Production Approval Procedures
Manual
Version 3.0: July 2011
CASADOC 79
Production Approval Procedures Manual
This is an internal CASA policy manual. It contains guidance material intended to assist
CASA officers and delegates in carrying out their regulatory responsibilities and may be
made available to the public for information purposes only.
Since this is an uncontrolled version of the manual which will not be updated by CASA, it
should not be relied upon for any regulatory purpose. The current manual can be viewed at
any time via CASA's website at "www.casa.gov.au".
You should always refer to the applicable provisions of the Civil Aviation Act, Civil Aviation
Regulations and the Civil Aviation Orders, rather than this manual, to ascertain the
requirements of, and the obligations imposed by or under, the civil aviation legislation.
Version 3.0: July 2011
Production Approval Procedures Manual
Table of Contents
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Table of Contents
Table of Contents ........................................................................................................................ i
List of Effective Pages ............................................................................................................... v
List of Abbreviations ................................................................................................................. vi
Preface ....................................................................................................................................... vi
1. Introduction to Production Approval Procedures ..........................................................1-1
1.1
About this Manual ..................................................................................................1-1
1.1.1 Manual Sponsorship ....................................................................................1-1
1.1.2 Review of this Manual ..................................................................................1-1
1.1.3 Purpose and Scope of the Manual ...............................................................1-2
1.2
Regulatory Framework ...........................................................................................1-3
1.2.1 Background..................................................................................................1-3
1.2.2 Legislative Basis ..........................................................................................1-4
1.3
Responsibility for Production Approval ...............................................................1-6
1.3.1 Staff Responsibilities....................................................................................1-6
1.4
Production Approval Process ...............................................................................1-7
1.4.1 Production Approval Flowchart ....................................................................1-7
1.5
Processing Inquiries and Applications for Production Approvals ....................1-8
1.5.1 Advice Provided by CASA for General Enquiries .........................................1-8
1.5.2 Administrative Processing of an Application ................................................1-9
1.5.3 Technical Processing of an Application .....................................................1-10
1.6
Production Control Board (PCB).........................................................................1-12
1.6.1 Production Control Board Description ........................................................1-12
1.6.2 PCB Membership .......................................................................................1-12
1.6.3 PCB Member Responsibilities ...................................................................1-12
1.6.4 Conduct of the PCB ...................................................................................1-13
1.6.5 PCB Records .............................................................................................1-15
1.6.6 Administration of Production Approvals Granted .......................................1-16
2. Assessment and Issue of Approvals...............................................................................2-1
2.1
Approved Production Inspection System—Production under a TC Only .........2-1
2.1.1 Applicability – Production under Certificate Only .........................................2-1
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2.1.2
2.1.3
2.1.4
2.1.5
2.1.6
2.1.7
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Responsibility...............................................................................................2-1
Procedure for PIS Issue ...............................................................................2-1
Production Inspection System (PIS) Board ..................................................2-4
TC Holder's/TC Licensee's Responsibility under CASR Part 21,
Subpart F .....................................................................................................2-5
PIS Holder’s Facility Location ......................................................................2-7
Assessment of an Applicant’s Suppliers ......................................................2-7
2.2
Production Certificate (PC) Only ...........................................................................2-8
2.2.1 Applicability – Production Certificate ............................................................2-8
2.2.2 One-off PC ...................................................................................................2-9
2.2.3 Responsibility for PCs ..................................................................................2-9
2.2.4 Advising the Applicant................................................................................2-10
2.2.5 Preliminary Assessment Procedures .........................................................2-11
2.2.6 Testing Aircraft, Engines and Propellers ....................................................2-19
2.2.7 PC Holder's Location(s) .............................................................................2-19
2.2.8 Assessment of an Applicant’s Suppliers ....................................................2-19
2.2.9 Summary of Distribution of Production Certification Documents................2-20
2.2.10 Final Costing ..............................................................................................2-20
2.3
Australian Parts Manufacturer Approval Only ...................................................2-21
2.3.1 Applicability of Australian Parts Manufacturer Approval.............................2-21
2.3.2 Responsibility for Australian Parts Manufacturer Approval ........................2-21
2.3.3 Lodgement of an Application for an APMA ................................................2-22
2.3.4 CASA Engineering Assessment ................................................................2-22
2.3.5 FIS Assessment .........................................................................................2-28
2.3.6 APMA Approval .........................................................................................2-29
2.4
Australian Technical Standard Order Authorisation (ATSOA) Only ................2-32
2.4.1 Applicability – ATSOA ................................................................................2-32
2.4.2 Advising the Applicant................................................................................2-32
2.4.3 Lodgement of an Application .....................................................................2-33
2.4.4 ATSOA Issue Procedure............................................................................2-33
2.4.5 ATSOA Holder's Facility Location ..............................................................2-36
2.4.6 Approval of Materials and Processes.........................................................2-36
3. Assessment of an Applicant's Quality Systems for Manufacture ................................3-1
3.1
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General Principles ..................................................................................................3-1
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3.1.1
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General Principles........................................................................................3-1
3.2
Assessment of an Applicant’s Suppliers .............................................................3-3
3.2.1 Assessment of an Applicant’s Suppliers ......................................................3-3
3.3
Quality System Assessment..................................................................................3-5
3.3.1 Stage 1 Quality System Assessment—Desk-top Review ............................3-5
3.3.2 Stage 2 Quality System Assessment – Quality System Evaluation ...........3-24
3.3.3 Stage 3 Quality System Assessment—Manufacturer's Corrective
Action .........................................................................................................3-25
3.3.4 Manufacturer’s Service Documentation .....................................................3-25
3.3.5 Service Difficulty Reports ...........................................................................3-25
3.3.6 Reporting of Failures, Malfunctions and Defects during Manufacture ........3-26
3.3.7 Supplier Quality Control .............................................................................3-26
3.3.8 Engineering Drawings ................................................................................3-27
3.3.9 Use of CASA Form 1/Form 917 Authorised Release Certificate ................3-27
3.3.10 Use of CASA Form 1/Form 917 for Unapproved Parts ..............................3-28
3.3.11 Export Airworthiness Approvals .................................................................3-28
4. Inspections ........................................................................................................................4-1
4.1
Conformity Inspections .........................................................................................4-1
4.1.1 Introduction to Conformity Inspections .........................................................4-1
4.1.2 Conformity Inspections ................................................................................4-1
4.1.3 First Article Inspection..................................................................................4-4
4.1.4 Materials ......................................................................................................4-5
4.1.5 Processes Conformity ..................................................................................4-6
4.1.6 Automated Production Processes ................................................................4-7
4.1.7 Non-destructive Inspection (NDI) Method Evaluation ..................................4-8
4.1.8 Critical and Major Characteristics ................................................................4-8
4.1.9 Workmanship ...............................................................................................4-9
4.1.10 Adequacy of Drawings and Related Change Records .................................4-9
4.1.11 Adequacy of Inspection Records .................................................................4-9
4.1.12 Material Review Action ................................................................................4-9
4.1.13 Software.....................................................................................................4-10
4.1.14 Conformity Inspections of Test Articles ......................................................4-10
4.1.15 Structural Test Articles – Aircraft ...............................................................4-11
4.1.16 Flight Test Articles—Aircraft ......................................................................4-11
4.1.17 Endurance Test Articles—Engines and Propellers ....................................4-11
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4.2
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Final Inspection and Flight Test ..........................................................................4-13
4.2.1 Applicability — Final Inspection and Production Flight Test.......................4-13
4.2.2 Preliminary Ground Inspection ...................................................................4-13
4.2.3 Final Ground Inspection .............................................................................4-13
4.2.4 Flight Inspection .........................................................................................4-14
5. Sample Letters ..................................................................................................................5-1
5.1
Introduction.............................................................................................................5-1
5.2
Sample CASA APMA Approval Letter...................................................................5-2
5.3
Sample CASA APMA Supplement without Licensing Agreement......................5-4
5.3.1 Sample CASA APMA Supplement (Design Approval) Test and
Computation ................................................................................................5-4
5.4
Sample CASA APMA Supplement with Licensing Agreement ...........................5-5
5.4.1 Sample CASA APMA Supplement (Design Approval) Identicality ...............5-5
5.5
Sample APMA Supplement ....................................................................................5-6
5.6
Sample CASA APMA Design Rejection Letter .....................................................5-7
5.7
Sample ATSO Authorisation..................................................................................5-8
5.8
Sample PIS Approval Letter ................................................................................5-10
6. Definitions .........................................................................................................................6-1
Revision History .................................................................................................................. RH-1
Forms
Form 724
Statement of Conformity
Form 849
Production Approval—Application
Form 882
Conformity Inspection Record
Form 883
Production Approval Assessment Control Document
Form 1248 Request for Conformity Inspection
(Note: The above forms are only those available to the industry/public via the CASA
Website. Forms and templates used internally are available to CASA staff only, via
CASAconnect, and are not listed here.)
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Production Approval Procedures Manual
List of Effective Pages
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
List of Effective Pages
No. of
Pages
Version
Date of
Issue
All
3.0
07/2011
Cover and verso
2
3.0
07/2011
Table of Contents List of Effective Pages and Abbreviations
and Preface
12
3.0
07/2011
1.
Introduction to Production Approval Procedures
16
3.0
07/2011
2.
Assessment and Issue of Approvals
38
3.0
07/2011
3.
Assessments
28
3.0
07/2011
4.
Inspections
14
3.0
07/2011
5.
Sample Letters
12
3.0
07/2011
6.
Definitions
4
3.0
07/2011
2
3.0
07/2011
Part
All pages
Revision History
v
Production Approval Procedures Manual
List of Abbreviations
Approved by Executive Manager, Aviation Safety Standards
List of Abbreviations
Abbreviations
AC
AD
APMA
ARC
ARN
ASCD
ATSOA
AWE
CoA
ESS
FIS
FITCOM
IPC
MI
MRB
NAA
PAH
PA
PC
PCB
PIS
PLR
PO
RMU
SB
SDR
STC
TC
Preface
vi
Advisory Circular
Airworthiness Directive
Australian Parts Manufacturer Approval
Authorised Release Certificate
Aviation Reference Number
Aviation Safety Compliance Division
Australian Technical Standard Order Authorisation
Airworthiness Engineer
Certificate of Airworthiness
Engineering Support Section
Fabrication Inspection System
Fabrication in the Course of Maintenance
Illustrated Parts Catalogue
Manufacturing Inspector
Materials Review Board
National Airworthiness Authority
Production Approval Holder
Production Approval
Production Certificate
Production Certification Board
Production Inspection System
Production Limitation Record
Project Officer
Record Management Unit
Service Bulletin
Service Difficulty Report
Supplementary Type Certificate
Type Certificate
Version 3.0: July 2011
Production Approval Procedures Manual
Preface
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Foreword
As a Commonwealth government authority, CASA must ensure that its decision-making
processes are effective, fair, timely, transparent, consistent, properly documented and
otherwise in accordance with the requirements of the law.
Most of the regulatory decisions CASA makes are such that conformity with authoritative
policy and established procedures will be conducive to the achievement of these
outcomes. From time to time, however, decision-makers will encounter situations in which
the strict application of policy, in the making of a decision involving the exercise of
discretion, would not be appropriate. Indeed, in some cases, the inflexible application of
policy may itself be unlawful.
This preface and the following Introduction, explains the way in which the policy and
processes set out in this manual are to be used by all CASA’s personnel when making
decisions in the performance of their functions, the exercise of their powers and the
discharge of their duties. It also explains the processes to be followed if it appears that a
departure from policy is necessary or appropriate.
Mandatory Use of Policy and Procedure Manuals
This manual is one of the set of manuals and other documents which comprise CASA’s
authorised document set. The authorised document set contains the policy, processes
and procedures with which CASA personnel are expected to comply when performing
assigned tasks. All CASA personnel are required to have regard to the policies set out in
this manual. Except as described in the Introduction, CASA decision-makers should not
depart from these policies, processes and procedures.
John F. McCormick
Director of Aviation Safety
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Preface
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Version 3.0: July 2011
Introduction
Regulatory Decision Making
Where the legislation provides for one, and only one decision—the “correct” decision—is
the only decision open to CASA. However, most of the decisions CASA makes involve the
exercise of discretion. In such cases, there may well be more than one acceptable or
correct decision. In these cases, the law requires that CASA makes the “preferable”
decision, that is, the most appropriate decision, having regard to the overriding interests of
safety and the obligation to be fair.
In all such cases, CASA is bound to act in accordance with the applicable rules of
administrative law. These rules govern how CASA arrives at the ‘preferable’ decision in
any given case. Adherence to these rules is a requirement, not an option. Decisions and
actions taken in contravention of these rules are unlawful, unenforceable, and in most
cases invalid. CASA is legally accountable for the decisions it makes, and CASA decisionmakers are obliged to avoid the appearance, as much as the reality, of unlawful decisionmaking.
Sound and lawful regulatory decision-making is generally governed by the 10 rules of
administrative law summarised below. Adherence to these rules is essential to CASA’s
obligations of accountability and good governance.
1. Natural Justice (Procedural Fairness)

Hearing Rule. Persons affected by CASA’s decisions have a right to be heard.
To be meaningful, the hearing rule normally requires that CASA provides persons
with notice (usually in advance) that a particular decision is going to be taken, and
the reasons for the decision CASA proposes to take. Without notice and a
statement of reasons, there may be little point to providing a person with an
opportunity to be heard.

Rule Against Bias. Decision-makers should not have a personal or pecuniary
interest in the outcome of their decisions. Neither may decision-makers prejudge
(or pre-determine) matters in respect of which they are called upon to make a
decision.
2. A decision-maker must not act for improper purposes. Even if the purposes for
which a particular decision are lawful, the decision may only be taken for the purposes
specifically authorised by the law under which the decision has been taken.
3. A decision-maker must not take any irrelevant considerations into account in coming
to a decision.
4. A decision-maker must take all relevant considerations into account in coming to a
decision.

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Note: Applicable Policy is Always a Relevant Consideration.
5. A decision-maker must act on the basis of evidence, not mere supposition or
speculation.
6. A decision-maker must not formulate requirements in vague or uncertain terms.
7. A decision-maker must not inflexibly apply policy (although departures from policy
will normally need to be justified).
8. A decision-maker must not act under dictation (although this does not preclude
adherence to formal directions, compliance with lawful conditions in relation to the
process by which a decision is taken or the obligation to consult in the process of
considering a decision).
9. A decision-maker must decide the matter within a reasonable time.
10. A decision maker must not act in a way that is manifestly unreasonable. A decision
must not be so unreasonable that no reasonable person would make such a decision.
Note: The meaning and application of these principles, and related
considerations of administrative law, are covered more fully in the
induction and orientation training undertaken by all CASA employees. Any
questions in relation to these matters should be referred to the Legal
Services Division.
Departure from Authorised Policy
Adherence to CASA’s authorised policies will almost always produce an appropriate
decision. As said, however, from time to time there will be circumstances in which the
strict application of policy may not result in the “preferable” decision. In these cases it may
be appropriate (and possibly necessary) to depart from otherwise applicable policy.
Any departure from policy must be justified in order to ensure that it:



Is genuinely necessary in the interests of fairness
Does not inappropriately compromise the need for consistent decision-making; and, of
course
Is not in conflict with the interests of safety.
Without fettering a decision-maker’s discretion, it is therefore expected that appropriate
consultation will occur before a decision is made that is not the product of the policies and
processes set out in this manual. The prescribed consultation process is described below.

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Production Approval Procedures Manual
Preface
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Version 3.0: July 2011
Consultation Process
Decision-Maker’s Responsibilities
When a decision-maker believes there is a need to depart from policy he or she is
expected to consult with his or her direct supervisor. This process should be initiated in
writing:

Setting out the pertinent facts and circumstances

Identifying the provisions of the policy normally applicable


Stating why the application of that policy would not result in the making of the
“preferable” decision in the circumstances to hand
Specifying the approach the decision-maker believes is more likely to result in a
“preferable” decision.
Supervisor’s Responsibilities
In considering a consultative referral, the decision-maker’s supervisor should:


Advise the decision-maker as to whether his or her assessment of the relevant
considerations appears to be complete and correct
If, in the opinion of the supervisor, the circumstances do not warrant a departure from
policy, provide the decision-maker with written advice and guidance as to how the
decision might more properly be approached within the current policy framework
Note: Reliance on relevant precedent is a sound basis on which to ground such
an opinion. It may also be helpful to seek advice from peers, superiors
and/or CASA’s Legal Services Division.

If, in the opinion of the supervisor, a departure from policy is warranted, the supervisor
should ensure the policy sponsor (normally the relevant Executive Manager) is
advised of:
i.
The intention to depart from the otherwise applicable policy
ii.
The alternative approach the decision-maker will be taking to the matter.
The supervisor should ensure that a full written record of these actions is made and
maintained.

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Note: In no case may the terms of decision be dictated to a delegate authorised to
exercise discretionary decision-making powers.
If a decision-maker’s supervisor or the policy sponsor is not satisfied that the
decision the decision-maker intends to make is the correct or preferable
decision in all the circumstances, responsibility for that decision should be
assumed by, or assigned to, another authorised delegate in accordance with
appropriate processes and procedures.
Policy Sponsor’s Responsibilities
If the policy sponsor concurs in the proposed departure from policy, he or she should
ensure the decision-maker is advised accordingly as soon as possible.
If the policy sponsor does not believe the proposed departure from policy is warranted, he
or she should:

Advise the supervisor accordingly

Assume responsibility for the decision


Ensure that the decision-maker and any person affected by the decision (for which the
policy sponsor has assumed responsibility) is advised accordingly
Make the decision in a manner consistent with the applicable policy.
The policy sponsor should ensure that a full written record of these actions is made
and maintained.
Nothing in these processes should be interpreted or applied so as to dictate the terms of
the decision to be made by a decision-maker authorised to make discretionary decisions
under the civil aviation legislation, or to delay unreasonably the making of such decisions.
Revisions to Policies and Manuals
As a result of experience in applying policies and procedures, users will form views as to
accuracy, relevance and applicability of the content.
CASA personnel are required to provide recommendations for revisions to policies and
processes in this or any other manual should they become aware of shortcomings. In this
way the policies and manuals will be continually improved and remain relevant to the tasks
being undertaken.

