPI shall: (i) (ii) (iii) advise the DAR applicant or nominee in writing of any non-compliance of requirements which must be met for further consideration of their application of authorization; if possible, assist the DAR applicant or nominee with the steps that should be taken before he makes further application; and complete the file management procedures outlined in section 12.0 of this SI. The DAR applicant or nominee has successfully met all requirements of Chapter 505 of the AWM. In this case, the OPI shall: (i) (ii) complete the authorization documentation procedures described in section 9.0 of this SI; and complete the file management procedures outlined in section 12.0 of this SI. (2) If the successful application is for a DAR status, the authorization number is automatically generated by the Delegations Information System (DIS) and this number shall be incorporated into the procedures manual. (3) In the case of a corporate delegation application, an approval number for the AEO/DAO is provided by the responsible OPI. For a successful nominee application the approval number is provided by the OPI in conjunction with the AEO/DAO. In both cases the approval number shall be incorporated into the procedures manual. (4) For details of assignment of authorization numbers please refer to section 12.1 of this SI. The OPI shall advise the applicant to forward the original version of the procedures manual, signed by the DAR applicant or the head of the AEO/DAO, to the OPI for signature by the Director, National Aircraft Certification. Currently, electronic signatures are not acceptable. The procedures manual should be entered in the RDIMS filing system as stated in section 12.4 of this SI of 36 SI Issue 01

13 (5) In the case of the successful nominee or AP the OPI should request that the AEO/DAO incorporates the information from the AP s LOA in the next revision of the procedures manual. Since the LOA is addressed to the AP, the AEO/DAO should retain a copy of the LOA for future reference. (6) The approved procedures manual shall contain the active and inactive dates for all APs, along with their scope of authority. Additionally, for each AP, both active and inactive, the AEO/DAO shall permanently retain all records that substantiate compliance with the requirements of section or of the AWM. 8.0 NOMINATION OF AP BY DAO/AEO (1) Provided there are adequate provisions in their approved procedures manual, an AEO/DAO with or without an ACC may nominate individuals to TCCA to be considered as an AP within their organization as stated in paragraphs (e) or (e) of the AWM. (2) In the case of a large organization, the management of the ACC may be carried out by a subset of the ACC, usually referred to as the Core ACC. An ACC is recommended for AEO/DAOs with five or more APs. A Core ACC is recommended for AEO/DAOs with ten or more APs. A Core ACC is a subset of an ACC made up of usually the most senior AP in each specialty area represented in the ACC. (3) For organizations with a Core ACC, membership in the Core ACC is determined solely by TCCA. All nominations for membership in the Core ACC shall be reviewed by TCCA, and eligible persons will be authorized as Core ACC members. (4) TCCA personnel may not require any further review of nominees if the review findings and recommendations by the Core ACC have been adequately documented. However, each nominee shall meet the qualification criteria defined in Chapter 505 of the AWM and in section 5.0 of this document. 8.1 Prerequisite The following elements shall be included in the procedures manual submitted to TCCA for approval: the description of the AEO/DAO s airworthiness assurance system including the ACC. This should include the names of the APs in each specialty area; for organizations with a Core ACC, the names of the Core APs in each specialty area in which the AEO/DAO wishes to appoint APs; a program that provides nominees with the opportunity to acquire the knowledge of the airworthiness processes and the relevant regulations, standards, advisory and guidance materials applicable to the products which are within the scope of, or expansion of, the scope of authority of the AEO/DAO; (d) a procedure that establishes that the nominee meets the requirements of section or of the AWM, as appropriate; and (e) a procedure that identifies the scope of authority to be exercised by a nominee, and that defines a post-appointment monitoring and support program. 8.2 Nomination Procedure (With a Core ACC) (1) The nomination procedures used by the AEO/DAO shall include at least the following steps: the Core ACC member in the relevant specialty shall prepare a document detailing the manner by which the nominee meets the criteria outlined in section 5.0 of this document; the knowledge requirements may be partially addressed by inclusion of the graduation certificate from the TCCA Aircraft Certification Specialty Course. Detailed records of the of 36 SI Issue 01

