MAA Regulatory Notice

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Regulatory Notice
7 Apr 16
MAA/RN/2016/03 – MILITARY TYPE CERTIFICATES EXPLAINED
Issue
1.
It is anticipated that the first Military Type Certificate (MTC) will be issued to a DE&S Project
Team Type Airworthiness Authority (TAA) in April 2016. Regulatory Article (RA) 1500 1 provides
the extant regulatory requirements for achieving a MTC; however, it is recognised that it does not
provide the Regulated Community (RC) with sufficient detail about the significance of the MTC,
responsibilities of the MTC Holder (MTCH) or how the MTC will be managed through life. Some of
this detail, along with a number of subtle changes to the regulatory requirements contained in
RA1500, was incorporated into Draft RAs 5810 2 and 5820 3 published in Notice of Proposed
Amendment (NPA) 15/12; however, due to extensive consultation, these RAs are unlikely to be
formally issued until after the issue of the first MTC.
Scope
2.
This Regulatory Notice (RN) is supplementary to RA1500 and provides additional information
to the RC on the purpose of MTCs and their management through the life of an Air System,
including the reasons for, and implications of, their suspension or revocation. There are 3 main
instances in which this RN differs from the Guidance Material currently contained in RA1500
regarding MTCs; where this is the case it is clearly identified in the text.
Implementation
3.
The information contained within this RN is effective immediately. It will be reviewed
following publication of RAs 5810 and 5820.
Military Type Certificate
4.
Type Airworthiness Authorities intending to bring new Air Systems onto the Military Aircraft
Register (MAR) for operation in the Service Environment are required to complete the Military Air
System Certification Process (MACP)1. Successful completion of the MACP will result in the issue
of a MTC. All subsequent Major changes in the Type Design (including new Marks/variants) will
also require completion of the MACP process, successful completion of which will result in an upissued MTC. A MTC will certify that an Air System:
a.
Has been designed by an approved organisation(s).
b.
Meets the approved Type Certification Basis (TCB), or that any airworthiness
provisions not complied with are compensated for by controls or mitigations that provide an
equivalent level of safety.
c.
Is supported by appropriate Aircrew Publications, Technical Information and Release to
Service Recommendations (RTSR) containing instructions for its safe operation and
sustaining type airworthiness, and a comprehensive Equipment Safety Assessment.
5.
The MTC, therefore, provides assurance to the Release to Service Authority (RTSA) and
Aviation Duty Holder (ADH) that the Type Airworthiness arrangements in place for the Air System
1
RA1500 – Certification of UK Military Registered Air Systems.
Draft RA5810 – Military Type Certificate and Restricted Military Type Certificate (MRP 21 Subpart B)
3
Draft RA5820 – Changes in Type Design (MRP 21 Subpart D)
2
1
have been assessed to be adequate by the Military Aviation Authority (MAA) as an independent
authority. The 3rd clause, at paragraph 4.c deviates from the Guidance Material contained in
RA1500, in that the revised wording now reflects the level of assurance that the MAA is able to
provide through the MACP. RA1500 also states that the MTC will be issued with the Type
Certification Report prior to an RTSR Audit. However, it has been determined that a MTC should
not be issued until the RTSR Audit has been completed, since the RTSR and its supporting
artefacts will provide the necessary evidence to allow compliance with the 3rd clause to be
adequately certified.
6.
MTCs will have a supporting Annex that details the certificated Marks/variants of the Type
and Major Changes in Type Design. For a Restricted MTC (see below), the Annex will also
stipulate a Validity Restriction and/or any MAA-mandated Operating Restrictions. In contrast to a
civil Type Certificate (TC), the MTC will not have an accompanying Type Certificate Data Sheet
(TCDS) because the data provided in a civil TCDS is published in the military Air System RTS.
The RTS is derived from the MTC Applicant’s RTSR which are audited by the MAA prior to issue of
a MTC. By auditing the RTSR, the MAA is able to review the technical data and operating
limitations that are to be published in the RTS. Consequently, contrary to RA1500 there is no
requirement for the Applicant to submit a draft TCDS with their Type Certification Exposition (TCE).
Comparison with Civil TC
7.
It is important to note that a MTC is not the same as a Civil TC. Both certificates define the
Type Design and certify that appropriate processes have been followed in establishing the
airworthiness of the Air System Type, but, there are some fundamental differences. The most
significant is that MAA Regulations, unlike their civil equivalents, are not enshrined in law 4.