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Production Approval Procedures Manual
Preface
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Version 3.0: July 2011
Each policy and manual has a sponsor and recommendations for amendment are to be
forwarded to the relevant individual for consideration. The revision process can be
accessed via the link:
http://casaconnect/manuals/doc_control/process.htm

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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.1 About this Manual
Approved by Executive Manager, Aviation Safety Standards
1.
Version 3.0: July 2011
Introduction to Production Approval Procedures
1.1
About this Manual
1.1.1
Manual Sponsorship
The Executive Sponsor of this manual is the Executive Manager Operations. The
Technical Sponsor of this manual is the Team Leader Manufacturing (TLM). The
Technical Sponsor is responsible for the integrity of the content of this manual and is the
first approval authority for amendments to this Manual. The Executive Sponsor gives final
approval of this manual and all its amendments.
1.1.2
Review of this Manual
Production Approval Manual Review Team
This Production Approval Procedures Manual will be reviewed as required and within at
least 12 months of issue or review. The Production Approval Manual Review Team will
comprise:
●
Technical Sponsor/Chair – TLM Section
●
Two Manufacturing Specialists
●
Technical Support Officer.
Recommending Changes to the Manual
If any information in this manual needs to be amended or new information added, notify
the technical sponsor. Use Form 476 Manual Amendment Request, when making
suggestions, including additional sheets if necessary.
Definitions
See Section 6. Definitions
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1. Introduction to Production Approval Procedures
1.1 About this Manual
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1.1.3
Version 3.0: July 2011
Purpose and Scope of the Manual
Purpose
The purpose of this manual is to provide CASA staff with procedures for assessing
applications for Production Approvals (PAs) under CASR Part 21 and for issuing those
CASA approvals.
CASR
Part 21
Scope
CASR
Part 21
This manual applies to PAs under Part 21 including but not limited to the following:
CASR Part
21. Subparts
F, G, K, O,
and Q
●
Production under Type Certificate only (TC) (CASR Part 21 Subpart F)
●
Production Certificate (PC) (CASR Part 21 Subpart G)
●
Australian Parts Manufacturer Approval (APMA) (CASR Part 21 Subpart K)
●
CASR Part
21.305 (A)
●
Australian Technical Standard Order Authorisation (ATSOA) (CASR Part 21 Subpart
O)
Other approvals under CASR 21 Subpart K
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1. Introduction to Production Approval Procedures
1.2 Regulatory Framework
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1.2
Regulatory Framework
1.2.1
Background
Version 3.0: July 2011
An outline of the background to this manual is as follows:
CASR Part
21
CAR 30
a. Version 1 of this manual was introduced in May 2000 to address manufacture
under CASR Part 21 and for transition from previous approvals issued under
regulation 30 of CAR 1988.
●
●
CASR Part
21
CASR Part 21 provisions were developed with the intent of reflecting the
corresponding provisions in US FAR Part 21, but only where these were
appropriate to Australian requirements.
The result has been regulations that harmonise with international best
practice while at the same time meeting Australia's obligations as a
contracting state to ICAO.
b. Version 2.0 was introduced to clarify procedures in the light of experience gained
since the introduction of CASR, (1998) Part 21.
c. Version 2.1 was introduced in March 2010 to reflect CASA organisational
changes, primarily the transfer of the Manufacturing Branch from the Standards
Development and Future Technologies Branch to the Operations Division.
Version 2.1 also introduced the concept of a Technical Sponsor, responsible for
the integrity of the technical content of this manual.
d. Version 3.0 is introduced to correct deficiencies in the manual.
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1. Introduction to Production Approval Procedures
1.2 Regulatory Framework
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1.2.2
Version 3.0: July 2011
Legislative Basis
Civil Aviation Act 1988 Section 11
CAA 1988
CAR 1988
CASR 1998
Part 21
Australia, as a contracting state to ICAO, has an obligation to ensure that functions
carried out in Australia are performed in accordance with international agreements. The
Civil Aviation Act 1988 section 11 refers. CAR 1988 and CASR Part 21 are consistent
with the provisions of the Act.
Civil Aviation Act 1988 Section 31 and Civil Aviation Safety Regulations 1998 Part 201.4
CAA 31
Section 31 of the Act makes all decisions to refuse to grant, vary, suspend or cancel an
approval appealable to the AAT.
CASR 201.4
CASR Part 201.4 makes appealable any condition imposed on an approval,
authorisation, authority, certificate or permit.
Civil Aviation Act 1988 Section 97
If a fee is prescribed for the grant of an approval then the approval need not be granted
until the fee is paid (section 97 of the Act).
CAA 97
Civil Aviation Safety Regulations Part 1
CASR Part 1
Part 1 describes legislative links to other aviation legislation and practices.
Civil Aviation Safety Regulations Part 21 Subpart A
Subpart A defines the applicability of CASR Part 21, including provisions dealing with
falsification of applications, suspension and cancellation actions and reporting of failures
by production approval holders.
CASR
Part 21
Civil Aviation Safety Regulations Part 21 Subpart F
CASR Part
21 Subpart F
Subpart F prescribes the requirements for approval of production under a TC only. It
contains the requirements for establishing a Production Inspection System (PIS) and a
Materials Review Board (MRB). This approval does not provide the same degree of
flexibility as a PC.
Civil Aviation Safety Regulations Part 21 Subpart G
CASR Part
21 Subpart G
Subpart G prescribes the requirements for issue of a PC and the rules governing the
production of aircraft, aircraft engines and propellers and certain parts. This approval
requires the establishment of a PIS and a MRB..
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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.2 Regulatory Framework
Approved by Executive Manager, Aviation Safety Standards
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Civil Aviation Safety Regulations Part 21 Subpart K
CASR Part
21. Subpart
K,
Subpart K prescribes the requirements for issue of an APMA. This approval requires the
establishment of a Fabrication Inspection System (FIS). This approval is both a design
and installation approval.
Civil Aviation Safety Regulations Part 21 Subpart O
CASR Part
21. Subpart
O.
Subpart O prescribes the requirements for issue of an ATSOA. This approval is both a
design and production approval.
Civil Aviation Safety Regulations Part 21 Subpart Q
CASR Part
21. Subpart
Q
Subpart Q prescribes the requirements for part identification and marking.
Civil Aviation Safety Regulations Part 201
CASR Part
201
Part 201 prescribes the appointment of Authorised Persons (AP).
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1. Introduction to Production Approval Procedures
1.3 Responsibility for Production Approval
Approved by Executive Manager, Aviation Safety Standards
1.3
Responsibility for Production Approval
1.3.1
Staff Responsibilities
Version 3.0: July 2011
Executive Sponsor
The Executive Sponsor has responsibility for the overall approval of this manual.
Technical Sponsor
The Technical Sponsor assumes technical responsibility for this manual and manages its
development through to completion, or its amendment as and when required, in
accordance with the Manual of Controlled Documents.
Managers
Managers ensure that CASA staff correctly implements the procedures in this manual.
CASA Officers
CASA officers are to:
●
●
Adhere to the procedures in this manual
Bring to the notice of the Technical Sponsor the need for amendments to the manual,
in accordance with the instructions for Recommending Changes to the Manual (Form
476 Manual Amendment Request).
CASA Project Officer
The TLM Section appoints a PO for a particular production approval, who ensures that the
production approval application is assessed effectively and that all aspects of the approval
are complete and in accordance with this manual. When satisfied, the PO recommends
the issue of the approval.
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1. Introduction to Production Approval Procedures
1.4 Production Approval Process
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1.4
Production Approval Process
1.4.1
Production Approval Flowchart
Version 3.0: July 2011
Initial advice to applicant
PACS
Receive application
Set-up project file
Acknowledge Application
Notifies Manufacturing
Conduct onsite evaluation/
audit of QMS
TSO
Reviews application for
completeness
Does
applicant follow
approved
procedures?
Assigned Project
Officer
No
Notify applicant to
take corrective action
Yes
Is this the
facility's first
approval?
Is PC board
involved?
No
No
Yes
Convene PC board
Yes
Establish PC board if the
application is for a PC
Yes
Is there a major
change in the facility's
procedures?
No
Has
applicant met all
requirements?
No
Notify applicant to
take corrective action
Yes
Review data for compliance
Issue the approval
Do procedures
comply?
No
Notify applicant to revise
procedures
Complete files and
enter approval details
on CASA database
Yes
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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.5 Processing Inquiries and Applications for Production Approvals
Approved by Executive Manager, Aviation Safety Standards
1.5
Processing Inquiries and Applications for Production Approvals
1.5.1
Advice Provided by CASA for General Enquiries
AC 21.14,
21.16,
21.20,
21.27,
21.601
Version 3.0: July 2011
When people make enquiries about Production Approvals, provide them with relevant
advice and request that they read the appropriate Advisory Circular (AC) for the particular
approval, including:
●
AC 21.14
Production Certificates
●
AC 21.16
Australian Parts Manufacturer Approval
●
AC 21.20
Production Under Type Certificate Only
●
AC 21.27
Manufacturing Approval — Overview.
●
AC 21.601
ATSOA
Should the person wish to proceed, advice that a formal written application to CASA is
required before the application can be processed. Enquirers must be advised that cost
recovery procedures are applicable.
Regardless of which production approval is sought, it should be stressed to the applicant
that it is the applicant’s responsibility to demonstrate conforming products and parts. It is
a CASA responsibility to find that conforming parts have been demonstrated as a basis for
issue of the approval sought. A non-conformed proof-of-concept product is not a basis for
CASA assessment and subsequent approval.
The CASA officer should advise the applicant of the advantages of obtaining a PC. The
advantages of being a PC holder, compared to production under a TC only, include the
following:
●
●
●
CASR 21.325
●
No requirement to submit a Statement of Conformity (Form 724) to CASA, for each
conformed product
Reduced CASA involvement, relative to conformity inspections
An Authorised Person within the approved Production Inspection System (PIS) will be
able to issue airworthiness certificates and approvals for completed products without
reliance on CASA inspections
The issue of export approvals for small aircraft without assembly or flight test (CASR
21.325).
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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.5 Processing Inquiries and Applications for Production Approvals
Approved by Executive Manager, Aviation Safety Standards
1.5.2
Version 3.0: July 2011
Administrative Processing of an Application
Administrative Procedures by Permission Application Centres (PAC)
1. All production approval applications are received by PAC on Form 849 Production
Approval Application. Once all relevant data has been received, PAC will send a draft
cost estimate to TLM for completion.
2. Once the applicant has paid the required fees, PAC will create a task which is
assigned to the TLM. Once the task is accepted by TLM, PAC manages the
application as required, in accordance with their procedures.
3. When the task is completed, TLM or the appointed PO will advise PAC of completion
and will provide an adjusted costing.
4. PAC will advise the applicant of the actual cost and recover additional cost or provide
a reimbursement to the applicant.
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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.5 Processing Inquiries and Applications for Production Approvals
Approved by Executive Manager, Aviation Safety Standards
1.5.3
Version 3.0: July 2011
Technical Processing of an Application
Team Leader Manufacturing (TLM)
The TLM Section monitors the progress of the application. If it becomes evident that the
application will not be processed within the normal timeframe, he will ensure that the
applicant is notified accordingly.
The TLM appoints a PO for each task and updates the work flow management system to
reflect the appointed PO.
The TLM issues approvals that are not within the delegation of the Manufacturing
Inspectors (MI).
The TLM is the design approval authority for design submitted in support of production
approval except for design for Type Certificate and Supplementary Type Certificate.
Project Officer (PO)
The PO:
1. Completes the required completion dates in the work flow management system and
accepts the task for Manufacturing Section
2. Checks that Form 849 Production Approval Application and covering letter are
complete and on the Document Management System
3. Checks the regulatory AIRS database for any current enforcement actions pending or
proceeding in relation to the applicant or whether any exclusion periods have been
imposed. Refer any of these to the Office of Legal Services for advice, if needed
4. If a Production Control Board (PCB) is required, pre-PCB (CASA) and pre-PCB
(applicant) meetings may now be convened (refer to 1.6.1 Production Control Board
Description), to prepare both CASA officers involved in the assessment and the
applicant for the requirements of the assessment. (A PCB is required for Class 1
items, and may be required for other items, depending upon the complexity and
investigations required.) The activities are to be completed in accordance with the
Production Approval Flowchart at 1.4.1.
5. Plans and conducts Pre- and Post-PCB meetings
6. If the application does not require the establishment of a PCB, proceed as for the
preliminary assessment only
7. Raises Form 883 Production Approval Assessment Control Document and place it on
the appropriate Document Management System. The Form 883 is to be signed by the
PO and an approval authority, to be two different persons.
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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.5 Processing Inquiries and Applications for Production Approvals
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Technical Support Officer (TSO)
1. Upon notification of a new task from PAC, the TSO will review the application and the
data package for completeness using the Manufacturing checklist.
2. Where additional data is required, the TSO will liaise with PAC to contact the applicant
for the provision of such data.
3. When all data is available the TSO is to advise TLM and assist TLM or the PO with
the development of the cost estimate.
4. Upon task completion, the TSO assists TLM or the PO with the final cost assessment
and provide such to PAC.
5. The TSO acts as the PCB secretariat for document management and distribution.
6. Once TLM or the POs have issued the finalised permissions, the TSO enters the
permissions and their relevant data in the regulatory database.
7. The TSO closes the task in Workflow Management System (WMS) and the document
management system in conjunction with the PO’s.
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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.6 Production Control Board (PCB)
Approved by Executive Manager, Aviation Safety Standards
1.6
1.6.1
Version 3.0: July 2011
Production Control Board (PCB)
Production Control Board Description
A PCB is a CASA panel established for the purpose of facilitating the assessment of a
production approval.
PCBs should be convened for initial production approvals covered by production under TC
only or PC, or when entire facilities have been relocated or are to be added to the
production approval. PCBs should not be convened for the addition of new models to the
production approval or for relocation of a portion of a facility, unless significant changes in
production technology or processes apply. In these instances, follow the procedures in
Section 2. Assessment and Issue of Approvals.
1.6.2
PCB Membership
The PCB will be chaired by TLM and will include the PO, at least one member from
Certification and any other nominated specialists. These members will assist in evaluating
the applicant's production, engineering, flight test procedures, and other related functions.
The PO may be, or act as, the Chairperson of the PCB and will coordinate activity through
the TLM.
1.6.3
PCB Member Responsibilities
PCB Chairperson
The PCB chairperson is responsible for:
●
●
●
●
●
●
Assigning board members, as deemed appropriate for the particular product, and
notifying members of the pending PCB schedule in sufficient time to permit adequate
planning and preparation
Notifying the applicant of the PCB schedule
Selecting a representative number of the applicant's supplier facilities for evaluation to
determine whether or not the applicant's quality system provides for satisfactory
supplier control
Conducting pre/post-PCB meetings with CASA officers and/or the applicant
Reviewing and analysing the PCB findings and ensuring that appropriate corrective
actions have been or will be taken by the applicant
Completing, signing, and distributing the PCB minutes.
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1. Introduction to Production Approval Procedures
1.6 Production Control Board (PCB)
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Project Officer
The PO is responsible, using administrative assistance as appropriate, for:
●
Establishing schedules
●
Making arrangements for meeting rooms
●
Obtaining sufficient copies of quality system data
●
Making all other arrangements necessary for convening and conducting the PCB in
the most expeditious manner
●
Ensuring that all agreed-upon corrective actions have been taken by the applicant
●
Preparing the minutes of the PCB.
Specialists Members
Specialist members will be assigned responsibilities to:
●
CASR
21.127,
21.128,
21.129,
21.143 (1)(c)
●
●
●
1.6.4
Assess the design data supplied against CASR Part 21 requirements and to provide a
recommendation to the TLM for design data approval
Evaluate and approve as relevant the applicant's production engine/propeller test
procedures, as required by CASR 21.143(1)(c), 21.127, 21.128 or 21.129
Evaluate and approve the applicant's flight test procedures and check-off lists as
required by CASR 21.143(1)(c)
Report and recommend to the PO (rather than making direct communication with the
applicant).
Conduct of the PCB
A PCB is generally conducted as follows:
●
Initial CASA planning meeting
●
Pre-PCB meeting
●
PCB assessment of applications
●
PCB meetings
●
Final Phase of PCB
●
PCB Conclusion.
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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.6 Production Control Board (PCB)
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Initial CASA Planning Meeting
A meeting of CASA personnel is held to plan the preliminary assessment, Manufacturing
Section recommendations, and related correspondence between CASA and the applicant.
This meeting is also used to plan the PCB schedule for subsequent meetings; and
establish agenda items for the pre-PCB meetings.
Pre PCB Meeting
A Pre-PCB meeting may be held with the applicant's representatives upon receipt of the
production approval application. This meeting should include the Chairperson and any
other specialist as necessary. The purpose of this meeting is to advise the applicant of
the purpose of the CASA PCB and of CASA's evaluation plans.
CASR
21.125,
21.135,
21.137
Inform the applicant that the PCB is a fact-finding body convened to determine whether or
not the applicant is in compliance with CASR 21.125 or 21.135 and, that in making this
determination, the PCB will thoroughly evaluate the applicant’s quality system, data,
organisation and production facilities. It is at this point that the Chairperson determines
whether or not the location of the applicant’s facilities poses an undue burden on CASA,
as specified in CASR 21.137.
PCB Assessment of Applications
Following the pre-PCB meeting with the applicant, the PCB evaluates the applicant's
quality system data and performs an on-site evaluation of the applicant's quality system,
organisation, production facility and suppliers, as appropriate.
PCB Meetings
PCB meetings are conducted as needed to discuss and evaluate each unsatisfactory
condition and related recommendation submitted by each member. All unsatisfactory
conditions are recorded as findings on Form 883 Production Approval Assessment Control
Document. A final meeting, attended by all PCB members and representatives of the
applicant, is held to advise the applicant of the PCB findings. Each unsatisfactory
condition and recommendation should be presented and briefly discussed.
Corrective Action
In those instances where a product is being produced under a TC, the PCB must request
that the applicant commence immediate corrective action on those items that directly
involve the product and related quality practices. A reasonable time may be allowed for
correcting deficiencies in the quality system data. However, the applicant must be advised
that the PCB cannot recommend that an approval be issued until all applicable regulations
are complied with and all corrective actions addressed to the satisfaction of the TLM.
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1. Introduction to Production Approval Procedures
1.6 Production Control Board (PCB)
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Formal Confirmation
The applicant must also be advised that they will receive an official letter confirming the
verbal presentation of the list of unsatisfactory conditions and recommendations. This
formal notification should be prepared and signed by the PCB Chairperson, within ten
working days of the final meeting with the manufacturer.
Violations
CASR
Part 21
Subpart F
If the applicant is manufacturing a product under a TC only, and any of the unsatisfactory
conditions are determined to be violations of CASR Part 21, Subpart F, appropriate
enforcement actions should be initiated by the Manufacturing Section.
Final Phase of the PCB
The final phase of a PCB is the evaluation by the Manufacturing Section of the corrective
action taken by the applicant. The results of any re-inspection should be reported to the
Chairperson of the PCB and, if satisfied, the Chairperson will document their approval on
Form 883 Production Approval Assessment Control Document and then submit the Form
883 to the TLM for their sign off on Form 883 Production Approval Assessment Control
Document.
PCB Conclusion
CASR
21.123,
21.135
1.6.5
Upon guidance from the TLM, the Permissions Application Centre will formally advise the
applicant in writing, as soon as practicable, that based on a demonstrated compliance
with CASR 21.123 or 21.135, an approval will be issued. Conversely, if compliance has
not been demonstrated, the applicant will be formally advised that an approval will not be
issued, and a statement of reasons must be advised to the applicant.
PCB Records
The PO shall prepare the PCB minutes for the signature of the Chairperson. The minutes
should contain a concise record of the entire PCB proceedings, including the names and
titles of all participants. All correspondence and forms relating to the PCB, including
letters to the applicant, the applicant’s replies, etc, are considered to be part of the
minutes and should be attached as appendices.
Once accepted by the Chairman, the PCB minutes should be distributed as follows:
●
Original to the applicant’s document management system file
●
One copy to the applicant
The TSO will advise all members of the PCB as correspondence is generated and stored
in the document management system.
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Production Approval Procedures Manual
1. Introduction to Production Approval Procedures
1.6 Production Control Board (PCB)
Approved by Executive Manager, Aviation Safety Standards
1.6.6
Version 3.0: July 2011
Administration of Production Approvals Granted
Approval Numbers
All PA numbers incorporate the Aviation Reference Number (ARN) of the organisation.
PC Numbers
A PC’s number consists of the letters PC- followed by the ARN of the applicant—for
example, PC-123456. It is unlikely that there would be more than one PC issued to an
organisation because the Production Limitation Record (PLR) can list multiple activities.
An approval under CASR 21.133(2B) uses the letters PC- followed by the ARN of the
applicant followed by -1, for example PC-123456-1.
APMA Numbers
Only one APMA is likely to be issued to an organisation. An APMA number consists of
the letters APMA- followed by the ARN of the applicant—for example, APMA-123456.
The specific aeronautical products and parts are listed on the supplement; an additional
APMA supplement is issued to add new products. The first and any additional
supplements are numbered consecutively from 001.
ATSOA Identification
An ATSOA is expected to be a discrete issue, and an organisation is likely to have
multiple ATSOA approvals. The Letter of Approval identifies the specific item(s). The
applicant’s ARN will be quoted in the letter
Regulatory System Database
The TSO is responsible to update the Regulatory System Database as new permissions
or variations are issued as a project closure activity.
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Production Approval Procedures Manual
2. Assessment and Issue of Approvals
2.1 Approved Production Inspection System—Production under a TC
Only
Approved by Executive Manager, Aviation Safety Standards
2.
Version 3.0: July 2011
Assessment and Issue of Approvals
2.1
Approved Production Inspection System—Production under a TC Only
2.1.1
CASR
Part 21,
Subpart F
Applicability – Production under Certificate Only
This section provides guidance on the production of an aircraft, aircraft engine or
propeller under a TC only, prior to obtaining a PC
For production under a TC only, the manufacturer must comply with CASR Part 21,
Subpart F, including establishing and maintaining an approved PIS.
CASR
21.125
AC 21.20,
21.27
Additional guidance is contained in AC 21.20 and AC 21.27.
Applicants should be aware that CASA considers that a PIS supports only an interim
production stage, and they should be encouraged to achieve a PC for their activities.
Additionally, as CASA provides the resources on a cost recovery basis to determine
whether the product and parts manufactured by the applicant conform to the type design,
and are in a condition for safe operation until a PIS is established, the cost of production
under a TC only could be significant.
The regulations require the PIS holder to have process specifications, materials review
records, test procedures and flight check forms that are acceptable to CASA and the
applicant should have started developing these data concurrently with other data relevant
to type certification requirements.
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2.1.2
Responsibility
Subsequent to the date of issue of the TC and prior to the approval of the of the
production inspection system CASA has full responsibility for determining whether the
product and parts thereof conform to the type design and are in a condition for safe
operation.
The TLM is responsible for managing all aspects of progression to a PIS and for the
relevant surveillance activities before and after the PIS is established.
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2.1.3
Procedure for PIS Issue
Preliminary Assessment Procedures
CASR
21.123
An applicant for a PIS must show compliance with CASR 21.123.
This preliminary assessment consists of an evaluation of the applicant’s:
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Production Approval Procedures Manual
2. Assessment and Issue of Approvals
2.1 Approved Production Inspection System—Production under a TC
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Approved by Executive Manager, Aviation Safety Standards
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●
Version 3.0: July 2011
Production Inspection System
Facilities, equipment, processes, personnel, control of suppliers, stores, etc, to ensure
that they are adequate for the purpose.
The assessment of the PIS will require a number of visits to the applicant’s facilities and
suppliers, as necessary; to evaluate and confirm that the procedures provide control for
the conformity of detail parts, sub-assemblies and completed products. In other words,
the PO must evaluate the adequacy of the quality system by personally observing the
control of each stage of production, and all supporting functions such as document
control.
In the preliminary assessment, the appropriate sections of this manual are used to assess:
●
Suppliers
●
Supplier control
●
All quality systems.
Project Officer (PO)
The PO:
1. Makes arrangements to conduct the preliminary assessment only after the applicant
has accepted the CASA estimate of costs and has the capability to comply with the
regulatory requirements
2. Assesses the applicant's quality system assisted by specialists, as required
3. Carries out the assessment concurrently with conformity inspections of first articles
prior to approving the PIS. That is, assess the applicant’s PIS for adequacy on a
progressive basis
4. As parts of the system are found to meet the regulatory requirements:
❍
Maintains a record of those portions of the system considered satisfactory on
Form 883 Production Approval Assessment Control Document
❍
Reduces conformity inspections to spot-checks for articles covered by those parts
of the system found satisfactory
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2. Assessment and Issue of Approvals
2.1 Approved Production Inspection System—Production under a TC
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Approved by Executive Manager, Aviation Safety Standards
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Version 3.0: July 2011
Places increasing emphasis on securing corrective actions on the parts of the
system where procedural discrepancies or nonconformities are found, or where
the system is found to be inadequate, as recorded on Form 883 Production
Approval Assessment Control Document.
Assessing the Applicant's Progress
The PO:
1. Periodically assesses the applicant's progress in obtaining approval of the PIS.
CASR
21.123(1)(c)
2. If it appears that the applicant may not be eligible for approval of the PIS by the
deadline date (six-month period specified in CASR 21.123(1)(c)), advises the
applicant in writing of all known deficiencies. Also, cautions the applicant that after
the deadline date, CASA will not issue any airworthiness certificates or any other
approvals unless an extension of the time period is authorised by the delegate.
Keeps the delegate informed if such a situation becomes inevitable.
Extension of six-month period: An application for extension of the six-month
period, must take into consideration the impact the extension would have on CASA
staff, resources and safety.
CASR
21.123(3)
CASR 21.123(3) allows CASA to grant an extension when there are unusual or
extenuating circumstances which would preclude the approval of the PIS within the
six-month limitation.
When an extension is to be granted, forwards requests for extension, together with a
detailed summary of the inspections and assessment results during the six-month
period, to the delegate.
Failure to Establish a PIS: When an applicant fails to establish a PIS by the end of
the six-month period (except as otherwise extended as above), CASA will no longer
make conformity determinations and will discontinue all inspections. CASA will not
issue airworthiness certifications and approvals. Provided that manpower resources
allow, CASA may continue to counsel and advise the applicant to the extent
necessary to obtain a PIS as soon as practicable.
Notifying the Applicant
On completion of the preliminary audit, the PO is to formally notify the applicant of any
corrective actions needed. In so doing, the PO is to advise the applicant that these items
only represent CASA’s preliminary findings and that additional requests for corrective
actions can be anticipated as a result of subsequent findings by the PIS Board, future
routine audits and surveillance activities.
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Production Approval Procedures Manual
2. Assessment and Issue of Approvals
2.1 Approved Production Inspection System—Production under a TC
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Approved by Executive Manager, Aviation Safety Standards
2.1.4
Version 3.0: July 2011
Production Inspection System (PIS) Board
A PIS Board is established under the same conditions as those detailed for the PCB. See
Section 1.6.1 Production Control Board (PCB).
Conduct of the PIS Board and Records of Its Findings
The PIS Board is conducted in a manner similar to a PCB, including the use of a
Chairperson. The PCB procedures in Section1.6.1 Production Control Board (PCB)
should be followed as appropriate, by the PO.
Also, the PIS Board findings should be documented in the same manner as the findings of
a PCB, as applicable to the particular situation.
Preparation and Delivery of the letter approving the PIS
CASR Part
21
When the PIS Board has determined and documented that the manufacturer's complete
PIS complies with CASR Part 21, the PO is to prepare a letter of approval for the
signature of the delegate. (A sample letter is provided in section 5.9.). The letter is to be
forwarded to Airworthiness And Engineering Branch (Certification Section) to accompany
their TC approval.
Note: When production under TC only is based on a licensing agreement for a
specific period of time, the same period of time must be indicated on the PIS
approval letter as a limitation to the approval.
Revision of a PIS Approval Letter
Subsequent to the issue of the original letter, the manufacturer may apply to add another
type-certificated product or a new model to the manufacturer's PIS. The TLM must
appoint a PO to evaluate any required changes to the PIS resulting from new technology
change to the facilities and staff.
Project Officer
1. If the change is considered to be significant, TLM may re-convene the PIS Board to
make the determination, and process the application in accordance with this section.
2. If a PIS Board is not required, a PO may carry out an assessment, and draft the
revised letter for the delegate. The draft letter is to refer to the original approval letter.
3. The PO will then issue the new letter, withdraw the obsolete letter and file all
correspondence.
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2.1 Approved Production Inspection System—Production under a TC
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2.1.5
Version 3.0: July 2011
TC Holder's/TC Licensee's Responsibility under CASR Part 21, Subpart F
CASR Part
21,
Subpart F,
21.130.
Manufacturers producing aircraft, aircraft engines or propellers under a TC Only (CASR
Part 21, Subpart F) are required to submit to CASA a Statement of Conformity (Form 724)
for each completed aircraft, aircraft engine or propeller. The Statement of Conformity is
required before aircraft produced only under a TC can be issued with a Certificate of
Airworthiness or, in the case of engines and propellers, before an Authorised Release
Certificate (ARC) can be issued. The Statement of Conformity submitted by the
manufacturer is a certification that the product conforms to its type design and is in a
condition for safe operation. See Statement of Conformity (Form 724) required by CASR
21.130.
CASR 21.125
Subsequent to the issue of a PIS, the TC holder/licensee is additionally responsible for
maintaining the PIS in accordance with CASR 21.125 to ensure that each product
conforms to the type design and is in a condition for safe operation. The manufacturer
must also comply with any terms or conditions as prescribed in the PIS approval letter.
CASR 21.003
A TC holder/licensee is responsible for reporting any failures, malfunctions, and defects
as required by CASR 21.003.
CASR
21.003
Note: The manufacturer must report to CASA serious occurrences as listed in
CASR 21.003 (4) that have occurred.