14 (d) (e) (f) Delegation of Authority Process Aircraft Certification work experience or the results of formal assessments may be used to substantiate compliance with paragraph (2) or (3) of the AWM; the Core ACC member shall define a scope of authority for the nominee that respects the limitations specified in the AEO/DAO s approved procedures manual, and reflects the level of performance demonstrated by the nominee; the Core ACC member shall circulate copies of the scope of authority document to all applicable Core ACC members, the Chief, Delegations and Quality, or the appropriate Regional Manager, Aircraft Certification, at least three weeks in advance of the ACC meeting where the appointment will be processed; a TCCA and other Core ACC members shall be invited to vote on acceptance of the nominee. If a nominee receives one or more negative ballots, the application will be referred back to the specialty Core ACC member with recommendations on how to proceed. Options may include withdrawal of the application, modification to the proposed scope, additional training or experience requirements. If a decision is made to proceed with the application, then proper justification should be recorded with the disposition documents; and upon acceptance of the nomination by the Core ACC members, TCCA shall be informed of the nomination within 15 days. (2) A LOA by TCCA with an assigned AP number will be provided only after reviewing the nomination and confirming that the nominee has met all the requirements of Chapter 505 of the AWM. 8.3 Nomination Procedures (Without a Core ACC or ACC) (1) There may be cases where an AEO/DAO may have fewer than ten APs. In such cases, even though an ACC is recommended, there may not be a need for a Core ACC. By the same token, with less than five APs, there may be no need for even a formal ACC. (2) In such cases, the functions and the nomination procedures of the Core ACC as explained in section 8.2 will be the responsibility of the ACC or the person responsible for the functions of the AEO/DAO as per paragraph (d) or (d) of the AWM. 9.0 AUTHORIZATION DOCUMENTATION (1) TCCA shall inform applicants with a LOA specifying the effective date of their authorization to function on behalf of the Minister of Transport as a delegate or as an AP. (2) In cases where the delegation of authority is processed within the regional aircraft certification office, all documents that require the signature of the Director, National Aircraft Certification, such as the LOA, approval page of the original issue of the procedures manual signed by the applicant, shall be forwarded together with the written recommendation of the Regional Manager, Aircraft Certification to the Delegations and Quality Division. 9.1 Certificate of Authorization (1) All new delegates shall receive a Certificate of Authorization identifying the person or the corporation as a Ministerial delegate. This certificate does not show a level of delegation and shall be accompanied by a LOA. (2) Certificates should be drafted using the following templates found in RDIMS # (3) The Director, National Aircraft Certification shall sign all Certificates of Authorization. Once provided to the delegate, the Certificate of Authorization should be displayed at the delegate s primary place of work. In cases of multiple sites, it will be the responsibility of the delegate corporation to display a copy of the original certificate in the secondary sites. (4) The certificate is a Civil Aviation Document and therefore shall be returned to the Minister when the duration of authorization has expired as per section , and of the of 36 SI Issue 01

15 AWM. In cases of an AP s retirement, placement on the inactive list, or if the authorization becomes invalid for any reason, the certificate issued at the AEO/DAO s request shall be returned by the AP to the Airworthiness Manager of the AEO/DAO for retention on behalf of the Minister. 9.2 Letter of Authorization (LOA) (1) A LOA signed by the Director, National Aircraft Certification, shall be provided to each Delegate and AP who is approved to perform functions on behalf of the Minister. The latest version of the templates shall be used by TCCA to prepare the LOAs and may be found in RDIMS # (2) The LOA shall include an Appendix that clearly defines the scope of authorization including the specialty as defined in the procedures manual, authorized functions, applicable aeronautical products, general limitations described in the procedures manual and additional limitations, if any. The LOA with the procedures manual will also be used during an audit to confirm that DARs and APs are operating within the prescribed boundaries. (3) The scope of authorization shall be defined using the following elements: specialty (e.g. Systems and Equipment Mechanical); authorized Functions (e.g. finding of compliance; approve design change); and limitations (e.g. Safety Analysis; Composite Structure). (4) Authorized functions applicable to aeronautical products include: Identification of those regulations and standards of airworthiness and the aeronautical products for which a finding of compliance may be made as well as the privileges; and Standard by standard identification of the specialty functions which may be included in the procedures manual but not in the LOA. (5) General limitations associated with the delegation, as shown in section 5.0 of this SI shall be included in the procedures manual: for a DAR: limitations other than the generic ones shown in section 5.0 of this SI shall be included in the LOA for easy reference. for an AP: limitations specific to the individual not included in the procedures manual of the AEO/DAO must be included in the LOA. (6) The Director, National Aircraft Certification shall sign all LOAs. (7) The DAR or AP must sign the LOA Confirmation block and return a signed photocopy of the LOA to the TCCA office that has oversight responsibility within 15 days of receipt of the LOA. (8) Once the delegate s function is no longer being exercised these documents shall be returned within seven days to the Regional Manager or Chief of Delegation and Quality Division since the LOA and Certificates are Civil Aviation Documents. In the case of DARs and AEO/DAO s, the LOA and Certificate shall be returned to the TCCA office that has oversight responsibility while the AEO/DAO shall retain the AP s LOA and any certificates on behalf of the Minister. (9) For a change in authorization, a new LOA should be issued clearly stating that the previous LOA has been cancelled OVERSIGHT Delegates shall allow TCCA personnel access to their facilities, records and personnel for oversight purposes. Delegates shall make available the necessary facilities including work facilities for TCCA audit team members, access to the regulations, standards and advisory material utilized by the delegate, and all records as requested by TCCA of 36 SI Issue 01