Consequently, a MTC must be held by a Crown Servant over whom the Secretary of State for
Defence has authority, rather than by a Design Organisation, whose obligations can only be
enforced through contractual arrangements. Furthermore, the necessary ability for the MOD to be
able to change a Type Design without the involvement of the original Design Organisation (for
example through Service Modifications) justifies the decision to issue a MTC to a Crown Servant.
8.
The Design Organisation still plays a vital role in maintaining the validity of the MTC and
informing the decisions of the MTCH, but only through their contractual obligations. Therefore, any
enforcement actions taken by the MAA regarding a MTC apply only to the Crown Servant MTCH
and not the Design Organisation (see suspensions and revocations, below).
Military Type Certificate Holder
9.
As the Crown Servant responsible for the Type Airworthiness of an Air System on the MAR,
the Applicant 5 for military certification of the Air System (the TAA) will become the MTCH for that
Air System Type. The requirements of RA1003 6 ensure that the TAA role is always undertaken by
a competent individual, thereby allowing a MTC to be issued to the TAA post rather than to an
individual.
10. A MTCH will be responsible for maintaining the validity of their MTC. In order to do so, the
MTCH should fulfil the responsibilities of a TAA, as contained in RA1015, together with the
following additional responsibilities 7:
a.
Having an agreement in place with an approved Coordinating Design Organization 8 for
the Air System that ensures access to all of the Type Design data, including Airworthiness
Directives (AD) or Service Bulletins (SB) for military aircraft derived from civil types.
4
EASA’s legal powers derive from its ‘Basic Regulation’ - Regulation (EC) No 216/2008 of the European Parliament and of the Council
of 20 February 2008 and subsequent amendments.
5
Through the submission of a MAA Form 30.
6
MRP RA1003 – Delegation of Airworthiness Authority and Notification of Air Safety Responsibility (DE&S).
7
Detailed with further Acceptable Means of Compliance and Guidance Material in Draft RA5805, published in NPA 15/12.
8
As set down in RA1014.
2
b.
Ensuring that systems are in place for collecting, investigating and analysing reports of
and information related to failures, malfunctions, defects or other occurrences which cause or
might cause adverse effects on the airworthiness of the Air System.
c.
Considering an appropriate response following the issue of an AD or a SB for an
unsafe condition on a civil derivative Air System.
d.
Ensuring collaboration between the Design Organisation and the Production
Organization as necessary to achieve the type airworthiness of the product, part or
appliance.
11. Should the MTCH post change, for example as a result of responsibility for the airworthiness
of the Type transferring to another Project Team, then the prospective new Holder would need to
apply to the MAA (using Procedure 4.1 at the Annex) with sufficient evidence to demonstrate that
they are capable of holding the MTC. The application should also be endorsed by the existing
MTCH and the relevant DE&S Operating Centre Director(s).
Restricted MTCs
12. A Restricted MTC (RMTC) will be issued where the regulatory requirements have not been
fully satisfied but the MAA has deemed that, subject to any caveats, there is no significant
reduction in airworthiness. Examples of occasions when a RMTC might be issued include:
a.
The Type Design or its supporting Aircraft Document Set (ADS) is incomplete 9 and
requires additional validation gained from early in-service experience and/or on-going Test &
Evaluation.
b.
Shortcomings in certification evidence were identified during the review of the TCE and
RTSR that result in actions being placed on the MTCH.
c.
The Air System not being ready to be placed Under Ministry Control (as defined in
RA5301(1) 10) at initial RTS. In this circumstance the MAA would expect to understand from
the MTCH how they would intend to maintain oversight of the Air System configuration such
that changes to the design, including the need to update the ADS whilst Under Contractor
Control, would not increase equipment risk.
13. In cases where the MTCH will be required to present additional evidence to the MAA, a
validity period will be stipulated on the RMTC. Failure of the MTCH to satisfy the evidence
requirements within this period, or to provide appropriate justification for an extension to the validity
period (Procedure 1.4 at the Annex), will result in the instigation of Enforcement Action in
accordance with MAA01 that may, ultimately, lead to suspension or revocation of the RMTC
(Procedures 2.1 to 2.4 at the Annex). In cases where it is felt that the deficiencies in evidence
present a potential airworthiness issue that has not been addressed through controls or mitigations
proposed by the MTCH, one or more Operating Restriction(s) will be detailed on the RMTC. These
restrictions will be communicated to the RTSA (and Operating Duty Holder(ODH)) for inclusion in
their RTS.