The manufacturer does not need to report to CASA things as listed in CASR
21.003 (4) that might occur unless the product is outside the manufacturer’s
control.
Normal manufacturing problems can be fixed and not reported to CASA if the
product has not left the manufacturer’s control or can be readily retrieved.
The manufacturer does not have to report to CASA on an occurrence that is
of a kind listed in CASR 21.003 (5) (21.10 refers) i.e., improper maintenance
or usage, or has already been reported.
CASR Part
21, Subparts
F and Q.
Products manufactured under the provisions of CASR Part 21, Subpart F, must be
marked in accordance with the requirements of CASR Part 21 Subpart Q.
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2.1 Approved Production Inspection System—Production under a TC
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Testing (aircraft, engines, propellers)
CASR Part
21, Subpart
F, 21.127,
21.128,
21.129
Each person who produces a completed product (except rocket engines) under CASR
Part 21, Subpart F, must flight test and/or functional test that product.
●
●
Aircraft: Each aircraft produced under CASR Part 21, Subpart F, both prior to and
subsequent to the issue of a PIS, must be flight-tested in accordance with CASR
21.127.
Engines and Propellers: Each engine or propeller produced under CASR Part 21,
Subpart F, both prior to and subsequent to the issue of a PIS, must be subjected to
an acceptable test run or functional test in accordance with the requirements of
regulations 21.128 or 21.129, as appropriate.
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2.1 Approved Production Inspection System—Production under a TC
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2.1.6
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PIS Holder’s Facility Location
A PIS holder's manufacturing complex may consist of a principal facility and associate
facilities using the same quality system approved by CASA for the particular type
certificated product(s).
The PIS is only applicable to the principal manufacturing facility that controls the quality of
the product(s) for which the approval was granted. The principal facility and associate
facility addresses are listed on the PIS. A post office box address is not acceptable for a
facility because the actual location must be identified. However, post office boxes may be
used as postal addresses for correspondence.
When a PIS holder moves the principal manufacturing facility to a new location the PIS is
no longer effective.
When the PIS holder moves an associate facility or adds a new plant, CASA
Manufacturing must be notified of the changes. Before the new plant or moved facility is
approved for production it must be subjected to a satisfactory audit or be assessed by a
PIS Board if the change is significant.
The PIS must be amended to reflect this change.
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2.1.7
Assessment of an Applicant’s Suppliers
See 3.2 Assessment of an Applicant’s Suppliers for supplier evaluation procedures.
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2.2 Production Certificate (PC) Only
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2.2
2.2.1
Version 3.0: July 2011
Production Certificate (PC) Only
Applicability – Production Certificate
CASR Part
21,
Subpart G
This section provides guidance on the assessment and issue of a PC when an applicant
complies with CASR Part 21 Subpart G.
AC 21.14
Additional guidance is contained in AC 21.14.
CASR
21.135,
The following persons may be issued with a PC when CASA finds, after examination of
supporting data, inspection of the organisation and production facilities, that the applicant
has complied with CASR 21.135:
21.021
21.029
●
The holder/licensee of a CASR 21.021/21.029 TC
●
The holder/licensee of a STC
Note: STC holders who only intend to produce modification parts/kits should
apply for an APMA.
CASR
21.025,
21.031
●
The holder/licensee of a CASR 21.025 TC, when the TC issue was based on
submission by the TC applicant and CASA approval of the type design data required
by CASR 21.031
A PC may not be issued to:
CASR
21.027, Part
21, Subpart C
●
●
The holder of a TC issued under CASR 21.027, or CASR Part 21, Subpart C
(provisional TC)
An organisation whose manufacturing facilities are located outside Australian territory,
unless it has been determined that such location(s) would place no undue burden on
CASA.
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One-off PC
CASR 21.133
This procedure has been introduced to assist industry in obtaining aeronautical products,
required as part of the maintenance of an aircraft, from other organisations qualified to
fabricate those products. A PC for this purpose may be issued under CASR 21.133(2B).
The approval is limited to the manufacture of Class II or Class III product on a “One Off”
basis for supply to a maintenance organisation, engaged in the maintenance of an aircraft
for installation in or on the aircraft or the owner of an aircraft or the operator of an aircraft
for the installation in or on the aircraft, engine or propeller in the course of maintenance
activities.
CASR 21.133
A PC issued under CASR 21.133 (2B) can be issued in accordance with the procedures
in this manual, with the following limitation entered on the PLR section:
“Limited to the manufacture and supply of parts to be consumed in the course of
maintenance for the supply to:
❍
A maintenance organisation
❍
An owner/operator of the aircraft or component.
The requirements on the manufacturer are the same as those requirements for any PC,
other than an MRB process is not mandatory. All parts manufactured must conform to the
approved data and be in a condition for safe operation.
CASR 21.151
The PLR may include generic instructions e.g. for cables and hoses, by material
specification, length and fittings. The PAH is expected to receive an application to
manufacture each part, identifying the aircraft in which the part will be installed. Note that
CASR 21.151 (c) requires the PLR to have a description of each product to be
manufactured. However, note that specific replacement parts for general sale (including
cables & hoses) are required to be manufactured under an APMA or ATSOA.
Note: The use of CASA Form 1/Form 917 Authorised Release Certificate for a oneoff PC is described in Section 3.2.12.
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2.2.3
Responsibility for PCs
●
The PO is responsible for managing all aspects of an application for a PC
●
The TLM is responsible for ongoing certificate management.
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2.2.4
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Advising the Applicant
As part of the assessment, CASA must ensure that the PC applicant understands that the
holder of a PC is responsible for:
●
CASR Part
21
●
●
●
CASR 21.147
●
Maintaining the quality system in accordance with the regulations, data and
procedures approved for the PC
The systems and elements identified in SAE AS9100, Aerospace Standard – Quality
Management System, meet CASA’s expectations for a manufacturing quality
assurance system, as this standard has been specifically written for aerospace
organisations. CASA does not accept the registration and certification of quality
systems by third parties as compliance with CASR Part 21 requirements, and will
make an independent assessment of such systems as part of the entry control
process for the issue of a production approval. However, a quality system based on
SAE AS9100 forms a sound foundation for a quality management system that, if
properly implemented, should address CASR Part 21 quality system requirements
CASA-approved manufacturing organisations and applicants for Part 21 production
approvals are to be encouraged to implement quality systems based on SAE AS9100
insofar as the requirements of that standard are applicable to their activities. Large or
complex organisations should adopt most, if not all, requirements of the Standard,
whereas smaller organisations need only adopt those that are necessary for the
management and control of their activities in order to maintain compliance with
regulatory requirements relating to their approval.
Ensuring conformity with the Type Design or Product Design, as applicable, and
condition for safe operation of each completed product or part
Notifying CASA in writing of any changes to the quality system that may affect
the inspection, conformity, or airworthiness of the product or part in accordance with
CASR 21.147. These changes include:
❍
Relocation of a part of a facility or addition to existing facilities
❍
Discontinuing production for an extended period of time for other than normal
reasons such as scheduled holidays
❍
Resumption of production after discontinuance
❍
Significant curtailment/resumption of production operations
❍
Significant reduction/reassignment of quality system personnel
❍
Changes or revisions to quality system data and related procedures.
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●
CASR 21
Subpart Q
CASR 21.003
Version 3.0: July 2011
Marking products in accordance with the requirements of the regulations (CASR 21
Subpart Q) and approved design data
●
Reporting all failures, malfunctions, and defects as required by CASR 21.003
●
The PO is to advise the applicant on the data required to be submitted.
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2.2.5
AC 21.14
Preliminary Assessment Procedures
The application Form 849 Production Approval - Application is recorded at the PAC in
accordance with local procedures.
Permissions Application Centre
1. On receipt of the application, issue a letter of acknowledgment.
2. Provide a draft estimate for review and approval by TLM. PAC is also to advise the
applicant that CASA cannot proceed with the assessment until payment/acceptance,
in writing, of the estimate of costs.
Preliminary Assessment
TLM
Upon receipt of a notification of a new application or a variation to an application from
PAC, TLM will:
1. Prepare cost estimate using PAC calculator
2. Assign a PO to the task to:
❍
Provide input to the cost estimates
❍
Provide input on completion dates of the various phases of the application,
namely Documentation Evaluation, Inspection and Tests, and Certification
Processes.
PO
1. Complete cost estimates as required by TLM.
2. Complete completion dates in the work flow system when the task is assigned.
3. Plan for the establishment of the PCB and a pre-PCB meeting with the applicant so
that the meetings can proceed on payment/acceptance of the estimate of costs.
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4. Convene a pre-PCB meeting, before the preliminary assessment, if necessary.
5. After acceptance of the estimate of costs make arrangements to commence the
preliminary assessment. This assessment consists of an evaluation of the applicant's:
• Quality system data
• Facilities, equipment, processes, personnel, control of suppliers, stores, etc, to
ensure that they are adequate for the purpose.
6. Advise the applicant that a title must be provided for the quality system manual for
positive identification. In addition, a revision page or similar control is required to
ensure that the original approval date and the date of each revision are recorded. A
number or letter, and date of the revision must identify each revision.
7. Where an applicant has existing quality control procedures for other purposes, the
applicant must identify those parts that comprise the quality system that show
compliance with CASR 21.143.
For a new applicant, the assessment of the quality system data may require several
visits to the applicant’s facilities and suppliers as necessary, to evaluate and confirm
that the procedures are in fact adequate to control the conformity of detail parts, subassemblies and completed products. The adequacy of the quality system must be
physically evaluated by observing the control of each stage of production and all
supporting functions.
Establishing the PCB and Holding Meetings of the PCB
The PO is to establish the PCB and call PCB meetings, as appropriate, in accordance with
the procedures in 1.6.1 Production Control Board Description.
Design Data Approval
The PCB is to determine the adequacy of the design data submitted by the applicant and
provide confirmation, via the Minutes of Meeting, that the Design Data is approved for the
purposes of processing a production approval and issuing a PC.
Where a PCB is not required, the PO is to record the adequacy of the Design Data
following the guidance provided at Section XX. TLM will be the final approver of the
Design Data Approval sheet; when TLM is the PO, the Design Data Approval sheet must
be signed by an independent authority having design data approval authority.
Notifying the Applicant
On completion of the preliminary assessment, the applicant is to be notified of any
corrective actions needed. The applicant is also to be advised that these action items only
represent CASA’s preliminary findings and that additional requests for corrective actions
can be anticipated as a result of subsequent findings of the PCB, future routine audits and
surveillance activities.
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Issuing the PC and Production Limitation Record (PLR)
The PC and PLR certificates are prepared using the CASA templates for the PC (Form
737) and the PLR (Form 002). (The templates are available on CASA's Intranet).
Release of PC and PLR
CASR
Part 21
1. When the PCB has determined and documented that the manufacturer's application
has satisfied all the requirements of CASR Part 21, the PC and PLR and a draft letter
of approval are prepared by the PO for the signature of the appropriate delegate.
2. The original PC and PLR are given to the applicant. Copies of the PC and PLR are
kept on the project Manufacturing and PAC files and on the master folders of PCs
and PLRs issued or amended
When preparing the PLR, list:
❍
The TC number or Design Data Reference of each product authorised for
production
❍
The model numbers and the date on which production was authorised
❍
Any limitations (e.g. limitation to parts only).
3.
When the PC, PLR and cover letter are signed by the delegate, the PO is to prepare
the final costing and submit to the TLM for approval before loading the relevant
certificates and information in the work flow management system.
Note: When a PC is issued and based on a licensing agreement for a specific
period of time, the PC must terminate on the same date. The approval
letter to the applicant must refer to this date.
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Additions to the PLR
If a PC holder wants to add a new product to the PC, (a new model or new parts), the
holder must apply in the same manner as for the original issue.
When a PCB is not required, Manufacturing will conduct an audit to the extent necessary
to determine whether the PIS is adequate or has been appropriately changed to ensure
positive control of the product/parts to be added to the PLR.
However, if changes to the PIS are substantial, TLM will convene a PCB to make the
determination.
Changes to the PLR are to be formalised by the re-issue of the PC, PLR and the cover
letter.
After the PLR has been approved and signed by the delegate, PAC will send the PLR to
the applicant with a request to return the superseded PLR.
Deletions to the PLR
Deletions to the products or approved design data listed on the PLR are to be processed
using the same process as for additions.
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Sample Production Approval Templates
Sample Production Certificate
CIVIL AVIATION SAFETY REGULATIONS 1998
Production Certificate
Number PC-123456
In accordance with regulation 21.134 of the Civil Aviation Safety
Regulations 1998, this certificate including the associated
production limitation record(s) authorises:
Planemaker Aircraft Pty Ltd
ABN 91 123 456 789
to manufacture
Class 1 Products
at the following manufacturing facilities:
2A Industrial Place
Werribee, Victoria 3030
This certificate terminates on: 15/06/2004
This certificate is subject to the condition that the holder must notify CASA
in writing of any change to the business address of the holder.
(signed)
A. G. Citizen
Date Issued:
15/06/2003
Original Issue:
22/05/2002
Delegate of CASA
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Sample Production Limitation Record
Production Limitation Record
The holder of Production Certificate No. PC-123456 may produce:
Aircraft and Parts
manufactured in accordance with the following design data.
Design Data
Model or Parts
VA999
ASR028SY
Airhawk 132B
ACME R12
Date Production
Authorised
1 December 2003
12 December 2003
Conditions and Limitations:
None.
(Signed)
12/12/2003
A. G. Citizen
Date Issued:
(dd/mm/yyyy)
Delegate of CASA
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Sample Production Certificate for “One-Off PC”
CIVIL AVIATION SAFETY REGULATIONS 1998
Production Certificate
Number PC-123456-1
In accordance with regulation 21.134 of theCivil Aviation Safety
Regulations 1998, this certificate including the associated
production limitation record(s) authorises:
Planemaker Aircraft Pty Ltd
ABN 91 123 456 789
to manufacture
Class III Products
at the following manufacturing facilities:
2A Industrial Place
Werribee, Victoria 3030
This certificate terminates on:15/06/2004
This certificate is subject to the condition that the holder must notify CASA
in writing of any change to the business address of the holder.
(Signed)
A. G. Citizen
Date Issued:
15/06/2003
Original Issue:
22/05/2002
Delegate of CASA
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Sample Production Certificate for One-Off PC
Production Limitation Record
The holder of Production Certificate No.PC-123456-1 may
produce:
Class III Products
manufactured in accordance with the following design data.
Module or Parts
Design Data
Design data
approved by CASA
or a CASR 201.001
Authorised Person,
specific to an
individual aircraft
Sheet metal parts as defined bythe
design data
Date Production
Authorised
1 December 2003
12 December 2003
Conditions and Limitations:
Limited to the manufacture and supply of parts to be consumed in the course of maintenance
for supply to:
• A maintenance organisation
• An owner/operator of the aircraft..
(Signed)
12/12/2003
A. G. Citizen
Date Issued:
(dd/mm/yyyy)
Delegate of CASA
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Testing Aircraft, Engines and Propellers
Aircraft
CASR
21.197(1)(c)
All aircraft produced under a PC must pass an approved production flight test as part of
the inspection procedure required for issue of an airworthiness certificate. A Special
Flight Permit is issued to authorise production flight-testing under CASR 21.197 (1)(c).
CASR 21.325
Small aeroplanes and gliders manufactured under a PC and being exported without
assembly or flight test under the provisions of CASR 21.325 are exceptions. However, in
these instances the manufacturer, as a condition of the PC, must provide CASAapproved assembly and flight test procedures.
Engines and Propellers
CASR
21.143(1)(c)
Engines and propellers produced under a PC must pass a production test approved as
part of the quality system data required by CASR 21.143(1)(c).
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2.2.7
PC Holder's Location(s)
A PC holder's manufacturing complex may consist of a principal facility and associate
facilities using the same quality control system approved by CASA, for the particular type
certificated product(s).
The PC is issued to the organisation that controls the final assembly, testing and
airworthiness release. The principal facility, and all associate facility addresses are listed
on the PC. A post office box address is not acceptable for a facility because the actual
location must be identified. However, post office boxes may be used as postal addresses
for correspondence.
CASR
21.155,
21.159
A PC is not transferable—CASR 21.155. If the PC holder relocates any part of the
manufacturing complex, the PC holder is required to apply for a new PC, as per CASR
21.159. A new PC under the same number will be issued to reflect the change.
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2.2.8
Assessment of an Applicant’s Suppliers
See 3.2 Assessment of an Applicant’s Suppliers for supplier evaluation procedures.
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2.2.9
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Summary of Distribution of Production Certification Documents
The PO is to distribute the PC documents as indicated below.
Application for PC, CASA Form 849
●
Original retained on PAC data management system, together with:
❍
Copies of the applicant’s legal identity
❍
Licensing agreement(s)
❍
Documented quality control system when approved.
PC, PLR and Signed Letter of Approval
●
●
The Manufacturing TSO saves the final signed copies of the PC, PLT and Letter of
Approval on the relevant Manufacturing file.
The approved copy of the Quality Manual, including the PIS, is also saved on the
Manufacturing file by the TSO.
2.2.10 Final Costing
The PO is to prepare the final estimate for review and approval by the TLM before
despatch to PAC for re-imbursement or claim of additional costs.
Request for Amendment to the Production Certificate
CASR 21.153
The applicant is to submit Form 849 Production Approval - Application. A Manufacturing
PO will assess the application for amendment in accordance with these procedures for
revised PC and for its compliance with CASR 21.153.
The PC and PLR will be re-issued to reflect the amendment.
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2.3
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Australian Parts Manufacturer Approval Only
2.3.1
Applicability of Australian Parts Manufacturer Approval
This section covers the assessment and issue of an APMA for replacement and
modification parts for installation on a type certificated product, in accordance with CASR
Part 21, Subpart K, regulation 21.303.
CASR Part
21, Subpart
K, 21.303
The section provides guidance for CASA to be satisfied that the applicant has shown
compliance with airworthiness requirements on the basis of tests and computations, or in
certain cases, on the basis of identicality.
CASR 21.303
CASR
21.303(2)(e)
CASR 21.303 requires that any person producing replacement or modification parts for
sale for installation on a type-certificated product must obtain an APMA. An APMA must
be obtained for replacement or modification parts for an STC if they are not being
produced under a PC.
Note: Standard parts conforming to an established industry or Australian
specification (e.g., AN bolts and nuts) are not eligible for an APMA
(CASR 21.303(2)(e)).
Imported Products
CASR
21.502,
21.502A
If, in producing a part under an APMA, imported parts are to be used, they must be
imported parts in accordance with CASR 21.502 and 21.502A.
■
2.3.2
Responsibility for Australian Parts Manufacturer Approval
Applicant
The applicant must show that the design meets the applicable airworthiness standards.
The applicant shows compliance in two ways:
1. The applicant demonstrates that the design of the part is identical to the design of a
part covered under a TC or STC; or
2. The applicant demonstrates through tests and/or computations that the design of the
part meets the airworthiness requirements applicable to the product on which the part
is installed. The applicant must assure that no interference with mating or adjacent
hardware occurs and that the part performs its intended function.
CASR
21.303(11),
The applicant must establish and maintain a FIS that meets the requirements of CASR
21.303(11).
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Lodgement of an Application for an APMA
Applicants should be advised to submit an application for an APMA in a letter with a
completed Form 849 Production Approval - Application to CASA PAC. The applicant must
comply with CASR 21.303.
Initial Assessment
If the application or Form 849 Production Approval - Application does not contain all the
relevant information the TLM will provide details to PAC and PAC will advise the applicant.
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2.3.4
CASA Engineering Assessment
Design Assessment
1. Ensure that the applicant’s engineering design data package meets the applicable
airworthiness design standards and complies with the relevant certification
regulations. This may require the assessing PO to refer aspects of the design
package to other engineering specialists.
CASR
21.303(c)
21.303 4)
2. Design data as defined in CASR 21.303(c) that has been approved by an AP for
CASR 21.303(4) is to be reviewed at the discretion of the PO, commensurate with the
knowledge and experience that CASA has of the AP.
3. Determine whether the application for the APMA establishes that the part meets the
relevant airworthiness requirements applicable to the type certificated product on
which the part is to be installed. Also verify the eligibility for installation of the part on
the type-certificated product.
4. If the applicant's design does not meet all the above design considerations, the PO
will advise the applicant accordingly and the application will not be processed any
further. A revised application may be required to resolve outstanding issues.
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Compliance Considerations
Applicant
The applicant must submit:
AC 21.16
●
A Compliance Statement listing the applicable regulatory requirement (refer
AC 21.16)
●
The means or documents showing compliance
●
A compliance statement.
PO
1. Regardless of the method by which an applicant chooses to show compliance as
listed on the Compliance Statement, prior to issuing APMA approval, carefully review
the application as appropriate, to determine whether the applicant can ensure:
a. Compliance with the applicable airworthiness requirements
b. That the materials conform to the specifications in the design
c. That the part conforms to the drawings in the design
d. That the applicant has demonstrated that the fabrication processes, construction
and assembly conform to those specified in the applicant's design (CASR 21.303
(8)(d) refers)
CASR 21.303
(8)(d)
CASR 21.865
e. That part marking requirements are satisfactory and in accordance with
CASR 21.865
CASR 21.003
f.
Continued airworthiness under the applicable airworthiness requirements,
including reporting requirements under CASR 21.003, for the manufactured part
and the product upon which the part is installed.
Note: Where required, the PO is to seek further specialist assistance to
make the above determination
Verification of Installation Eligibility
The applicant’s claim of installation eligibility must be verified by the PO. This may be one
or more of the following:
●
Licensing agreement with TC or STC holder
●
TC Data Sheet
●
Training notes
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●
Maintenance manuals
●
Service Bulletins
●
Technical Publications
●
Flight Manuals
●
Airworthiness Directives
●
Illustrated Parts Catalogues (IPCs).
Version 3.0: July 2011
While some of these sources may not be NAA approved, they may be used carefully in
conjunction with other data to provide verification.
Service History Considerations
The PO is to:
1. Consider the service history of the part in question and verify that it is not the subject
of an Airworthiness Directive (AD), other continued airworthiness problems, or subject
to an incident/accident investigation.
2. If the part is subject to one of the above, and the design is identical to the original part
and produced under a licensing agreement, use the following guidelines:
a. If there is an AD that removes the original part from service, immediately or in the
future, the APMA application should be rejected unless the application includes
design changes that satisfactorily address the AD problem.
b. Consult with the TLM and specialist staff as necessary to ascertain whether CASA
is currently developing or considering development of an AD to remove the
original part from service.
CASR
21.303(4)(a)
c. If CASA and/or ATSB are investigating an incident/accident where the original
part may be causal, CASA may delay or suspend the processing of the APMA
application until the part is cleared. (Refer CASR 21.303(4)(a).)
d. If an AD calls for repetitive inspections but prescribes no terminating corrective
action—eg no modification or replacement of the part provided—and if the
repetitive inspections are intended to catch failures that may occur before the part
reaches the published service life, CASA should reject the application for an
identical part APMA. CASA should always strive for terminating corrective action;
an APMA to produce and distribute identical parts only complicates and prolongs
the problem. If the part is subject to Service Difficulty Reports and CASA is
pursuing corrective action with the TC holder, the application for APMA should be
rejected. In these cases an improved replacement part should be sought.
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e. The fact that the TC holder issues an Alert Service Bulletin (ASB) to remove a part
from service does not, in itself, exclude issue of an APMA.
Life-limited Parts
Irrespective of the method under which an applicant seeks an APMA, the applicant must
establish the life limit of that part. The required substantiating data must include tests on
components produced by the applicant.
Special Considerations – Identicality
Design data can be accepted for approval when the applicant shows, and CASA finds,
that the design of the part for which the APMA is requested is identical in dimension,
tolerances, materials, processes, and specifications to the design of the part covered
under a TC or STC.
Some part designs may contain features that may have nothing to do with form, fit, or
function or being airworthy. Some of these features may include tooling holes, colour,
tighter tolerances, location/type of part marking, etc. It may not be necessary that these
features be identical, however these will require engineering assessment and acceptance.
Certification Specialists
In some cases, the design data may have to be reviewed by specialist Certification staff.
Where such cases arise, specialist Certification will raise a report as to the acceptability of
the design data which will be addressed to the TLM via the PO. This review may be
particularly important for critical parts.
Reverse Engineering
The process of reverse engineering is one way to develop the design of a part. However,
reverse engineering may not produce a design that is identical to a type certificated part.
While an applicant could establish the use of identical materials and dimensions, it is more
difficult to demonstrate that the tolerances, processes, and manufacturing specifications
are identical.
The Test and Computation method is the preferred means of demonstrating compliance
with the applicable regulations.
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Rejecting an Application
CASR
21.002B
CASR 21.002B refers.
PO
CASA in general does not have access to the commercial in confidence original certified
data in order to make a determination of identicality. Therefore, in practice, identicality can
only be established for parts manufactured to design data supplied under licensing
agreement with a TC or STC holder.
1. See 5.4.1 Sample CASA APMA Design Rejection Letter for letter rejecting the
applicant’s claim of identicality.
2. That the applicant may submit inspection and test reports to substantiate that the
design and manufacturing data will produce a part that meets the airworthiness
requirements and is safe for installation on applicable type-certificated products. The
PO will seek further information from the applicant when the airworthiness of a part
cannot be assured solely by the showing of equivalence to the design covered under a
TC or the design cannot be shown to comply with the original TC design standard.
Considerations for the Project Officer
1. Review and evaluate the test schedule submitted prior to any CASA test to determine
if it is appropriate for the part.
2. Ensure the part conforms to the design data and/or the test proposal before testing.
3. For critical parts, coordination with technical specialists may be required.
Evaluate the Data Package
1. Evaluate each applicant's capabilities to reproduce a part on a case-by-case basis.
2. Coordinate with the relevant specialist to ensure that the manufacturing process
produces replacement and modification parts according to the approved design.
All applications should include:
❍
Detailed design criteria, including drawings, technical data necessary to establish
structural strength, part marking information, and process specifications necessary
to define the configuration.
CAR 35, 36
❍
For engineering design modifications approved under CAR 35, the depth of
assessment may be varied at the discretion of the engineer.
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❍
❍
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Other data necessary to establish the pertinent characteristics of the
part. The applicants must identify detail drawings as their own unless
evidence of a licensing agreement is submitted. In evaluating any data
package, consider the following:
Manufacturing and Process Specifications: Manufacturing procedures and
process specifications may affect the airworthiness of the part. If the
applicant's detail drawings reference the TC holder's process specifications,
those specifications must be submitted. As the data package is reviewed,
coordination with the CASA type certification specialist personnel may be
necessary to determine what effect these specifications may have on the
airworthiness of the design or to a finding of identicality (see Special
Considerations –Identicality). For critical parts, coordination with the relevant
specialist is required.
Master Control Drawings: Master control drawings or their equivalent must
be carefully evaluated to determine whether the applicant has appropriate
control over the configuration and manufacture of the part. The applicant
must submit all applicable detail drawings and specifications for acceptable
evaluation of the sources listed on master control drawings. The applicant
must have satisfactory and verifiable control procedures included in the FIS
for vendor supplied items prior to the issue of the APMA.
Drawing Notes: The PO, with particular reference to any drawing notes or
process specifications identified on the drawing, should check the applicant’s
ability to produce conforming parts before issuing APMA approval.
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2.3.5
CASR
21.303(11)
AC 21..27
Version 3.0: July 2011
FIS Assessment
The PO is to make sure that the FIS required by CASR 21.303(11) has been
established and is ready for assessment. The data from the design/production holder
should be nominated and confirmed as controlled data.
Once notified by the applicant that the FIS is established, the PO or delegated person
is to carry out an assessment of the FIS in accordance with 3.2 Assessment of an
Applicant's Suppliers and 3.3 Assessment of Quality Systems for Manufacture.
CASR 21
Subpart Q
Ensure the FIS includes procedures for the marking of parts in accordance with CASR
21 Subpart Q requirements.
Facilities Inspection
CASR
21.303(5)
The PO is to conduct an evaluation of the applicant's facility in accordance with CASR
21.303(5), including any supplier's facilities as appropriate, to determine whether the
facilities are suitable for manufacturing the nominated parts and that the applicant's FIS is
operating effectively.
Validation of the Applicant’s Conformity Inspection
CASR
21.303(8)
1. The PO is to conduct validation conformity checks, as necessary, to ensure
conformity of the parts to the approved design drawings and data as undertaken in
accordance with the applicant's FIS in compliance with CASR 21.303(8).
Validation conformity checks include incoming materials and processes used in
producing the conformed part. Parts inspected for conformity are to be recorded on
the Conformity Inspection Record (Form 882), together with comments regarding
identified non-conformities.
2. An agreement must be reached with the applicant as to how the identified nonconformities will be addressed and, if necessary, the FIS re-presented to CASA.
Manufacturing Procedures
CASR
21.303(8)
21.303(11)
When satisfied that the manufacturing facilities, procedures and processes and
inspection system comply with CASR 21.303(8) and (11), complete the relevant section of
Form 883 Production Approval Assessment Control Document.
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APMA Approval
Design Acceptance/Approval
PO
1. Confirm design compliance.
2. Confirm that satisfactory manufacturing processes, material control and FIS have
been assessed and are acceptable.
3. Ensure that a master drawing list or similar has been prepared and dated at the
revision level.
4. Ensure that all drawings and data required are listed. Make sure that a copy of the
submitted data package is retained on the project files.