16 10.1 Post Appointment Monitoring 10.2 Audit Each newly appointed DAR or AP may be subject to a period of monitoring and support by TCCA and, if applicable, any associated Core ACC member. For example, for a one year period, formal quarterly reviews may provide valuable feedback to the DAR or the AP regarding the quality of approvals. Where corrective action is required to fix any identified deficiencies, the Core ACC member or the OPI should ensure that a suitable resolution is implemented. For AEO/DAOs, a post certification audit within one year of authorization could be conducted. (1) TCCA shall conduct periodic audits of all delegates. Additionally, a corporate delegate shall conduct self-audits of the AEO/DAO on a regularly scheduled basis in accordance with their approved procedures manual and TCCA guidance materials. (2) Each audit shall be done in accordance with the procedures outlined in TP 8606 Inspection and Audit Manual, and SI GEN-006 Aircraft Certification Inspection and Audit Procedures. There are three types of audits conducted on delegates: Post-Certification audit; Special Purpose Audit; and Routine Conformance Audit. (3) The convening authority will be the Director, National Aircraft Certification, the Regional Manager, Aircraft Certification, the Regional Director, Civil Aviation or the Director General, Civil Aviation, as appropriate Follow-up activities The OPI shall ensure that all follow-up activities are completed. This includes activities such as audit findings CHANGES TO AUTHORIZATION This section provides guidance for changes to authorizations; such as extensions or reductions in the scope of authorization or authorized functions. The Delegations and Quality Division should be contacted if further guidance is necessary Extension (1) The functions that a delegate or an AP may perform may be increased where: the delegate or AP formally requests authorization to perform additional functions and provides the Minister with the information required by Chapter 505 of the AWM; and in the opinion of the Minister, the delegate or AP is capable of effectively performing the additional functions. (2) On a case-by-case basis, a Regional Manager, Aircraft Certification, Chief of Engineering, or Chief of Flight Test, may authorize a temporary extension to a scope of authority. The request for an extension and a resulting authorization shall be in writing. (3) However, long term or repeat extensions in the scope of authority should be reflected in the procedures manual and by a permanent change in the scope of authority. A revision to the LOA may be necessary to reflect the proper scope of authority Reduction (1) The functions that a delegate or an AP may perform may be decreased where: the delegate or AP formally requests a partial withdrawal of the functions that he is authorized to perform; or of 36 SI Issue 01

17 Delegation of Authority Process Aircraft Certification in the opinion of the Minister, the delegate or AP is not performing the delegated functions effectively. (2) In the case of an AEO/DAO or AP, a revised LOA shall be issued. In the case of a DAR, however, a revision of the procedures manual may be enough and may not require a revised LOA since the delegated paragraphs will be identified in the procedures manual OPI Responsibilities (1) All changes in the scope of authorization require the OPI to complete the following activities: issue a revised LOA if necessary to completely redefine the new scope of authorization in accordance with the procedures of section 6.0 of this SI as well as inform the delegate as applicable that: (i) (ii) a DAR shall incorporate the revised LOA or a photocopy into the procedures manual. Incorporation of this letter should not require further TCCA approval of the procedures manual; for a AEO/DAO, the revised LOA for an AP may not require incorporation into the procedures manual if: (A) (B) (C) ensure DIS is updated; and the specialty function is already reflected in the procedures manual; the AP retains a copy of the letter and remains aware of the scope of authority granted to him; and the AEO/DAO has established and maintains a record keeping system for each AP that includes copies of the LOA and any extensions or reductions to scopes of authority. where necessary, review and approve revised procedures manuals. (2) The Certificate of Authorization does not have to be reissued APs Changing Employers or Positions within an Employer (1) A LOA specifically identifies the conditions under which it remains effective. One of the conditions requires the AP to remain an employee of the company. Therefore, the LOA becomes invalid if the AP leaves the company. (2) Change in position within the employer does not require a revised LOA unless it affects the authorized functions Dual appointments (1) A person, who may or may not be a DAR, could become an AP within one or more AEO/DAOs at the same time. Each appointment has to be considered as a separate certificate of authorization with its own AP number and LOA. Even if this individual is a DAR the delegation as a DAR may provide different areas of authorization than that of the AEO/DAO, depending upon the applicant s experience and the limitations TCCA places on the DAR. (2) In such cases, the AP must use the appropriate authorization number while performing work as an AP on behalf of the AEO/DAOs. Conversely, their Certificate of Authority as an AP may not be used while performing the work of a DAR. This is because the respective scopes of authority may differ. (3) A statement that declares No Objection is required from the AEO/DAO where he is presently employed as an AP, if he wants to become a DAR or an AP of another AEO/DAO concurrently of 36 SI Issue 01