Management of MTCs
14.
Issue of MTCs. MTCs will be issued in the following manner:
a.
MTCs will be issued in hard-copy to the MTCH. The MTC Management Procedures at
the Annex detail the actions to be taken (by the MTCH and MAA) for the initial and
subsequent revisions of a MTC.
9
For example, when released under an Interim Certificate of Design (CofD).
MRP RA 5301 – Control of Designs. 5301(1): Configuration Management of Design.
10
3
b.
Electronic copies of certificates will be issued to the MTCH in parallel with the hardcopy certificate; this is for information purposes pending delivery of the hard-copy certificate.
The hard-copy certificate is the master document and must always be surrendered to the
MAA before an up-issued certificate can be issued. This procedure ensures that only one
hard-copy of a MTC exists at any one time. Hard-copy MTCs will be embossed to establish
authenticity of the certificate.
c.
Replacement certificates may be issued following the loss/unintended destruction of a
MTC (Procedure 4.4 at the Annex); however, they will be clearly annotated as such.
15.
Changes to the MTC. Any changes to the MTC will be processed as follows:
a.
Any future changes in Type Design must be managed by the MTCH. Regardless of
the change, the principles relating to the change in Type Design of RA1500 (to be replaced
by RA5820) should be followed to ensure that an appropriate audit trail of airworthiness
evidence is maintained by the MTCH to support their Type Design. Where a Design
Organization has been granted privileges under Regulatory Instruction 2014/02 11 (to be
superseded by RA5850 idc) to categorize and authorize Minor Changes in Type Design, then
the MTCH should document the extent to which this privilege has been enacted and how
oversight is maintained to ensure that the scope of the privilege has not been exceeded.
Any changes classified as Major 12 must be subject to independent certification activity by the
MAA. It is incumbent on the MTCH to ensure the appropriate categorization of changes and
apply for MAA certification well in advance of Main Gate (or equivalent Business Case
Decision Point).
b.
Should there be a change to the Air System Coordinating Design Organisation listed on
the MTC then the MTCH will need to apply to change the MTC (Procedure 4.2 at the Annex).
The MTCH will need to provide evidence of the competence of the organization (eg
appropriate DAOS approval) and a declaration that all necessary contractual arrangements
are in place for them to adequately support the Military Type Design.
c.
It is recognised that there may be occasions where minor administrative changes are
required to the MTC. This could be because of spelling mistakes, a new name for a TAA’s
position or a change in the Design Organisation’s name (where there is no underlying
change to airworthiness structure of the organisation). In these instances, the MTCH should
apply for a minor administrative change to the MTC (Procedure 4.3 at the Annex).
d.
The MAA will record details of all changes to MTCs in the MTC Register. This will be
administered by the MTC Registrar (email: DSA-MAA-Cert PTC Group).
Enforcement action
16. MAA oversight of MTCH. Following military certification of an Air System, the MAA will
maintain oversight of a MTCH’s safety processes and their management of airworthiness issues.
This is achieved through audits and attendance at airworthiness meetings. Failure of the MTCH to
adequately manage a significant airworthiness issue will result in the instigation of Enforcement
Action in accordance with MAA01. This process commences with the issue of a Corrective Action
Requirement and, if the issue continues to remain unresolved, could lead to the suspension or
revocation of an MTC.
17. Suspension of MTCs. Suspension of a MTC, in part or in full, could occur as the result of
continued failure of the MTCH to meet their airworthiness responsibilities and where the MAA
judge the non-compliance to present a significant risk to Air Safety in accordance with MAA01. A
partial suspension applies to a particular element of a MTC. Typically it would be applied to a
11
RI/2014/02 Invoking specific privileges to MAA Approved Organizations.
In accordance with RA1500 Annex B (to be replaced by RA5820(4) enabling MAA consideration of the certification assurance activity
requirement associated with the proposed Major change on a case by case basis).
.
12
4
specific Mark/variant of the Type as detailed on the MTC, but could be applied more specifically to
a Major change that has resulted in an unsafe condition. A full suspension applies to all
Marks/variants of the Type as detailed on the MTC. A TAA may apply to have a suspension lifted.