Final APMA Approval
PO
CASR 21.303
1. Draft an APMA approval letter (pursuant to CASR 21.303) together with an APMA
Supplement for approval for the appropriate delegate’s signature. Ensure that both
the letter of approval and Supplement document are identified with the same APMA
approval number.
See:
❍
5.2 Sample CASA APMA Approval Letter
❍
5.3 Sample CASA APMA Supplement without Licensing Agreement
❍
5.4 Sample CASA APMA Supplement with Licensing Agreement.
Note: Form 1142 is used for portrait APMA Supplement and Form 1143 is used
for landscape APMA Supplement. (Forms available to CASA staff only.)
2. Finalise costing charges by CASA in accordance with CASA’s cost-recovery
procedures.
3. Forward all relevant documents to the delegate.
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TSO
1. TSO is to forward the original documents to PAC for on forwarding to applicant and to
close the job in the workflow management system.
2. TSO will also update regulatory system database with the permissions/certificate
issued.
3. TSO is to update audit program as required.
Design Changes
CASR 21.303
(4)
For an APMA based on test and computation, all the design changes must be submitted
to CASA or an AP for CASR 21.303 (4) for assessment.
Changes to an Existing APMA
The PO should conduct or arrange for an evaluation, as appropriate, when additional parts
are approved to an original APMA approval or when the manufacturer makes changes to
the FIS or relocates a facility.
Advice to CASA of Changes to a FIS or Location
CASR 21.303
(4)
A PAH is required to notify CASA within 10 days of any change to the manufacturing
facility (CASR 21.303 (13)), and within 2 days of any change to the FIS (CASR
21.303(13A)).
CASR
21.303(12)
On advice that a facility has been expanded or relocated, the TLM is to appoint a PO to
determine the likely airworthiness impact. If the same procedures are still applied, and a
satisfactory first article conformity inspection is conducted and documented, then it may
be sufficient to file the notification and use the advice to focus the next audit to the
changed areas. If the PAH does not conduct a satisfactory first article conformity
inspection after the facility is expanded or relocated, CASA may advise the PAH that the
APMA is no longer in force (CASR 21.303(12)) until this is achieved or the facility is reevaluated by the PO with the intent of re-issuing the APMA or authorising continued
production.
If the PAH has changed the FIS without prior advice to CASA, the inspection process may
not ensure conformity, and the PO needs to evaluate the APMA.
When issuing an APMA the applicant should be encouraged to include suitable
procedures in the procedures manual for having changes to the FIS approved by CASA
before implementation so the approved system can be maintained.
If conformity is affected, the APMA holder is required to quarantine production until the
change is approved.
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APMA Data Package
AC 21.16
The recommended content of an applicant’s data package is given in AC 21.16.
Provision of this information will assist assessment of the application.
Statement of Conformity
The use of CASA Form 724 Statement of Conformity by the applicant is recommended for
first article Statement of Conformity. Use of the form prompts for the information required
to process the application.
APMA Letter of Approval
❍
For a template for the APMA Letter of Approval see 5.2 Sample CASA APMA
Approval Letter
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Australian Technical Standard Order Authorisation (ATSOA) Only
2.4.1
Applicability – ATSOA
An ATSOA is a CASA design and production authorisation, issued to a specific
manufacturer of an article which has been found to meet or exceed a specific TSO
performance standard, or other performance standard accepted by CASA.
CASR
Part 21
Subpart O
An ATSOA must be obtained by persons who want to manufacture ATSO articles under
CASR Part 21, Subpart O, Australian Technical Standard Order System. An ATSOA
holder is a manufacturer who controls the design and quality of an article produced under
the ATSO system, including all related parts, processes or services obtained from an
outside source.
The ATSOA system does not apply to parts produced under an APMA, TC only, or a PC.
A letter of ATSO design approval for an appliance may be issued to foreign manufacturers
located in countries with which Australia has an agreement which provides for the
acceptance of appliances, provided that:
●
●
The NAA of the country in which the appliance will be manufactured certifies to CASA
that the design of the particular appliance meets the pertinent design requirements of
the specific ATSO/TSO
The NAA is advised that each appliance that is produced under the provisions of the
ATSO design approval and exported to Australia must be accompanied by an
airworthiness approval issued by the NAA of the foreign country certifying that the
article conforms with the appropriate ATSO/TSO and is in a condition for safe
operation.
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2.4.2
Advising the Applicant
Project Officer
1. Advise the applicant that:
AC 21.27
a. An ATSOA consists of the design and production approval.
b. An ATSOA can only be obtained for the current ATSO/TSO for the particular
article.
c. AC 21.27 contains guidance on what is an acceptable quality system.
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Lodgement of an Application
The applicant (or the applicant’s authorised agent) must submit an application for an
ATSOA to PACS using. See 5.7 Sample ATSO Authorisation.
CASR 21.605
The application must be accompanied by those documents required by CASR 21.605,
and any documents required by the performance standard.
CASR 21.617
Foreign manufacturers who want to obtain a letter of ATSO design approval, (as provided
for in CASR 21.617) must submit their application through their NAA to Permission
Application Centre, Civil Aviation Safety Authority, GPO Box 2005, Canberra, ACT 2601,
Australia.
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2.4.4
ATSOA Issue Procedure
Design Approval
Permissions Application Centre
1. On receipt of the application, forward it to the TLM.
TLM
Upon receipt of a notification of a new application or a variation to an application from
PAC, TLM will:
1.
Prepare cost estimate using PAC calculator.
2.
Assign a PO to the task to:
a. Provide input to the cost estimates
b. Provide input on completion dates of the various phases of the application,
namely, Documentation Evaluation, Inspection and Tests, and Certification
Processes.
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PO
CASR
21.605
1. On receipt of the application, check all incoming material to determine that documents
and all data conform to the requirements of CASR 21.605.
2. If the data are incomplete, provide guidance to PAC to advise the applicant by letter
via the PAC that no further work will be done until the missing data are supplied.
CAR 35
The design and production approval must be carried out by CASA. Data submitted with a
CAR 35 AP’s approval still needs to be assessed by the CASA PO.
3. Examine the technical data to ascertain that the technical requirements of the ATSO
are met. The examination should include:
❍
A check of the adequacy and validity of technical data and test results
CASR Part
21.605
❍
Drawings and prescribed equipment installation information, and specified
limitations should be checked for completeness and adequacy since such data
are important to evaluation of aircraft type designs as well as for determination of
the ability of the applicant to produce duplicate articles per CASR 21.605(4).
4. Notify the applicant in writing of any omissions.
5. Visit the applicant’s facility for the purpose of appraising the applicant’s competence to
certify conformance with the ATSO. This visit should be in company with the assigned
MI responsible for production approval compliance who should determine that
compliance tests, as prescribed, are being realistically conducted.
6. Prepare letter of ATSO Approval for release by the TLM or appropriate delegate.
7. Advise TLM and PAC of task completion and update the work flow management
system.
TSO
1. Once advised by the PO that the ATSOA activities are completed, update the
regulatory system database with copies of the relevant letters issued.
2. Update audit schedule to verify holders continue to comply with the performance
standards of the ATSO.
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Quality System Data Compliance
CASR
21.143,
21.144
The applicant for an ATSOA must submit, along with the application, a written description
of the quality system in the detail specified in CASR 21.143 and 21.144. The quality
system data compliance is determined in the following manner:
PO;
1. Conduct a thorough evaluation of the quality system data submitted by the applicant.
2. If evidences of quality system deficiencies are noted, ensure all unsatisfactory
conditions are addressed.
3. Carry out the procedures detailed in Section 3. Assessment of an Applicant’s Quality
Systems for Manufacture, to determine compliance with CASR 21.143 and 21.144.
The quality system data must include an acceptable test procedure meeting the ATSO
requirement to which each production article will be tested.
4. Guidance on an acceptable quality system is in AC 21.27 Manufacturing Approval
Overview.
5. Determine whether or not these data comply with CASR 21.605.
6. In those instances when the quality system is found to be unsatisfactory, note the
deficiencies on the Form 883 Production Approval Assessment Control Document and
advise the applicant.
7. When satisfied that the data is in compliance with CASR 21.605, prepare the latter of
approval.
Issue of the ATSOA
1. When satisfied that both the design approval aspects and quality control data aspects
are compliant, forward a recommendation for the issue of an ATSOA to the TLM.
2. Advise the PAC of the approval details for entry onto the Regulatory system database.
3. Provide advice to the TSO of the ATSO Approval for the update of the Manufacturing
Section’s Surveillance audit schedule.
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Post-issue Compliance
CASR 21.143
CASR 21.144
Subsequent revisions to the quality system must be submitted by the ATSOA holder to
PAC to determine compliance with CASR 21.143 and 21.144.
CASR 21.143
CASR 21.144
The assigned Manufacturing PO is to advise the ATSOA holder as to whether or not the
revisions comply with CASR 21.143 and 21.144.
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2.4.5
ATSOA Holder's Facility Location
An ATSOA holder's manufacturing complex may consist of a principal facility and
associate facilities using the same quality control system approved by CASA.
The ATSOA is issued to the applicant at the address of the principal manufacturing facility
which controls the design and quality of the product(s). The principal facility, and all
associate facility addresses are listed on the ATSOA. A post office box address is not
acceptable for a facility because the actual location must be identified. However, post
office boxes may be used as postal addresses for correspondence.
If an ATSOA holder moves a manufacturing facility to a new location, CASA must
conduct an assessment at the new location to ensure that the ATSOA holder continues to
comply with CASR 21.605 and 21.607.
CASR
21.605,
21.607
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2.4.6
Approval of Materials and Processes
Introduction
CASR
Subpart K
CASR 1998, Subpart K also provides for approval of the use of materials and processes.
CASR 21.305
Under the provisions of CASR 21.305, the use of a particular material or process may be
approved:
CASR 21.502
CASR 21.305
●
If it is included as part of an APMA or ATSOA
●
In conjunction with type certification for an aircraft engine or propeller
●
If it meets the requirements of CASR 21.502 (1) (a) and (b) for imported materials
●
In any other manner approved by CASA.
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Application
CASR 21.305
Applicants seeking CASA specific approval of the use of a material or process under
CASR 21.305 (e) should be advised to lodge their application to PAC. This letter of
application should include details regarding:
●
●
●
●
The identity of the type certificated product or part on which the material or process
will be utilised
The name and address of the material manufacturing or process application facility
Material or process specification details, including test reports showing the material’s
physical and chemical properties
Reports and computations necessary to show that the use of the material or process
is compatible with, and does not in any way compromise, the design of the type
certificated product or part on which it is utilised
The applicant may be required:
●
●
To carry out any other tests considered necessary to verify material or process
specifications
To carry out appropriate tests to show the effect of the material or process in service.
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Production Approval Procedures Manual
3. Assessment of an Applicant's Quality Systems for Manufacture
3.1 General Principles
Approved by Executive Manager, Aviation Safety Standards Version 3.0: July 2011
3.
Assessment of an Applicant's Quality Systems for Manufacture
3.1
General Principles
3.1.1
General Principles
CASR Part
21, Subparts
F, G, K or O
The purpose of this part is to assist in assessing quality systems of applicants seeking
production approvals under CASR Part 21, Subparts F, G, K or O (Production under TC
certificate only, PC, APMA, ATSOA).
Not all the functions/elements specified in this part are necessarily applicable to every
applicant's system, and the assessing officer before undertaking this assessment should
ensure a good understanding of the applicant's organisation and the extent of the
manufacturing work to be undertaken. All aspects of the intended manufacturing activity
must be clearly and adequately specified in the applicant's quality system.
Assessment Stages
Assessment of any quality system is normally a three-stage process.
Stage 1 Quality System Assessment—Desk-top Review
Conduct a "desk top" review of the applicant's system to ensure that all the required
procedures are included and adequately address the regulatory requirements.
Stage 2 Quality System Assessment—Quality System Evaluation
Evaluate the system at the manufacturing facility or facilities to ensure that the procedures
have been documented, implemented and effectively control the work.
Stage 3 Quality System Assessment—Manufacturer's Corrective Action
The manufacturer rectifies any noted deficiencies and discrepancies by amending
documented procedures or correcting discrepancies at the manufacturing facility or
facilities.
Quality Systems Documentation
All production approval applicants are required to establish and maintain a quality system.
It follows that the documented system must contain adequate procedures for the
maintenance of the approved system. The documented system should identify the person
who is responsible for CASA liaison, and will approve and implement quality system
changes within the entity.
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Quality systems for PC and ATSOA applicants are required to comply with CASR 21.143
and 21.144. The quality system must be documented in a manual, and must include
procedures for the following functions.
CASR
21.143,
21.144
1. Organisation Structure, Authority and Responsibility of APs
2. Technical Data Control
3. Manufacturing Processes
4. Special Processes
5. Non-destructive Inspection
6. Tool and Gauge Control
7. Receiving Inspection/Supplier Control
8. Inspection and Testing
9. Material Review Procedure (Except for a CASR Part 21.133(2B) PC)
10. Stores Control
11. Certification and Release
12. Service Difficulty Reporting and Control.
CASR 1998
21.123(1),
21.303(11)
The Quality System (QS) requirements for Production under Type Certificate Only (PIS)
and APMA (FIS) must also address items (1) to (12) above. The regulations covering PIS
and FIS do not contain a specific requirement for the applicant's organisational structure
to be included. However, CASR 1998 21.123 (1)(c) and 21.303 (11) require the applicant
to establish and maintain a system which ensures that each completed product or part
conforms to its design and is safe for operation or installation.
Establishment of Evaluation Teams
The PO shall coordinate with relevant Manufacturing and specialist staff to conduct an
evaluation of an applicant's quality system. When the application is for manufacture of
aircraft, the flight test personnel from Airworthiness and Engineering Branch are required
to evaluate the relevant sections of the data and approve the production flight test
schedule.
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3.2
Assessment of an Applicant’s Suppliers
3.2.1
Assessment of an Applicant’s Suppliers
Preliminary and Ongoing Audits of the Supplier’s Facilities
CASR Part
21
This section provides guidelines for CASA’s assessment of an applicant’s supplier
production facility to ensure that the supplier control system implemented by the
Production Approval Holder (PAH) meets the intent of CASR Part 21.
The PAH has initial and on-going responsibility for control of suppliers. CASA may
undertake audit of the facilities.
CASR Part
21, Subparts
F, G, K, and
O
CASR Part 21, Subparts F, G, K, and O, require the establishment of a quality system as
a prerequisite to the issue of a CASA production approval. A critical part of such a system
is to establish and maintain procedures for ensuring that components and materials
produced by suppliers conform to the approved design data and are in a condition for
safe operation.
It is the PAH's responsibility to ensure that each completed product, part or appliance,
including supplied components and materials, conforms to the approved design data and
is in condition for safe operation.
When suppliers are located outside of Australian territory CASA may request assistance
from the NAA of the foreign country to act on its behalf, to perform assessment (and audit)
activities. Such assistance may come under the terms of formal state agreements,
memorandums of agreement between the authorities, or requests for assistance on a
case-by-case basis.
A PAH may utilise any supplier as long as the PAH’s quality control system provides
assurance that all parts or services, including engineering services, furnished by a supplier
are in compliance with its production approval.
The PAH should place special emphasis on controlling those suppliers that it authorises to
deliver parts/materials directly to a user/operator of the PAH’s completed product. Each
PAH must make available to CASA a list of its direct ship suppliers. The PAH should have
objective evidence that the suppliers have been notified that their facilities are subject to
CASA audit.
Emphasis is placed on the PAH's control of its suppliers, since the PAH is totally
responsible for all of its supplier-furnished parts and services. CASA may evaluate the
PAH's quality system implementation at selected suppliers.
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Assessment
The same procedures and criteria used to accomplish and record assessment of the PAH
quality system and facilities are to be used for evaluating suppliers, even though not all
elements may be applicable to individual suppliers. Staff are to exercise their judgment
and experience in performing supplier assessments. These procedures and criteria are
detailed in 3.3 Quality System Assessment.
Note: When a supplier to multiple PAHs is evaluated, it is of the utmost importance
to ensure that the quality control requirements for the applicant being
currently evaluated are met by the supplier.
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3.3
Quality System Assessment
3.3.1
Stage 1 Quality System Assessment—Desk-top Review
System Evaluation
This stage is a thorough evaluation of a manufacturer's system (including any referenced
procedures, policies, standards, instructions, processes), which describes the quality
system required for a particular production approval.
Note: All applications to CASA for production approval, conformity inspection,
certificates of airworthiness or special flight permits must be signed by a
legally empowered company principal or a letter of agency must accompany
each application.
Evaluation Method
1. It is of the utmost importance that the PO critically evaluates the submission to ensure
that:
a. The described quality system will adequately provide for the consistent
acceptance of only those products/parts that conform with the approved design
data.
b. The manufactured products/parts are in a condition for safe operation.
2. The prime objective of all quality system data is to ensure that it describes the
procedures that meet the intent of the pertinent regulations, and can be realistically
implemented. Applicants must understand that penalties can apply to non-compliance
with the approved system; therefore the system described must reflect ‘local’
operations rather than ‘generic’ procedures.
3. All documents must be positively identified by title, revision, and date; and must be
approved for use by an authorised management representative (often the Quality
Manager).
4. The initial evaluation of a manufacturer's quality system documents must be thorough
and comprehensive. However, any subsequent evaluation of a particular
manufacturer's quality system may consist of:
a. A cursory review of previously submitted data to determine whether or not it has
remained adequate.
b. A thorough review of any data that has been revised since the last evaluation.
c. A thorough review of any new data that has been developed and implemented
since the last analysis—for example, review of the quality assurance provisions of
a new bonding process introduced subsequent to the last analysis.
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5. When evaluating the system, inspectors should flag:
a. Any ambiguous data that may be subject to misinterpretation.
b. Any overly complex or cumbersome inspection procedures that may be difficult to
implement, be disregarded or even circumvented.
Consistency of Compliance Standards
CASR Part
21
Although the CASR Part 21 production approvals require different types of production
control systems, this does not mean that less stringent standards are acceptable for
manufacturers of like products or parts. Notwithstanding the type of production approval
held, the product or part must, when completed, conform to its approved design and be in
a condition for safe operation.
Quality System Elements
The system elements detailed below are common to all production approvals, although
the level of detail required to ensure control of any particular element may vary between
the different types of approvals. Evaluating inspectors must be satisfied that the applicant
has adequately addressed each necessary requirement and the procedures are
satisfactory to ensure the product or part conforms to the approved design.
The following tables include the essential elements and evaluation criteria.
Note 1: In describing the quality system, references to other documents or data
maintained by the applicant may be used, provided that a brief description
is included in the quality system. All referenced documents must be
submitted for evaluation.
Note 2: In the tables the ‘Essential Elements’ define the breadth of requirements
under each sub-title. The ‘Evaluation Criteria’ column briefly outlines
criterion that satisfy the requirements. The Essential Elements and
Evaluation Criteria in the following tables are not meant to directly correlate
across the table.
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1. Organisation Structure, Authority and Responsibility of Appointed Persons
Essential Elements
Evaluation Criteria
1. Management has responsibility for
the quality system.
1. A concise statement that describes the
assigned responsibilities and delegated
authority of senior management for the
quality system including maintenance of
the system.
2. Clearly described responsibilities for
control of production and quality
functions, including internal audit
responsibilities.
2. (i) An organisation chart that shows the
functional relationship of the QC
organisation to management and to
the other organisational components.
(ii) A concise statement that describes the
authority and responsibilities of each
AP, including CASA APs, within the
production and quality functions.
3. Management responsibility for
training of personnel.
3. A description of the chain of authority and
responsibilities within the organisation for
task-specific training and maintenance of
operator approvals.
4. Personnel performing critical
operations, inspections, special
processes etc, or certifying for
inspections and/or stages of work
are adequately trained and
approved.
4. Procedures for incorporating changes to
the quality system and outlining the
authority of those authorised to make
such changes.
5. Ensure that each tag, form or other
document used under the approved
system is described by sample in
the approved manual and has
instructions for correct use.
5. (i) Procedures to ensure that any change
to the quality system that may affect
inspection, conformity, or airworthiness
of the product are forwarded
immediately to CASA in writing.
(ii) Procedures to ensure that any change
to the production location results in a
first article inspection following start-up
production at the new location, and
advice to CASA within 10 days of the
re-location.
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Essential Elements
Evaluation Criteria
6. Ensure procedures exist for keeping 6. Procedures for establishing and
a technical master file and record of
maintaining all controlled documents
all current and superseded
identified in the quality system.
approved design and production
system documentation to ensure the
complete production history of
product and parts is available.
7. Management has and applies
procedures for inspection record
retention compliant with the
applicable regulatory provision.
Record retention includes back-up
and security provisions.
7. Procedures that provide for an adequate
method of self-audit by the manufacturer
of the entire QC system, including
supplier facilities. (The prime objective of
the self-audit is for the manufacturer to
determine compliance with their own
procedures and to ensure that
management is aware of any existing
system deficiencies.)
2. Technical Data Control
Essential Elements
Evaluation Criteria
1. Technical data (drawings,
specifications, software and changes
thereto) must be approved only by
authorised personnel.
1. Procedures for drawing, engineering
and software change control including
drawing and specification lists
necessary to define the configuration of
the CASA approved design.
2. Technical data must be approved prior
to release, and should contain the
effective date and the signature and
position of the person authorised to
release the data.
2. Procedures for informing company
inspectors of approved changes in
engineering data, specifications and the
quality system.
3. Distribution of technical data is
controlled to ensure that current data
is readily available to production and
inspection personnel.
3. Procedures that require all process
changes to be submitted to CASA for
evaluation and incorporation into the
approval. Process specification
changes are deemed to be major
changes.
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4. Inapplicable, inappropriate, or obsolete
technical data must be removed from
use.
4. Procedures to ensure that changes to
the design data are distributed to all
relevant users simultaneously.
5. Current approved technical data must
be used for inspection acceptance.
5. Procedures to ensure that design
changes are immediately incorporated
in the design data to ensure that the
design change is incorporated on
production products.
6. Drawings and specifications bearing
unauthorised changes or unauthorised
notations must not be used for
inspection acceptance purposes.
6. Procedures to ensure that design
changes are immediately incorporated
in the design data to ensure that the
design change is incorporated on
production products.
7. Ensure procedures have been properly 7. Procedures to ensure that design
implemented to adequately provide for
changes are immediately incorporated
immediate incorporation of design
in the design data to ensure that the
changes resulting from ADs and other
design change is incorporated on
directives and bulletins.
production products.
CASR Part 21
21.093
21.132A(2)
21.303 (3)(c)
21.611
8. Where appropriate, ensure procedures
are applied to incorporate production
changes back into the applicable
Instructions for Continued
Airworthiness and Flight Manual.
8. Procedures to ensure that design
changes are reviewed for their impact
on instructions for continuing
airworthiness and operational
manuals. Review design change
management check lists.
9. Ensure a determination of major or
minor change is made and recorded
for each design change.
9. Procedures to ensure that design
change management decisions,
including judgement of significance,
are properly recorded and reviewed by
an “authorised panel/body” at regular
intervals.
CASR Part 21.093 applies to PIS and
TC designs only. Part 21.132A(2)
defines Class ll and III product
designs, 21.303(3)(c) defines APMA
designs and 21.611 applies to ATSOA
designs.
Ensure procedures acceptable to
CASA are applied to approve minor
design changes.
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3. Manufacturing Processes
Essential Elements
Evaluation Criteria
1. Production facilities should be
arranged to preclude
contamination of products and
parts—for example, isolation of
grinding, painting, or sanding
areas from a critical assembly
area.
1. Procedures for generating, validating and
approving manufacturing and inspection
function recording sheets. These should list
the approved data to be used, together with
methods of inspection by tooling,
characteristics, and sampling quantities, and
also identify the persons performing the
manufacturing work, and those conducting
the inspection and certification.
2. Products and parts must be
properly handled and stored to
prevent corrosion, damage or
contamination.
2. Procedures for the proper segregation of
serviceable and unserviceable parts and
quarantining of defective parts.
3. Shop travellers, checklists, or
similar media should be used to
ensure the proper movement,
handling, and storage of products
and parts from one station to
another through all phases of the
manufacturing process.
3. A description of actions required, or a flow
chart, for processing all products and parts
through the manufacturing cycle.
4. Inspection records must be
maintained and used as required.
4. Procedures that will provide for the selection
of appropriate inspection methods and
plans for each product and part to ensure
that all parts will be inspected as required to
eliminate discrepancies and to ensure that
the end item will be in conformity to the
design.
5. The degree of protection afforded
by any sampling plan used should
be known and the associated
conditions for its satisfactory use
enforced by the manufacturer.
5. Procedures for reviewing sample test
reports and for providing feedback on the
adequacy of the sample size, the frequency
of sampling and the in-service failure data
versus inspection model.
6.
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Essential Elements
6. Technical data must be appropriately
authorised and must reflect the proper
revision for the particular
manufacturing process.
Evaluation Criteria
6. (i) Procedures to control material lot
splitting to ensure complete
accountability—that is, action to be
taken when a lot or batch contains
more or less pieces than recorded
on the shop traveller or routing
sheet.
(ii) Procedures to ensure that design
changes are reviewed for their
impact on instructions for continuing
airworthiness and operational
manuals. Review design change
management check lists.
7. Inspection stations must be located at
points in the manufacturing process
where accurate quality determinations
can be made.
7. Procedures to control the movement of
products and parts throughout the
manufacturing process showing
production and inspection status at all
times.
8. Inspection equipment being used must
be adequately controlled for accuracy.
8. Procedures for control of measuring
equipment must be available for review.
9. The facilities and equipment must be
adequate for the manufacture and
inspection of the products and parts.
9. Outcome of physical facilities
inspection.
10. Planning methods must ensure the
complete inspection of the in-process
product or part up to its completion.
10. Inspection procedures.
11. Inspection sequences must be
established and inspections
accomplished at intervals where
accurate quality determinations can be
made.
11. Inspection procedures.
12. Nonconforming products or parts
thereof must be segregated and
identified to preclude incorporation into
the end product or part.
12. MRB and supply quarantining
procedures.
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Essential Elements
Evaluation Criteria
14. The degree and timeliness of training
that production personnel receive
should be commensurate to the skill
level necessary to perform the
assigned duties.
13. Achievement against Training Plan.
15. The conditions in environmentally
controlled areas must be established
and maintained through appropriate
procedures and calibrated controls.
14. PIS/FIS with particular attention to
processes in environmentally controlled
conditions.
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4. Special Processes
Essential Elements
Evaluation Criteria
1. All special processes being performed
should be covered by appropriate and
approved specifications.
1. Procedures for the control of special
process characteristics that affect
safety.
2. Special process specifications should
2. Procedures that require all special
contain inspection/quality assurance
process changes to be submitted to
criteria that will ensure that all products
CASA for evaluation and approval.
and parts that are processed and
accepted, conform to the particular
specification.
3. Current special process specifications
should be readily available and be
used by operator and inspection
personnel.
3. Procedures for special processes to
address necessary controls related to
personnel qualifications, equipment, and
testing methods.
4. Equipment such as tools, gauges,
instruments, timers, ammeters,
voltmeters, should be readily available
and continuously maintained for
accuracy.
4. Procedures for the inspection and
quality assurance provisions of the
special process specification should be
approved as part of the quality system
data, when applicable.
5. Processes, equipment, and operators
should be qualified and approved by
the manufacturer in accordance with
the specification/manufacturer's
procedures.
5. Procedure for the qualification of special
processes and the re-testing should
changes be implemented.
6. Products and parts should be properly 6. Warehousing and storage procedures.
handled throughout the area to prevent
damage, contamination, rust, etc.
7. Records should be maintained to
accurately reflect compliance with the
special process specification
requirements.
7. Record keeping and technical data
control.
8. The degree and timeliness of training
production personnel received is
commensurate to the skill level
necessary to perform the assigned
duties.
8. Training Plan.
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5. Non-destructive Inspection
Essential Elements
Evaluation Criteria
1. Operators should be qualified, and
approved by CASA, or by the
manufacturer when authorised by
CASA.
1. Procedure for training, qualification and
periodic re-qualification of personnel.
2. Operators' qualifications must be kept
current.
2. Procedure for periodic calibration of test
equipment, and validation of processes
and materials.
3. The operator must always work to the
current, applicable process
specifications.
3. Procedure for performance of each NDT
method utilised, including use of
approved data, and certification of
completed NDT inspection together with
a record of inspection results.
4. Equipment must be inspected and
calibrated periodically to ensure
accuracy.
4. Measuring equipment calibration plan.
5. Realistic acceptance criteria must be
established.
5. Acceptance check list
6. Inspection acceptance/rejection criteria 6. Acceptance check list.
must be established to conform with
the current design data.
7. Records must be maintained to
accurately reflect compliance with the
specification requirements.
7. Data control and test data recording.
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6. Tool and Gauge Control
Essential Elements
Evaluation Criteria
1. All equipment used for inspection
purposes must have the degree of
accuracy necessary to determine
conformity of the characteristic being
inspected.
1. (i) Procedures to ensure that
calibrations are traceable to national
standards recognised by NATA.
2. Tool and gauge controls should
include procedures for protecting,
maintaining, and updating this
equipment as required, to ensure
product conformity to approved design
data.
2. Procedures that provide adequate
instructions for the operation,
inspection, and testing of all equipment
and tooling used for the acceptance of
dimensional characteristics.
3. The quality system should require
identification, inspection acceptance
and periodic reinspection of all
inspection equipment.
3. Procedures that ensure adequate
control of tools and gauges including
initial approval and periodic inspections.
The procedures should define
acceptable methods of tool and gauge
rework and reinspection.
4.
4. Procedures to ensure quarantine until
re-calibration of tools or gauges
identified as out of tolerance or of
unknown calibration status.
Control of inaccurate inspection tools,
gauges, instruments, and jigs, must
ensure their identification and removal
from use until repair, rework, or recalibration has been accomplished.
5. Calibration records must be
maintained of all equipment used for
inspection purposes. These records
should contain the nomenclature,
serial number, location, details of all
repair or rework accomplished and
date next inspection is due.
(ii) Measuring equipment calibration
plan.
5. Test and inspection results records for
each tool at each location.
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7. Receiving Inspection/Supplier Control
Essential Elements
Evaluation Criteria
1. Any holder of a production approval
1. Procedures relative to the
who has delegated inspection duties or
manufacturer's periodic evaluation,
relies on suppliers for controlling
surveillance, and control of supplier
conformity should ensure by evaluation
produced raw materials, purchased
and/or surveillance that those suppliers
items, parts and assemblies. Purchase
are continuously in compliance with his
Order documents must be reviewed for
approved QC system.
accuracy and completeness by an
appointed person.
2. Each manufacturer must make
information available to CASA
regarding all delegation of authority to
suppliers to make major inspection of
any products/parts thereof.
2. A description of any delegation of
authority to suppliers to make
inspections or conduct tests of products
or parts on behalf of the manufacturer.
3. The manufacturer must advise CASA,
in writing, of any authority granted the
supplier to ship directly to the user.
3. Procedures for advising CASA of any
suppliers performing inspections of
products or parts that cannot or will not
be completely inspected by the
manufacturer.
4. The supplier control function should
ensure that all material review actions
and design changes taken on supplierfurnished parts and services are
approved by the manufacturer, prior to
use.
4. Procedures outlining inspection
acceptance of raw materials, purchased
items, parts and assemblies, including
independent verification of material
specification.
5. The manufacturer's receiving
5. Procedures to ensure that suppliers
inspection function must ensure that all
submit all design changes for approval
supplier furnished parts/services
and are provided with the latest
conform to the approved design.
applicable revisions to the design data.
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Essential Elements
Evaluation Criteria
6. Procedures to ensure that all incoming
6. The manufacturer's receiving
inspection function must ensure that all
material is supplied with appropriate
documentation or details of verification
incoming raw material is properly
testing to be carried out.
identified by batch, specification and
verification test results for the batch to
Shelf-life limited materials and products
the specification.
must have life verified to specification.
Parts received under cover of an ARC
First article inspection is required on
(Form 1/Form 917) and marked
parts from a new supplier.
‘Conformity only’, a Statement of
Conformity, or equivalent document
from a recognised authority would be
acceptable in lieu of providing
verification test results.
If verification test results, an ARC from
a CASA approved distribution house or
a ‘Statement of Conformity’ from a
supplier are not provided, the
manufacturer must undertake
verification testing to the material
specifications.
7. The manufacturer's purchase order or
equivalent must reflect the current
design data, and the pertinent quality
system requirements.
7. Procedures for ensuring inspection
acceptance, identification, proper
segregation, protection and issuance of
product and parts in storage areas,
including controls for incorporation of
applicable design changes in stored
items.
8. Parts that are damaged in transit or
parts that are waiting certification must
be properly segregated until
dis-positioned.
8. Quarantine procedures and facilities.
9. Supplier quality system data,
procedures, certificates, reports
required for CASA review must be
translated to English.
9. Supplier audit procedures.
10. Receiving inspection records must be
generated and maintained to establish
final conformity of products and parts.
10. Data control procedures.
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8. Inspection and Testing
Essential Elements
Evaluation Criteria
1. The manufacturer must establish and
comply with test procedures applicable
to products or part design data.
1. Procedures to ensure that the
inspection of products or parts will be
performed and properly recorded at
points in production where accurate
quality determinations can be made.
2. For aircraft, the manufacturer must
establish and ensure compliance with
the approved flight test procedures
and flight test check-off form.
2. Procedures to properly perform, control,
record, and identify all inspection
processes.
3. Test equipment must be controlled and 3. Measuring equipment calibration plan.
calibrated to ensure accuracy.
4. Products and parts subjected to
adjustment or rework after inspection
must be retested to approved test
procedures.
4. (i) Procedures that provide adequate
instructions for recording information
in inspection records.
(ii) MRB procedures for review of
reworked parts.
5. Where sampling inspection tests are
5. (i) Procedures for the control,
used, other inspections and tests
issuance, and use of all inspection
should be implemented, as required, to
stamps, and other in-process
ensure the acceptance of only those
marking equipment.
products or parts that conform to the
(ii) Procedures to ensure that the use
design data and are safe for operation.
of any statistical sampling inspection
plan will not result in an unsafe
condition in a product or part.
6. Records of all tests conducted must be 6. Technical data control and archiving
maintained in accordance with the
procedures.
manufacturer's approved procedures.
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9. Material Review Procedure
Note 1: The material review process is only permitted to disposition minor changes to
the CASA approved design. A major change to design must be approved by
CASA before formal disposition of parts through the MRB.
Note 2: Parts from assemblies dis-positioned as ‘Scrap’ may be recovered only if the
MRB determines those parts do not contain the identified non-conformances.
Essential Elements
Evaluation Criteria
7. Except for APMA, ATSOA, Process
Approval and a CASR 21.133(2B) PC a
MRB must be established and must
include representatives from the
Inspection and Engineering
departments.
1. MRB Procedures including procedures
that require corrective action (in-plant, at
suppliers, and in-service) where
processes or procedures result in a
nonconforming product/part thereof.
2. The MRB procedures must outline the
complete MRB system including
requirements for obtaining CASA
engineering approval on any nonconformities to the product/part thereof
which constitute a major change to the
approved design data, prior to final
acceptance of the product or part.
2. A description of the MRB including the
procedure for recording MRB decisions
and disposing of nonconforming
products or parts—that is, use as is,
rework, scrap, return to supplier.
3. The MRB procedures must provide
controls for identification, segregation,
and disposition of nonconforming
products or parts.
3. Procedures for the identification and
segregation of products or parts set
aside for MRB review.
4. As part of the decision recording
requirements the manufacturer should
list the MRB members present.
4. MRB delegation procedures to a similar
standard as the manufacturer when the
manufacturer relies upon or delegates
MRB duties to supplier facilities.
Note: ‘Use as is,’ is not an option
unless the design data is
changed.

5. Nonconforming products/parts thereof
must not be released by MRB until
they have been properly dis-positioned
and suitable reinspection and retest
procedures determined.
5. Procedures for the review of inspection
and service records for evaluation and
corrective action on repetitive
discrepancies.
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Essential Elements
Evaluation Criteria
6. MRB withheld products or parts must
be quarantined to prevent their
unauthorised removal.
6. Quarantine procedures and facilities
7. The MRB records must as a minimum
include part number, quantity, date,
adequate description of nonconformance including a determination
of major or minor, disposition, and
authorised MRB signatures.
7. MRB Minutes of Meetings.
8. The MRB procedures must provide a
system for obtaining effective
corrective action in-plant, at suppliers
or in-service to prevent recurrence.
The procedures must provide for
monitoring corrective action response,
implementation and effectiveness.
8. MRB Minutes of Meetings, in particular
records of follow up action.
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10. Stores Control
Essential Elements
Evaluation Criteria
1. The system must ensure that only
conforming, accepted and identified
products or parts are placed in
production storage. Non-conforming
items must be suitably identified and
quarantined.
1. Procedures for each of the essential
element items 1 to 5.
2. The system must ensure that products
and parts that are subject to
deterioration from prolonged storage
are periodically reinspected and dispositioned and controlled.
2. Procedure for the traceability of
incoming material, parts and standard
parts, including their matching records
and certification or specification
documents.
3. The system should assure the
protection from damage and
deterioration of products and parts that
are in process or in transit or stored.
3. Procedures to quarantine and identify
non-conforming parts, parts awaiting
conformity inspection or materials,
including those shelf life expired,
awaiting MRB disposition.
4. The system must ensure that required
design changes are incorporated on
products or parts in storage prior to
their release.
4. Design change management process.
5. The system must ensure that only
those products or parts, identified as
having passed company conformity
inspection are issued from stores.
5. Design change management process.
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11. Certification and Release
Essential Elements
Evaluation Criteria
1. All engineering data used for the
acceptance of the product or part must
be CASA approved.
1. Procedures to identify completed
products and parts.
2. The product or part must conform to
the approved engineering data.
2. Procedures to ensure that all required
inspections and tests are satisfactorily
accomplished prior to final acceptance
of the completed products or parts.
3. All required inspections and tests
necessary to ensure that the end
product or part conforms to the
approved design data and is in a
condition for safe operation must be
accomplished before the product or
part can be certificated as airworthy.
3. Procedures that ensure products or
parts are in conformity with approved
design data and are in a condition for
safe operation.
4. The aircraft, engine, or propeller
logbooks and records should have
inspections and operating time
properly recorded, signed and dated.
4. Procedures to ensure that certifications
for completed work are only made by
appointed or authorised personnel.
5. Each product or part must be properly
identified.
5. Procedure to ensure that the final
certification for completion of the
manufacture of the product or part is
made pursuant to the applicable CASR.
6.
6. Procedures to ensure that the ARC
(Form 1/Form 917), or other approved
document is properly completed, signed
and issued by appointed personnel, and
that this document provides traceability
for the applicable part.
A Statement of Conformity under for
“Production under Type certificate
Only” must be properly documented,
signed, dated, and submitted to
CASA.
7. Applications for conformity inspection,
Certificate of Airworthiness (CoA) or
Special Flight Permit (SFP) issue
should be properly executed, signed,
and submitted to CASA, or where
appropriate, an authorised person.
7. Procedures to ensure that completed
aircraft, engines and propellers are
released with appropriate Log Books,
Instructions for Continued Airworthiness
and for aircraft, a Flight Manual.
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Essential Elements
Evaluation Criteria
8. Personnel making final certifications
are appointed in the quality system.
8. Procedures to ensure that all pre-CoA
issue work on type certificated products
is properly certified.
For an aircraft, CoA issue or acceptance
by CASA of a Statement of Conformity
for “Production under Type Certificate
Only” marks the end of the production
cycle.
9. The system must ensure that before
final release, all required ADs are
incorporated or accounted for (for
aircraft) that all post flight test
adjustment has been certified, and the
approved flight test completed.
9. Procedures for airworthiness
certification of products or parts to be
exported, includes appointment of
personnel authorised to make such
certifications.
10. Persons approving export of products
or parts are identified in the quality
system and are appropriately
authorised. For export approval of
aircraft a CASA instrument of
authorisation must be held.
10. Relevant delegation for CASA and
Industry.
12. Service Difficulty Reporting and Control
CASR 21.003
Essential Elements
Evaluation Criteria
1. The system should ensure that service
problems are investigated and the
manufacturer takes corrective actions.
1. Procedures that define the
manufacturer's responsibilities and
corrective actions relative to service
difficulties involving products or parts inplant, or in-service, including spares in
storage or shipped to a user.
2. The system should have a means for
keeping users of the product or part
informed of service difficulties and
resultant CASA-approved changes to
the type design.
2. Procedure to ensure reporting of
failures, defects and malfunctions to
CASA as required by CASR 21.003.
3. The system should provide for
receiving feedback on service
problems from users of the product or
part.
3. Continuing airworthiness procedures
and plans.
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3.3.2
CASR
21.123(1),
21.135,
21.303(5),
21.605(4)
Stage 2 Quality System Assessment – Quality System Evaluation
This stage of the assessment consists of an evaluation of the quality system at the production
facilities to determine that the applicant has satisfactorily implemented and is capable of
maintaining the required quality system. During this stage inspect parts applicable to the
application in order to assess the applicant's ability to produce conforming parts or products.
CASR 21.123(1), 21.135, 21.303(5) and 21.605(4) refer.
System Assessment
An adequately described system is useless if not properly implemented and maintained.
The PO must therefore ensure that the manufacturer practices rigid system discipline.
CASA does not dictate to a manufacturer the specific manner in which a product will be
produced. However, once a manufacturer commits to a specific system that is approved
by CASA, the manufacturer is obligated to adhere to every facet of the system without
deviation. Whenever a change to the system is necessary, the manufacturer must make
the change in accordance with the provisions of his approved system prior to
implementation. The following guidelines should be utilised during the course of
evaluating a manufacturer's quality system functions:
1. Use the standards described under the Essential Elements columns in the preceding
tables—as applicable—as the basis for conducting the evaluation.
2. Use the information detailed under the Evaluation Criteria columns in the preceding
tables as an aid in conducting the evaluations of the applicable quality system elements.
3. Be alert to any inadequacies in the system, such as a lack of necessary instructions or
procedures, or, more commonly, repetition of regulatory requirements instead of
proper procedures. It is virtually impossible during the desk-top review of Section
3.2.2 to determine whether the submitted system complies with all regulatory
requirements and provides the necessary safety assurances.
Findings
When a non-conformance to the design or design data is noted, the PO must continue
with the evaluation to determine whether the condition is a symptom of a quality system
deficiency or breakdown. When a quality system deficiency or breakdown is indicated, the
inspector must evaluate the system to determine the cause. Necessary corrective action
must be taken by the applicant to ensure the quality system remains compliant and
effective. Stage 3 Quality System Assessment—Manufacturer's Corrective Action refers
(see following section).
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3.3.3
Stage 3 Quality System Assessment—Manufacturer's Corrective Action
Before CASA can approve the application, the manufacturer must complete corrective
action to address all deficiencies or discrepancies arising from assessment of an initial
application or change to an existing system.
This stage is completed when the inspector finds that the manufacturer's corrective
actions and quality system amendments comply with all pertinent Part 21 requirements
and conforming products or parts have been produced following the final form of the
quality system submitted for approval.
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3.3.4
Manufacturer’s Service Documentation
The PAH may need to issue Service Bulletins (SBs), Service Letters or other continuing
airworthiness information.
CASA only approves the relevant technical content of a Service Bulletin if a SB is required
to address an Airworthiness Directive. The PAH is to submit such a proposed SB to
CASA for engineering assessment and approval of the technical content in the form of a
letter to the PAH authorising the issue of the SB.
The PAH is permitted to issue any other SBs or Service Letters etc. without reference to
CASA. However, changes to a design must be approved in accordance with the PAH’s
Procedures Manual.
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3.3.5
Service Difficulty Reports
In-service Service Difficulty Reports (SDRs) received by CASA relating to production item
issues will be processed in accordance with CASA’s SDR procedures, and referred to the
relevant specialists.
CAR 50
The PO is to be involved in any follow-up actions (CAR 50).
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3.3.6
Reporting of Failures, Malfunctions and Defects during Manufacture
CASR
21.003(4)
The manufacturer does not have to report to CASA all failures, defects or malfunctions
that might cause an occurrence (as listed in CASR 21.003 (4)) unless the defective part
has left the holder’s control by the time the defect is discovered.
CASR
21.003(4)
CASR
21.003(10)
The manufacturer must report to CASA all failures, defects or malfunctions that have
resulted in an occurrence [as listed in CASR 21.003(4)]. However, failures, malfunctions
and defects caused by improper maintenance or improper usage, or which have been
reported to CASA by another person, may not have to be reported to CASA by the holder.
See CASR Sub regulation 21.003(10).
Manufacturing errors and irregularities can be rectified. Parts found to be defective by the
manufacturer’s quality system can be repaired, scrapped or quarantined. These defects
do not have to be reported to CASA if the parts have not left the holder’s control, or can
be reliably retrieved.
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3.3.7
Supplier Quality Control
The last production quality system is that for suppliers. Suppliers may not have a CASA
production approval, however, suppliers make up the bulk of the manufacturing effort in
producing aircraft, aircraft engines, and propellers. Suppliers are controlled by the PAH
that they work for, i.e., PC, Production under TC Only, APMA and ATSOA.
Suppliers are not required to have a quality manual, and have no regulatory privileges or
responsibilities. However, they may not sell production parts on the open market without
their own production approval.
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3.3.8
Engineering Drawings
Drawings reviewed by CASA and used in the conduct of conformity inspections must meet
the minimum standards of the CASRs. CASA regulations require that an applicant submit
sufficient drawings, special process documents, specifications and test reports to identify
and substantiate the product for which CASA approval is sought. CASA reviews this data
for minimum compliance with the airworthiness standards. That data is then used for
inspecting the product. CASA uses the data to witness a conformity inspection of the
product at the applicant’s facility, or at an agreed upon location. Provided all of the
drawing requirements have been met, the product is then tested. If the test is acceptable,
the product is approved, and the applicant proceeds to manufacture the part/assembly.
Once a CASA approval is issued, the drawings used to inspect the original product are
considered to be the approved CASA baseline. That baseline never changes unless there
is a modification to the drawings after the approval is issued. Any deviations from the
drawings for a part or assembly must be documented, dis-positioned, and approved in the
same manner as the original drawings were.
CASA will accept drawings that meet some recognised drawing standard that can produce
a quality part within a minimum tolerance range when the manufactured part has been
inspected and tested and has shown to meet the minimum CASR requirements.
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3.3.9
Use of CASA Form 1/Form 917 Authorised Release Certificate
CAR 42
CAAP 42W2(3)
CAR (1988) 42 WA sets out the requirement for Form 1/Form 917, and CAAP 42W2(5)
provides guidance as to the use of the form.
Manufacturers holding a PA may sign a Form 1/Form 917 to accompany a finished part.
However, suppliers to the PAH can only issue some form of conformity statement with
clear delivery documents. They are not entitled to issue a Form 1/Form 917.
CASR
21.133(2B)
For use by the holder of a PC issued for the support activity in Block 12 ‘Remarks,’ add
the words “This ARC is issued under the provisions of CASR 21.133(2B).” Additionally, a
statement qualifying Block 13 is to be entered in Block 12, “This part is manufactured for
certificate of Approval Holder number xxx (or owner/operator by name, as appropriate)
per order number yyy. Block 12 ‘Remarks’ should also provide details (S/N or Tail No.) of
the aircraft, aircraft engine or propeller.
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3.3.10 Use of CASA Form 1/Form 917 for Unapproved Parts
These are parts produced (and to be conformed) to certain controlled design data that has
not yet been approved to be part of the Type Design, Usually, these parts are for use in a
ground or flight test development or certification program, ie usually a prototype.
Neither the manufacturer nor CASA can sign a release for fitment to a certificated aircraft
for such a part. However, the manufacturer or CASA (if requested by a foreign NAA) can
do the administrative function of signing a Form 1/Form 917 limited to conformity only and
referring to the particular controlled data against which the product is conformed. This
fulfils the function of communication between NAAs in a standardised form.
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3.3.11 Export Airworthiness Approvals
A person must be included in the class of persons of the appropriate CASA Instrument of
Appointment, to issue a Form 1/Form 917 as an Export Airworthiness Approval.
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Inspections
4.1
Conformity Inspections
4.1.1
Introduction to Conformity Inspections
This Chapter provides procedures and methods to be followed by the inspector when
conducting inspections to determine that parts, appliances and products (aircraft, aircraft
engines, propellers or parts) conform to the approved design drawings and specifications.
For manufacturing under a PC using the TC as authorised data, Conformity Verification
Plans (CVP) are to be established during the pre PCB phase. Conformity to the plan
needs to be shown by the PA applicant and verified by CASA during the certification
phase, ahead of the issue of a TC, and during the initial production phase to verify that
parts and products conform to design data.
Once a production approval is issued, Conformity Inspections are conducted to verify that
manufacture is in accordance with the approved manufacturing process approved by
CASA.
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4.1.2
Conformity Inspections
The depth of conformity inspections may vary depending on the particular manufacturer.
In the case of a manufacturer with well-established policies, quality system procedures,
experience, inspection personnel, equipment and facilities and who have previously
demonstrated first article acceptability, the inspector may choose to reduce the depth of
conformity inspection by a form of sampling inspection of the manufacturer’s product and
procedures. In the case of a manufacturer whose ability is unknown—e.g., during the
initial production period by a manufacturer producing under a TC only—it will be
necessary to conduct in-depth conformity inspections until the inspector is confident that
reducing the degree of assessment will not compromise safety.
The PO is recommended to use CASA Form 1248 Request for Conformity Inspection as a
positive means of documenting those particular inspections required.
Inspector
1. Regardless of the manufacturer’s ability, the initial parts or products inspected for
conformity for issue of a production approval need to be inspected to a level which
confirms conformity to the design data.
2. When the degree of conformity inspection required has been determined, develop an
appropriate CVP. The Plan should focus on:
❍
Verifying the conformity of the critical and major characteristics of materials, parts
and assemblies
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❍
❍
3.
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Evaluating process controls to assure production of consistent and uniform
products. For other than initial conformity, statistical quality control methods may
be utilised for process evaluation. Complete descriptions of such statistical
methods should be documented
Observing tests of important functional parameters of systems, modules,
components and completed products
Identifying clearly the responsibilities for “recommending” conformity compliance
and for “finding’ conformity compliance for each inspection throughout the initial
certification stage and the First Article Inspection Phase. The responsibilities
should be identified in the conformity inspection matrix attached to the CVP.
Regardless of the manufacturer’s experience, CASA is responsible for verifying that
the manufacturer has carried out a complete article conformity inspection and that the
results of that inspection are properly recorded, before carrying out the conformity
inspection (Refer to 4.1.3).
In the case of a manufacturer producing under a TC only prior to the issue of a PIS,
CASA holds full responsibility for the conformity inspection and for “finding” conformity
compliance.
4. Using the CVP as a guide, record all conformity inspections conducted or tests
witnessed on Form 882 CASA Conformity Inspection Record and include all
discrepancies, non-conformities and corrective actions. Alternatively, all results can
be documented in the matrix to the CVP and attached to the Form 882.
5. Retain these records on the applicable CASA TRIM file.
6. Where design non-conformities or discrepancies are found, forward a copy of the
applicable documents to the Manager, Initial Airworthiness, AEB.
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7. Address the following issues when undertaking a conformity inspection as described
in sections 4.1.4 through 4.1.17 as follows:
❍
4.1.4 Materials
❍
4.1.5 Processes and Processing
❍
4.1.6 Automatic Production Processes
❍
4.1.7 Non-destructive Inspection (NDI) Method Evaluation
❍
4.1.8 Critical and Major Characteristics
❍
4.1.9 Workmanship
❍
4.1.10 Adequacy of Drawings and Related Change Records
❍
4.1.11 Adequacy of Inspection Records
❍
4.1.12 Material Review Action
❍
4.1.13 Software
❍
4.1.14 Conformity Inspections of Test Articles
❍
4.1.15 Structural Test Articles—Aircraft
❍
4.1.16 Flight Test Articles—Aircraft
❍
4.1.17 Endurance Test Articles—Engines and Propellers.
Should discrepancies be found, you may require the manufacturer to carry out a requalification of the part/product.
8. Following any re-qualification of the manufacturer, carry out a further conformity
inspection, considering the previous results as appropriate.
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First Article Inspection
(Reference Standard SAE AS 9102.)
The purpose of First Article Inspection (FAI) is a physical and functional inspection
process commonly used to provide objective evidence that all engineering design and
specification requirements are properly understood, accounted for, verified and
documented. The first conforming article is intended to be a ‘standard’ that verifies
conformance and one that provides a yardstick for corrective actions and problem
resolution.
FAI shall be performed by the applicant and verified by CASA for a new part
representative of the first production run including all detail parts and sub assemblies that
constitute the end item ordered. The FAI record is not complete until all non-conformities
are resolved.
Note: Prototype parts or parts made using different methods or processes cannot be
considered part of the first production run unless full .traceability can be shown
for the differences between the standard manufacturing processes and the
“unique” part manufacturing process..
The FAI requirement applies even after initial production compliance and CASA approval.
Depending on the degree to which characteristics are affected partial or complete
accomplishment of the FAI is required for the following events:
1. A change of design affecting form, fit or function of the part.
2. A change in manufacturing source(s), processes, inspection method(s), location,
tooling or materials with the potential of affecting the form, fit or function of the part.
3. When required as part of a corrective action for a part with repetitive rejection history.
(Typically with three repeat rejections).
4. A change in the numerical control program or translation to another media.
5. A natural or man-made occurrence that may adversely affect the process.
6. A lapse in production of two years.
All documented FAI reports are considered a quality record under the CASR record
keeping requirements.
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Inaccessible characteristics shall be evaluated as early in the process as possible
provided they are not affected by subsequent operations. Naturally, tooling used to verify
a design characteristic must be qualified by FAI verification back to national standards.
Where feasible, FAI measurement equipment and/or personnel shall be independent of
the equipment or personnel utilized for the final product acceptance inspection. It should
be noted that where FAI results are near limits of tolerances, additional parts should be
inspected to verify hardware conformance.
The FAI process for a given part initially includes identification of the original source
documents and their respective revision status. Purchase orders or equivalent documents
must be examined to determine the basic requirements and the validity of the data called
up by the customer. Relevant drawings and specifications must be subject to source
substantiation to ensure that the current complete data is available for the inspection.
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4.1.4
Materials
The following tests are to be conducted:
●
●
●
●
Were raw materials used in the fabrication process in conformity with the design data?
Is evidence available to assure that chemical and/or physical properties were
identified and checked as appropriate?
Is there documented evidence to show traceability from the raw material to the
completed part?
Are there any parts or process deviations recorded against the submitted design data
(including material review dispositions)?
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Processes Conformity
Production approval regulations require fabrication methods that consistently produce
conforming parts and all methods requiring close control to attain this objective must be
covered by approved process specifications. In evaluating processes, CASA is primarily
concerned with performance and conformity. Process performance should be capable of
consistently producing articles that meet the specified requirements.
Process conformity is determined by checking the articles being processed to determine
that they are being processed in accordance with the process specification and that the
materials, tools, and equipment called for are being utilised. Since the end results depend
on strict adherence to the process instructions, any deviation or discrepancy should be
corrected on the initial runs.
Product conformity is determined by inspecting the processed articles. The manufacturer
should make a determination that the process operations are capable of consistently
producing articles in conformity with the design requirements. The method used in
determining this fact should be measurable, as required by the process specification, and
recorded.
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Automated Production Processes
Background
Modern production methods involve many automatic machines such as:
●
Milling machines
●
Lathes
●
Work Centres
●
Riveters
●
Routers
●
Fabric cutters
●
Lay-up placers
●
Electronic component placers, etc.
Traditionally, conformity inspection has been against clearly defined Type Design (TD)
data, in the form of drawings and specifications.
With numeric- or computer numeric-controlled (NC or CNC) machines, traditional
conformity inspections may be difficult due to the non-existence of traditional TD data. In
such cases, TD data includes the Computer Aided Design (CAD) models or other
programmed (software) instructions which can be used to achieve and demonstrate
conformity. Conformity can be evidence that the automatic machine software is
performing correctly.
Conformity Inspection Requirements
CASA must be satisfied that the applicant has the systems and ability to produce
conforming parts.
CASA should ensure that the applicant has a system in place that ensures that:
●
The approved TD data is permanently stored and available for conformity inspections.
The TD may be in the form of drawings and specifications or computer generated
models or instructions
●
Any software used is identifiable as to the package and the version
●
Computer programs such as CAD programs used are of proven validity
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●
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Operators of CAD programs have demonstrated competencies in the use of the
particular CAD package
Computer Aided Manufacturing (CAM) programs used are of proven validity
Operators of CAM programs have demonstrated competencies in the use of the
particular CAM program
Operators of NC or CNC machines have demonstrated competencies in the use of the
machine(s)
Manually-inserted CNC machine instructions are related to approved drawings
Conformity is performed against the approved TD data, which may be held
electronically. The conformity inspection may be in any form acceptable to CASA that
achieves the result, eg;
a. Comparison against drawings printed out from the relevant CAD package, or from
other approved drawings or sketches.
b. Use of calibrated “go” and “no go” gauges developed from the TD data, for
specified dimensions.
c. Use of a Computer Coordinate Measuring Machine (CCMM) for comparison with
the computer-held model.
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4.1.7
Non-destructive Inspection (NDI) Method Evaluation
The procedure for evaluating an NDI method must provide for the manufacturer to
demonstrate to CASA’s satisfaction that the NDI method used has the capability to detect
the allowable defect size and location specified by the engineering data, that the
inspection results are repeatable, and that instruments required to perform the inspection
meet the procedural acceptability requirements.
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4.1.8
Critical and Major Characteristics
●
●
●
●
Has the manufacturer identified and inspected all the critical and major
characteristics?
Does the manufacturer have a record of these inspections?
Does witnessing the re-inspection and surveillance indicate that the above inspections
were accurate and adequate?
Are there any deviations recorded against the approved design data (including
material review disposition)?
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Workmanship
●
●
Does workmanship contribute to the safety of the product?
Have criteria been established to identify acceptable production techniques and
practices?
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4.1.10 Adequacy of Drawings and Related Change Records
●
●
●
●
●
●
Can the part be produced and inspected using the information on the drawing?
Are drawing tolerances practicable and attainable under production conditions? What
evidence supports this?
Have all of the changes been correctly made to drawings submitted for CASA
approval or MRB approval in the case of minor changes?
What procedure is used to ensure the incorporation of an engineering change in the
production part, on the relevant drawing/s and on completed parts in store?
Does the drawing include all the characteristics necessary to inspect the part, the
material to be used, the treatment of the material such as hardness, finish and special
process specifications?
Does the drawing (or associated engineering data) include applicable test
specifications?
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4.1.11 Adequacy of Inspection Records
●
Do the inspection records show all inspections that are conducted?
●
Do they show who conducted the inspection?
●
●
Do they indicate the results of the inspection and disposition of unsatisfactory
conditions?
Are procedures adequate to ensure re-inspection of any parts that are reworked?
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4.1.12 Material Review Action
●
●
Is the material review procedure documented and adequate to ensure disposition of
non-conformities?
Is there adequate corrective action for observed non-conformities to prevent
recurrence?
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4.1.13 Software
●
●
●
●
●
●
●
●
Are all software products (version description document, source code, object code,
documentation, test procedures, loaded hardware/firmware etc) properly identified,
including revision levels, when compared to the hardware and software engineering
drawings?
Have all software problem reports been properly actioned?
Do the records indicate that all software products, including support software and
procedures, have been placed under configuration control?
Have the verification and acceptance tests been successfully executed to approved
test procedures and results recorded?
Are there records that indicate that the object code was compiled from released
source code by approved procedures?
Do records indicate technical acceptance of the software prior to loading into the
system or product?
Are there any indications of non-compliance with the software manufacturer’s
procedures?
How is the hardware/software integration managed and how is the hardware ID
updated with an update of software?
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4.1.14 Conformity Inspections of Test Articles
●
●
●
Prior to initiating conformity inspection activity for test articles, it is essential that the
manufacturer and CASA establish and document the parameters of the test article
configuration and test equipment configuration.
The conformity of the test article and test set-up such as for static, endurance,
operational, pressure, environmental tests, should be established as appropriate to
determine conformity.
In all cases, the approved engineering data should include:
❍
Appropriate instructions
❍
Reference to the manufacturer’s agreed test plan.
When witnessing tests, CASA should determine that the instructions and test
schedule described in the agreed test plan are followed.
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4.1.15 Structural Test Articles – Aircraft
CASR 21.033
CASR 21.033 requires the manufacturer to allow CASA to perform or witness conformity
inspections. This includes structural tests during fabrication and assembly.
The final design submitted for CASA inspection must reflect all changes that have been
found necessary as a result of previous tests. CASA must ensure that such changes are
incorporated into the production drawings. Only then can CASA be certain that
subsequent production articles conform to the tested articles.
It is strongly recommended, due to the different effects of non-conformities on structural
test articles versus flight articles, that parts and assemblies destined for structural testing
should be clearly identified. This should be necessary only in those cases where
structural test articles are being fabricated concurrently with prototype flight articles. Once
parts and assemblies have been subjected to structural testing beyond limit load they
must be clearly and permanently identified to prevent their use in production.
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4.1.16 Flight Test Articles—Aircraft
Determining conformity of flight test articles, including system checks, should begin during
fabrication. It is important that flight test articles conform to the data specified in the
design data on which the manufacturer’s statement of conformity is based.
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4.1.17 Endurance Test Articles—Engines and Propellers
In addition to conformity of production, endurance test conformity will also be required.
These tests will be part of the CASA approved specifications, and the inspector should
coordinate with the CASA engineers before undertaking conformity of endurance tests.
CASR
Part 33
Part 35
CASR
201.001
At the conclusion of the endurance test, during the teardown inspection, CASA should
spot-check conformity of major and critical parts by witnessing the manufacturer’s
inspections, paying particular attention to critical characteristics. Teardown inspection of
test articles after endurance testing is a specific requirement of CASR Part 33 and
Part 35. These activities should be witnessed by a CASA inspector/AWE or a
CASR 201.001 appropriately authorised person. The manufacturer should not clean or
disassemble the test article until the independent inspector is present, at which time the
manufacturer’s inspection should be conducted as follows.
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Inspector
1. Verify that the manufacturer carefully notes the appearance of subassemblies during
the teardown and before complete disassembly. The manufacturer should specifically
note any abnormal leakage in valves, seals, fittings, etc.; indication of excessive or
lack of lubrication; excessive coking; metal or foreign particles in the oil screens or
passages; sticking or breakage of parts; lack of freedom of moving parts; breakaway
torques; and any other condition which may not be noticeable after complete
disassembly and cleaning.
2. Verify that all parts are thoroughly cleaned and visually inspected for indications of
galling, metal pickup, corrosion, distortion, interference between moving parts, and
cracks. Highly finished surfaces should be checked for condition and any
discolouration due to excessive heat and lack of lubrication. Special attention should
be given to bearings, gears, and seals. Engine pistons, cylinder heads, and turbine
assemblies should be carefully inspected for indications of cracking, burning or local
collapse.
3. Verify that both ferrous and nonferrous stressed parts are inspected for incipient
failures by suitable non-destructive testing methods such as magnetic particle
inspection, x-ray, penetrant, ultrasonics, in accordance with the test plan.
4. Verify that all parts subject to wear of distortion are dimensionally inspected to
determine the extent of change during the test. This may be done by pre-test and
post-test dimensional comparisons. The manufacturer should record the results in a
suitable manner.
5. On completion of the above steps for certification of an engine or propeller, the
manufacturer’s inspection report, verified by the independent inspector, is submitted to
the TLM. This report should contain the results of the inspection, giving a
comprehensive description of all defects, failures, wear or other unsatisfactory
conditions including photographs as required. Since the report is used for evaluation,
its importance cannot be overemphasised.
6. Ensure that non-conforming parts are identified and retained by the manufacturer in
safe storage for review by CASA.
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4.2
Final Inspection and Flight Test
4.2.1
Applicability — Final Inspection and Production Flight Test
Version 3.0: July 2011
The basic purpose of the ground inspection is to physically determine that the aircraft
readied for flight test and therefore
●
Conforms with the technical data and
●
Is safe for the flight tests intended.
The results should be recorded for the project file, together with any other data requested
by CASA engineering and flight test personnel.
The ground inspection is normally a progressive inspection of parts and assemblies
culminating in the aircraft being finally readied for its initial test flight.
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4.2.2
Preliminary Ground Inspection
Preliminary ground inspection includes all inspections of the first production unit that can
be performed satisfactorily in the course of construction.
The manufacturer is to notify the CASA inspector whenever changes are made to
components, systems, or installations previously cleared. Upon such notification, the
inspector is to witness such re-inspections as necessary.
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4.2.3
Final Ground Inspection
The final ground inspection is the final inspection of the complete aircraft and should be
performed just prior to first production flight test. Detailed procedures for conducting
inspections and test for the assembled product should be included in the approved
production procedures. They should also be coordinated by the manufacturer to preclude
unnecessary delays and duplication of effort and to assure that all required inspections
and tests are properly accomplished before flight.
The PO is to notify CASA flight test personnel when the initial flight test phase is to
commence to ensure that flight test personnel have sufficient time to prepare for the flight
test program.
The manufacturer should provide all necessary assistance, equipment, and data essential
for the flight test.
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Flight Test and Manufacturing Inspector
1. Carry out the inspection:
❍
Witness the operation of all ground operable systems by the manufacturer’s
personnel.
❍
Witness the weighing of the aircraft and verify scale accuracy.
❍
Verify equipment installed, including test equipment, during each flight test to
determine flight loadings.
❍
Verify the weight and balance report, showing the actual empty weight centre of
gravity together with the list of equipment installed. Retain a copy of these
records and make sure flight test personnel have a copy.
❍
If necessary during this phase, verify weights and moment arms of equipment
items.
2. Determine what other inspections remain, such as instrument markings, placards,
unusable fuel, etc. These inspections must be completed prior to issue of the
Statement of Conformity by the manufacturer.
■
4.2.4
Flight Inspection
Manufacturing Inspector (MI)
1. Establish with the Flight Test Pilot a mutually agreeable system for informing the TLM
of changes to the aircraft and any problems encountered during flight test.
Cooperation with the Flight Test Pilot is crucial to the safe and professional completion
of the flight-testing.
2. Prior to the flight test, determine that the manufacturer carries out the various loading
conditions specified by the flight test specialist. This includes a determination that the
ballast used is accurately weighed, located, and safely secured.
3. Throughout the flight test program, determine that the manufacturer has a plan to
ensure that the aircraft is adequately inspected to reveal any unsafe conditions that
may develop and to require their correction prior to further flight tests. The frequency
and extent of such checks should be coordinated with CASA. Participate in the
checks whenever practicable to determine compliance. The MI and the flight test
specialist should have a system of informing each other of changes made to the
aircraft and problems encountered during any flight test.