They will need to demonstrate to the MAA, through the provision of necessary evidence, that the
conditions which led to the MTC suspension have been rectified. Procedures for full and partial
suspension of MTCs (Procedure 2.1 and 2.3), and their subsequent removal (Procedures 2.5 and
2.6), are provided at the Annex.
18. Revocation of MTCs. Revocation of a MTC, in part or in full, will occur for one of two
reasons:
a.
Following voluntary surrender by the MTCH (Procedures 3.1 and 3.2 at the Annex),
because either the Air System Type (or Mark/derivative) is no longer in service, or the MTCH
no longer feels that they are able to meet their responsibilities for managing the Type (or
Mark/derivative).
b.
As the result of continued failure of the MTCH to meet their airworthiness
responsibilities and where the MAA judge the non-compliance to present a high risk to Air
Safety in accordance with MAA01.
Similar to suspension, a MTC can be revoked in part or in full. Part revocation applies to a
particular element of a MTC. Typically it would be applied to a Mark/variant of the Type, but could
apply more specifically to a Major change that has resulted in an unsafe condition if feasible. A full
revocation applies to all Marks/variants as detailed on the MTC. Following revocation, a complete
re-certification of the Type or revoked element of MTC would need to be completed. When a MTC
has been revoked in full, re-certification would result in a new MTC being issued. Procedures for
full and partial revocation of MTCs (Procedure 2.2 and 2.4) are provided at the Annex.
19.
Implications of Suspension or Revocation on Military Flying
a.
The MTCH and applicable ODH(s) and RTSA(s) will be kept informed throughout the
stages leading to the suspension or revocation of an MTC/RMTC. This correspondence will
inform all parties of the non-compliance, its assessed impact on Air Safety and the actions
necessary to avoid suspension or revocation. If suspension or revocation action is ultimately
taken, the MTCH will receive a Notification Letter and will be required to surrender their MTC
to the MAA. In parallel, the ODH and RTSA will be notified so that appropriate actions can
be taken.
b.
For a civil TC, revocation or suspension will invalidate all Certificates of Airworthiness
which, by law, requires all operators to cease flying. The implications for revocation or
suspension of a MTC, however, are not derived from law. MTC revocation or suspension
represents removal of MAA assurance, to the Secretary of State for Defence and Aviation
Duty Holder(s), that the MTC Holder is able to demonstrate continued Type Airworthiness of
the Air System13. Revocation or suspension of a MTC, therefore, provides a clear statement
to the Aviation Duty Holder that the MAA can no longer provide assurance that the Air
System Type Design (or Mark/variant for a partial suspension or revocation) is airworthy.
Queries
20. Any queries or requests for further guidance on the content of this RN should be submitted in
the first instance to DSA-MAA-Cert-DepHd via [email protected]
MAA Director (Technical)
13
Whether as a result of technical issues that cannot be resolved or a failure of their type airworthiness management processes.
5
Annex:
A.
MTC Management Procedures.
6
Annex A to
MAA/RN/2016/03
Dated 7 Apr 16
MTC MANAGEMENT PROCEDURES
Category
Certification
Enforcement Actions
Voluntary surrender
General
No.
Title
Output
1.1
Initial Certification of Type Design
Initial issue of MTC/RMTC
1.2
Major Change to Type Design
Up-issued MTC/RMTC
1.3
Removal of restriction
Up-issued MTC/RMTC
1.4
Extension of validity
Up-issued RMTC
2.1
Partial suspension
Up-issued MTC/RMTC
2.2
Partial revocation
Up-issued MTC/RMTC
2.3
Suspension
Suspended MTC/RMTC
2.4
Revocation
Revoked MTC/RMTC
2.5
Removal of partial suspension
Up-issued MTC/RMTC
2.6
Removal of full suspension
Re-issued MTC/RMTC
3.1
Partial surrender (removal of Mark)
Up-issued MTC/RMTC
3.2
Full surrender
Revoked MTC/RMTC
4.1
Transfer of MTCH
Up-issued MTC/RMTC
4.2
Change of Design Organization
Up-issued MTC/RMTC
4.3
Minor administrative changes
Re-issued MTC/RMTC
4.4
Issue of replacement
Re-issued MTC/RMTC
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A-5
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A-8
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