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Production Approval Procedures Manual
4. Inspections
4.2 Final Inspection and Flight Test
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Flight Test Pilot
The Flight Test Pilot is not to fly a test aircraft without coordinating with the PO to be
assured that the aircraft is released for flight.
The final acceptance of the test aircraft as it relates to the operation of the aircraft and the
integrity of the test is the responsibility of the CASA Flight Test Pilot. Instruments, gauges,
recording devices, etc., which are used in the official flight test program for flight, should
be in current calibration by a qualified agency and calibration reports furnished. The Flight
Test Pilot is to be given copies of the reports prior to flight.
■
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4. Inspections
4.2 Final Inspection and Flight Test
Approved by Executive Manager, Aviation Safety Standards
Blank page
4-16
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Production Approval Procedures Manual
5. Sample Letters
5.1 Introduction
Approved by Executive Manager, Aviation Safety Standards
5.
5.1
Version 3.0: July 2011
Sample Letters
Introduction
Contents of this Chapter
This chapter includes the following sample letters:
5.2
Sample CASA APMA Approval Letter
5.3
Sample CASA APMA Supplement without Licensing Agreement
5.3.1
5.4
Sample CASA APMA Supplement (Design Approval) Test and
Computation
Sample CASA APMA Supplement with Licensing Agreement
5.4.1
Sample CASA APMA Supplement (Design Approval) Identicality
5.5
Sample APMA Supplement
5.6
Sample CASA APMA Design Rejection Letter
5.7
Sample ATSO Authorisation
5.8
Sample PIS Approval Letter.

5-1
Production Approval Procedures Manual
5. Sample Letters
5.2 Sample CASA APMA Approval Letter
Approved by Executive Manager, Aviation Safety Standards
5.2
Version 3.0: July 2011
Sample CASA APMA Approval Letter
File Ref:EF10/999x
Trim No xxxx
CIVIL AVIATION SAFETY AUTHORITY
AUSTRALIAN PARTS MANUFACTURING APPROVAL
APMA No: APMA-123456
Mr John Thomas
Managing Director
Thomas Manufacturing P/L
12 Aviation Street
TULLAMARINE VIC. 3043
Dear Mr Thomas,
I refer to your APMA application to CASA dated 5 August 2010.
In accordance with the provisions of CASR 21.303, CASA has found the
design/process data and specifications submitted as design data by Thomas
Manufacturing P/L (the Manufacturer) on 5 August 2010 meet the airworthiness
requirements of the Civil Aviation Safety Regulations (1998) applicable to the
products on which the part(s) is to be installed.
Additionally, CASA has determined that the Manufacturer has established the
documented Fabrication Inspection System (FIS) required by CASR 21.303(11).
The attached Supplement defines the extent of approval given under this APMA
and is to be read in conjunction with this approval. Manufacture in accordance
with the established Fabrication Inspection System, and the attached
Supplement, is approved at the following locations:
12 Aviation Street
TULLAMARINE VIC 3043.
In accordance with CASR 21.303(9), this APMA is granted to the Manufacturer to
produce the part(s) listed in the attached Supplement in conformity with the
CASA approved design.
This APMA is not transferable and unless suspended, continues in force until
cancelled.
Subject to due process, CASA may suspend or cancel this APMA by written
notice if the holder ceases to comply with the relevant parts of CASR Part 21.
This APMA is issued subject to Thomas Manufacturing Pty Ltd complies with all
the requirements of CASR Part 21.K.
This approval is issued subject to the following conditions:

5-2
Production Approval Procedures Manual
5. Sample Letters
5.2 Sample CASA APMA Approval Letter
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
1.
The Manufacturer FIS, methods and procedures provided in Thomas
Manufacturing Pty Ltd Quality System Manual Revision 2, dated 30 July 2010
(or later approved revision).
2.
The Manufacturers facilities, including suppliers, are subject to CASA
surveillance or investigations. Accordingly, the manufacturer must advise any
parts/material supplier that their facilities are also subject to CASA
surveillance
3.
The design/process data listed on the supplement enclosed with this letter of
approval is to be considered as approved data. This data is not to be altered
by the manufacturer unless permitted or approved by CASA.
4.
The manufacturer must report to CASA Manufacturing Section within 3
working days, all information concerning service difficulties on any part
produced under this approval, in addition to failures, malfunctions and defects
to be reported in accordance with CASR 21.003.
5.
The manufacturer must perform a full First Article Inspection (FAI), or a partial
FAI for the affected characterises, when there is a lapse in production of two
years for any item listed in the APMA Supplements.
6.
The Manufacturer must allow CASA to make any inspections and tests
necessary to determine compliance with the applicable requirements of CASR
Part 21 Subpart 21.K
Yours sincerely,
{Signed}
Delegate of CASA
Date of original issue: 30 September 2010
Attachment: APMA Supplement

5-3
Production Approval Procedures Manual
5. Sample Letters
5.3 Sample CASA APMA Supplement without Licensing
Agreement
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
5.3
Sample CASA APMA Supplement without Licensing Agreement
5.3.1
Sample CASA APMA Supplement (Design Approval) Test and
Computation
Australian Parts Manufacturing Approval Supplement No. 001
Australian Parts Manufacturing Approval No. APMA-123456
Dated: 30 September 1999
To:
Thomas Manufacturing P/L
12 Aviation Street,
TULLAMARINE, VICTORIA 3043
APMA Replacement Part:
Part Name:
For Installation on:
Part P/N:
Replacement for Part P/N:
Design Data:
Approval Means:
Licence Agreement:
Spring
General Aircraft Models
THOMAS 7654321
Bendix BS 89
Drawing No 7654321 Rev 1
Test and Computation
Nil
APMA Supplement Revision: 0
Yours faithfully,
{Signed}
Delegate of the Civil Aviation Safety Authority.

5-4
Production Approval Procedures Manual
5. Sample Letters
5.4 Sample CASA APMA Supplement with Licensing Agreement
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
5.4
Sample CASA APMA Supplement with Licensing Agreement
5.4.1
Sample CASA APMA Supplement (Design Approval) Identicality
APMA Production Approval Supplement No. 001
Australian Parts Manufacturing Approval No. APMA-654321
Dated: 14 December 1998
To:
Thomas Aircraft Interiors, Inc.,
12 Aviation Street,
TULLAMARINE, VICTORIA 3043
APMA Replacement Part:
Part Name:
For Installation on:
Eligibility:
Part P/N:
Replacement for original P/N:
Design Data:
Design Approved:
Approval Means:
Licensing Agreement:
Galley
ACE Aircraft Model 700
ACE Aircraft Model 700, S/N 123 and up
S101001-101
S101001-301
101001-101
101001-301
Interior Inc STC, drawings per licensing agreement
Interior Inc. FAA STC No xxxx
Identicality
License agreement between Thomas Aircraft Interiors
and Interiors Inc.
Refer Thomas File No 04/8888
FAA STC No. NN12345
Holder :
Interiors Inc.
12 Main Street,
Los Angeles Airport, CA 900012, USA
APMA Supplement Rev 1
Yours faithfully,
{Signed}
Delegate of the Civil Aviation Safety Authority.

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Production Approval Procedures Manual
5. Sample Letters
5.5 Sample APMA Supplement
Approved by Executive Manager, Aviation Safety Standards
5.5
Version 3.0: July 2011
Sample APMA Supplement
AUSTRALIAN PARTS MANUFACTURING APPROVAL SUPPLEMENT
Manufacturer
Thomas Manufacturing Pty Ltd
12 Aviation St
Tullamarine
Victoria 3045
Approved Location(s)
747 Mackay Ave.
Bowenmango QLD. 4108
Part Name
Part Number
Battery Kit 1
A123
Battery Kit 2
A125
Spacer Block
A126-1
Battery Tray
A126-2
L/H Support
Bracket
A126-3
Approved
Replacement
for Part
Number(s)
See
STC NN555
APMA No:
APMA-599999
Supplement No:
001
ARN:
599999
Date:
30 September 2004
Approval Basis
Approved Design/Process Data
Make
Eligibility
Model
Eligibility
Identicality per STC NN555
Anstrom
Unitsia 204
Series
A126-4
End of Listing
(Signed)
Delegate of the Civil Aviation Safety Authority.

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Production Approval Procedures Manual
5. Sample Letters
5.6 Sample CASA APMA Design Rejection Letter
Approved by Executive Manager, Aviation Safety Standards
5.6
Version 3.0: July 2011
Sample CASA APMA Design Rejection Letter
Ref File 04/12345
Trim No. XXX
To:
Thomas Aircraft Interiors, Inc.,
12 Aviation Street,
TULLAMARINE, VICTORIA 3043
14 December 1998
I refer to your APMA application dated 01 November 1998
CASA has reviewed the data you submitted. CASA does not find that compliance with the
regulatory requirements for APMA has been demonstrated. Non-compliance in relation to
CASR 21.303(3) was found in the following areas:
The design data was not found to be compliant with the corresponding end product Type
Certificate design standard or for ‘Identicality’,
Or
The design data was not found to be identical with the corresponding replacement part data.
The data you submitted is enclosed.
Yours faithfully,
{Signed}
Delegate of the Civil Aviation Safety Authority.

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Production Approval Procedures Manual
5. Sample Letters
5.7 Sample ATSO Authorisation
Approved by Executive Manager, Aviation Safety Standards
5.7
Version 3.0: July 2011
Sample ATSO Authorisation
Ref: 04/12345
Trim No. XXX
Avia Belts Pty. Ltd.
PO Box 578910
Numpytown
Qld 4896
For Attention: Mr D Samuelson
Subject: Avia Belt Restraint Harness Technical Standard Order C114
Dear Sir,
This Letter of Approval refers to your application, dated 01 May, 2003, requesting an
Australian Technical Standards Order Authorisation (ATSOA) for your restraint
harness Part Number ABPL 5-A1. Based on the data presented and your statement
certifying that the article meets in full the minimum performance standards of TSO
C114 as applicable, and the requirements of Civil Aviation Safety Regulations Part 21,
Subpart O, authorisation is granted.
Effective from the date of this authorisation you are authorised to manufacture the
restraint harness P/N ABPL 5-A1 and mark the articles with the identification marks
required in CASR 21.607(c) and, if applicable, any additional marking requirement.
All ATSO articles must be manufactured at the authorised location in accordance with
the Avia Belts Pty. Ltd. ATSOA Quality Assurance and Procedures Manual, Initial
Issue dated 27 July, 2003 or later CASA-approved revision. Revisions must be passed
to CASA for review before implementation.
Your production authorisation methods, and procedures documented in the approved
quality system manual, together with the manufacturing facilities, are subject to CASA
audit or investigation. As CASA does not separately approve suppliers, you should
advise any suppliers or contractors that their facilities and processes are also subject
to CASA audit in assuring CASA your system is being properly maintained.
The authorised design data may be changed, however the requirements of CASR
21.611 apply. Minor design changes must be forwarded to CASA at intervals not
exceeding six months. Major design changes require a new ATSOA application to
CASA.
You are required to report to CASA information in the detail and to the timeframe
required by CASR 21.003, all defects, failures and malfunctions in any parts produced,
or in processes authorised under this ATSOA. Reports are to be forwarded to your
CASA controlling office.

5-8
Production Approval Procedures Manual
5. Sample Letters
5.7 Sample ATSO Authorisation
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
The production location is identified as:
9 Markus Street,
Numptytown
QLD 4896
This authorisation is not transferable to another location or person and continues in
force until it is surrendered, suspended or cancelled. Subject to due process, CASA
may suspend or cancel this ATSOA by written notice if the holder ceases to comply
with the relevant parts of CASR Part 21.
Parts, appliances or services furnished by any suppliers located in a foreign country
may not be used in the production of any ATSOA article unless:
a)
That part or service can and will be completely inspected for conformity at the
authorised manufacturer’s Australian facility; or
b)
CASA has determined that the supplier’s location places no undue burden upon
CASA in administering the applicable airworthiness requirements; or
c)
The parts/services furnished by the foreign supplier are produced under the
provisions of an Australian Bilateral Airworthiness Agreement or Bilateral Aviation
Safety Agreement, and approved for import to Australia in accordance with
CASR 21.502.
Should you cease to manufacture the subject ATSO article, you are required to send
to CASA copies of the complete and current technical data file for the article including
design drawings and specifications in accordance with CASR 21.613(1)(a).
This ATSOA is a design and manufacturing authorisation, not an installation approval.
Therefore, to address end user/installer responsibilities and in accordance with the
applicable TSO requirements, the following text must be supplied with each article:
“The conditions and tests required for ATSO approval of this article are minimum
performance standards. It is the responsibility of each person intending to install the
article on or within an aircraft to determine that the conditions in which the article will
be installed are not more onerous than those specified in the ATSO. The article may
only be installed in accordance with installation data approved by CASA or an
appropriately authorised person.”
Yours faithfully,
Delegate of the
Date issued: ………………..
Civil Aviation Safety Authority

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Production Approval Procedures Manual
5. Sample Letters
5.8 Sample PIS Approval Letter
Approved by Executive Manager, Aviation Safety Standards
5.8
Version 3.0: July 2011
Sample PIS Approval Letter
Ref: 04/12345
Trim No. XXX
Avia Belts Pty. Ltd.
PO Box 578910
Numpytown
Qld 4896
Dear
,
Production Inspection System Approval
Your production inspection system established and maintained at {facility address} has been
evaluated and found to be in compliance with CASR 21.125. You are now authorised to
produce the following Aircraft/Engines/Propellers and their associated parts in compliance
with the requirements contained in CASR Part 21, Subpart F, and in conformity with the type
design data forming the basis for the following type certificate(s):
Type Certificate
Make
Model
Subject to due process, CASA may cancel this approval by written notice if the holder
ceases to comply with the relevant parts of CASR Part 21.
1.
The Manufacturer must manufacture all products and parts in accordance with the
documented …(Manufacturer’s name) … Approved Production Inspection System
manual, Revision …, dated ……….., or later CASA approved revision.
2.
The Manufacturer’s Production Inspection System, together with the Manufacturer’s
facilities, are subject to CASA audit or investigation. As CASA does not separately
approve suppliers, the Manufacturer must advise any suppliers or contractors that their
facilities and processes are also subject to CASA audit in assuring the Manufacturer’s
system is being properly maintained.
3.
Changes to the approved Production Inspection System that affect inspection or
conformity to the design data are considered major changes. CASA must be advised
in writing of the changes within 2 days of implementation. Product or parts produced
between the time the change is implemented and CASA evaluation of the change must
be quarantined until released by CASA.
4.
Relocation, or expansion of the manufacturing facilities to include new facilities, must
be notified to CASA in writing within 10 days of the date the relocation or expansion
takes place. Product or parts produced between the dates the relocation or expansion
takes place and CASA evaluation of the changes effected in the manufacturing facility,
must be quarantined until released by CASA.
5.
Products and parts produced under this approval must be permanently marked with
identification in the detail required by CASR Part 21, Subpart Q.

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Production Approval Procedures Manual
5. Sample Letters
5.8 Sample PIS Approval Letter
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
6.
CASR 21.003 requires the Manufacturer to report to CASA information in the detail
and to the timeframe required by CASR 21.003, all defects, failures, and malfunctions
in any parts produced, or in processes approved under this approval.
7.
The Manufacturer must make available to CASA, on request, information concerning
suppliers who furnish parts or services including:
a.
b.
c.
d.
e.
f.
g.
h.
i.
8.
A description of the part/s including part name, and part number,
Where and by whom the part or service will be inspected,
Any delegation of inspection functions to the supplier,
Any delegation of material review functions to the supplier,
Name and title of the company contact at the supplier facility,
Inspection procedures required to be implemented by the supplier
Results of the manufacturer’s internal evaluation, audit and surveillance of
suppliers,
Related purchase and work orders
Feedback relative to service difficulties originating from the manufacturer’s
suppliers.
Parts, appliances or services furnished by any suppliers located in a foreign
country may not be used in the production of any product under this approval unless:
a.
That part or service can and will be completely inspected for conformity at the
Manufacturer’s Australian facility; or
b.
CASA has determined that the supplier’s location places no undue burden upon
CASA in administering the applicable airworthiness requirements; or
c.
The parts/services furnished by the foreign supplier are produced under the
‘components’ provisions of an Australian Bilateral Airworthiness Agreement or
Bilateral Aviation Safety Agreement, and approved for import to Australia in
accordance with CASR 21.502.
9.
All technical data required for the parts to be produced under this approval, must be
readily available to CASA at the facility at which the parts are being produced. CASR
21.123(1)(b)
10.
CASA must be notified within 10 days if the Manufacturer’s address shown in
this approval changes.
Yours faithfully,
{Signed}
Delegate of CASA
Date issued: ………………..

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5. Sample Letters
5.8 Sample PIS Approval Letter
Approved by Executive Manager, Aviation Safety Standards
Blank page
5-12
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Production Approval Procedures Manual
6. Definitions
Approved by Executive Manager, Aviation Safety Standards
6.
Version 3.0: July 2011
Definitions
Term
Definition
AC
Advisory Circular
Act
Civil Aviation Act 1988 as amended
Aeronautical Product
Any part or material that is, or is intended by its manufacturer to be, a part
of or used in an aircraft, unless excluded by the regulations.
APMA
Australian Parts Manufacturer Approval. It is a design and production
approval document issued to the applicant by CASA. This would normally
be accompanied by an APMA Supplement, which specifies the limit of
design and production approval.
Appliance
Any instrument, mechanism, equipment, part, apparatus, appurtenance, or
accessary, including communication equipment that is used or intended to
be used in operating or controlling an aircraft in flight, is installed in or
attached to the aircraft and is not part of an airframe, engine or propeller.
Applicant
Person who applies to engage in an activity for which a Production
Approval is required.
ARN
Aviation Reference Number – a unique number issued by CASA to an
industry participant.
Article
A part or component manufactured under an ATSOA for use on type
certificated products.
Associate Facility
A facility that has been approved as an addition to an original production
approval. The address must be listed in the PLR or APMA Appendix.
ATSO
Australian Technical Standard Order: the minimum performance standard
for specified articles.
ATSOA
Australian Technical Standard Order Authorisation is a CASA design and
production authorisation issued to a specific manufacturer of an article
which has been found to meet or exceed a specific Australian Technical
Standard Order (ATSO) performance standard. The ATSOA does not
confer installation authority. The installation of the article must be
separately approved as part of the type design of a type certificated
product.
Authorised Person
A person authorised under an Instrument of Authorisation to exercise a
power in a specific provision of CASR or CAR where the term ‘authorised
person’ appears. The authorisation is specific to the legislative provision.
MI
Manufacturing Inspector

6-1
Production Approval Procedures Manual
6. Definitions
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Term
Definition
BAA
Bilateral Airworthiness Agreement
BASA
Bilateral Aviation Safety Agreement
CAO
Civil Aviation Order
CAR
Civil Aviation Regulations 1988
Certificate
Management
The ongoing audit function carried out by CASA following the issue of a
production approval.
CASR
Civil Aviation Safety Regulations 1998
CIR
Conformity Inspection Record – Form 882
Critical
A term applicable to parts, appliances, characteristics, processes,
maintenance procedures, or inspections which, if they fail, are omitted, or
are non-conforming, may cause significantly degraded airworthiness of the
product during takeoff, flight, or landing.
Delegate
A person authorised under an Instrument of Delegation to exercise the
power of a specific CASR or CAR.
Design Data
Consists of all drawings and specifications, which may be summarised on
a master drawing list, that are necessary to show the configuration of the
part, and all information on dimensions, tolerances, materials, processes,
and procedures necessary to define all characteristics of a part as well as
the Airworthiness Limitations Section of the Instructions for Continued
Airworthiness. It also includes analysis, technical reports and other related
data.
FAA
Federal Aviation Administration of the USA
FAR
Federal Aviation Regulation of the USA
FIS
Fabrication Inspection System
ICAO
International Civil Aviation Organisation
Life Limited Part
Any part which has an established replacement time, inspection interval, or
related procedure specified in the Airworthiness Limitations section under
CASRs 21.50, 23.1529, 25.1529, 27.1529, 29.1529, 31.82, 33.4, and 35.4
or under an ATSOA or APMA.
Manufacturer
A person producing duplicates of a product, part, appliance or article.
MRB
Material Review Board
NATA
National Association of Testing Authorities
NAA
National Airworthiness Authority

6-2
Production Approval Procedures Manual
6. Definitions
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Term
Definition
PAH
Production Approval Holder: the holder of a PC, APMA, ATSOA or other
special manufacturing approval, who controls the design and quality of a
product or part.
PC
Production Certificate
PCB
Production Certification Board: a panel of CASA specialists acting under
the direction of a chairperson for the purpose of determining the eligibility
of the holder of a TC, STC or licence for issue of a complex production
approval.
PIS
Production Inspection System
PLR
Production Limitation Record – a schedule attached to, and forming part of
a PC, that lists the limits of production approved under the PC.
Production
Manufacture of aircraft, aircraft engines, propellers and parts, including
control of materials and processes used in the manufacture.
Project Officer
The CASA officer responsible for the coordination and management of the
production approval application.
QS
Quality System: the total network of administrative and technical data and
detailed procedures required to control the product and parts to specified
airworthiness standards. It also denotes inspection systems in regard to
holders of an APMA or an organisation manufacturing under a TC only.
RCA
Request for Corrective Action
Special Process
A process where the results cannot be readily verified by subsequent
inspection and testing, and where processing deficiencies may become
apparent only after the product is in use. Such processes shall be carried
out by qualified operators, and require continuous monitoring and control
of process parameters to ensure that the specified design requirements
are met.
Standard Part
An item manufactured in complete compliance with an established
government or industry-accepted specification that includes design,
manufacturing, and uniform identification requirements. The specification
must include all information necessary to produce and conform the part.
The specification must be published so that any party may manufacture the
part. Examples include, but are not limited to, National Aerospace
Standards (NAS), Army-Navy Aeronautical Standard (AN), Society of
Automotive Engineers (SAE), SAE Aerospace Standard (AS), Military
Specification (MS), (RTCA).
Supplier
Any person who furnishes parts or related services (at any tier) to the
production approval holder manufacturing an aeronautical product or part.
Supplemental Type Certificate
Type Certificate
STC
TC

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6. Definitions
Approved by Executive Manager, Aviation Safety Standards
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Version 3.0: July 2011
Production Approval Procedures Manual
Revision History
Approved by Executive Manager, Aviation Safety Standards
Version 3.0: July 2011
Revision History
Note: The Revision History shows details of the most recent version first, followed by information
about previous versions.
Version
Date
Part/Section
Details
3.0
July 2011
All
Complete manual revised.
2.2
November 2010
Table of
Contents
Added Preface.
2.1
February 2010
All
Minor changes to reflect Organisational changes as
of October 2009 (restructure, realignment and
renaming of roles).
2.0
August 2004
All
Complete manual revised.
New Form 1248 Request for Conformity Inspection
introduced.
Form 1143 Australian Parts Manufacturing Approval
Supplement (Landscape version) introduced. (Form
1142 remains as Australian Parts Manufacturing
Approval Supplement (Portrait version).
Form 1148 Name of Part and Technical Standard
(Letter) introduced.
1.1
September
2003
2.2.4
Production Certificate (Form 737) and Production
Limitation Record (Form 002) introduced.
As a result section 2.2.4 amended, in particular subsection entitled Issuing the PC and Production
Limitation Record (PLR):

Three introductory paragraphs and a new subsection Certificate Numbers added (pages 2-14 to
2-15)

Sample Production Approval Templates included
(pages 2-18 to 2-19)
1.0
May 2000
4.1.5
New section Automatic Production Process inserted
and remaining sections renumbered. This
necessitated a change in section 4.1.2, list item 7
under ‘Inspector’ to insert the new section 4.1.5.
5.2
APMA Approval Letter revised.
All
New manual

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Revision History
Approved by Executive Manager, Aviation Safety Standards
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