DRAFT CAAP 35-1(0) DRAFT CAAP 42M-1(0) Civil Aviation Advisory Publication September 2009 This publication is only advisory but it gives a CASA preferred method for complying with the Civil Aviation Regulations 1988. It is not the only method, but experience has shown that if you follow this method you will comply with the Civil Aviation Regulations. Always read this advice in conjunction with the appropriate regulations. Design approval of modifications and repairs The relevant regulations and other references • • • • • Contents 1. Acronyms, terms & definitions 2 2. Introduction 6 3. Technical data package 9 4. Approval of modification design 13 5. Foreign designs of modifications or repairs 22 6. Other approved modifications or repairs 23 7. Responsibility of holder of modification or repair approval 23 8. Installer’s responsibility 24 9. Noise certification 24 10. Payment of fees 25 Appendix A – Hints for data development 27 Appendix B – Key activities associated with the approval of a modification 29 Appendix C – Instructions for continued airworthiness 32 Regulation 35 of Civil Aviation Regulations (CAR) – Approval of design of modification or repair Regulation 36 of CAR – Approval of aircraft components for use as replacements Regulation 42U of CAR – Modifications and repairs Part 4C of CAR - Flight Manuals Part 21 of Civil Aviation Safety Regulations (CASR) – Certification and airworthiness requirements for aircraft and parts. This CAAP will be of interest to • • • • Applicants seeking design approvals for modification or repair of aeronautical products Holders of design approvals for modification or repair of aeronautical products Approved design organisations Approved maintenance organisations Why this CAAP was written This CAAP gives information and guidance to applicants on development, format and content of a design of modification or repair of an aeronautical product and seeking approval of it from the Civil Aviation Safety Authority. Status of this CAAP This is the first CAAP to be written on this subject. For further information Contact the CASA office closest to you on 131757. DRAFT only: September 2009 2 1. Acronyms, terms & definitions CAAP 35-1(0): Design approval of modifications and repairs 1.1 Acronyms AFMS APMA ATSO CAR CAAP CASA CASR EASA ICA IoA MCTOW NAA STC TC 1.2 Aircraft flight manual supplement Australian Parts Manufacturing Approval Australian Technical Standard Order Civil Aviation Regulations 1988 Civil Aviation Advisory Publication Civil Aviation Safety Authority Civil Aviation Safety Regulations 1998 European Aviation Safety Agency instructions for continued airworthiness Instrument of Appointment maximum certificated take-off weight national aviation authority supplemental type certificate type certificate Terms and Definitions For the purpose of this CAAP the following definitions apply: Aeronautical product. Means an aircraft, aircraft engine, aircraft propeller, appliance or their parts. Airworthiness standards. The detailed and comprehensive design and safety criteria applicable to the category of the aeronautical product that is acceptable to CASA. These design standards are detailed in nature and cover aspects such as, but not limited to; flight performance and characteristics, structural strengths and durability, general design and construction, powerplant and systems, aircraft and systems architecture, equipment specifications, overall function and reliability criteria, tests and inspections methods, and operating limitations and information. Airworthiness standards for the class of aircraft, aircraft engine and propeller are detailed in CASR Parts 22 to 35. Airworthiness requirement. The collective requirement that consists of, but not limited to, the approval or acceptance of the type design to an airworthiness standard (see definition), conformity to production or manufacturing standards, performance of inspection, maintenance, repair and modification in accordance with standards that ensure the continuing airworthiness of the aircraft. Airworthiness requirements for aeronautical products are set out in CASR Part 21. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 3 Approved design organisation means a design organisation approved under regulation 30 of CAR. Only those design organisations that have the privilege to issue a statement of compliance listed on their certificate of approval can issue CASA Form 979. Certification plan - A document that clearly identifies: • the means and methods by which an aeronautical product will be shown to comply with the applicable airworthiness requirements, where the airworthiness standards and requirements are typically identified in a compliance record document; Note: This component of a certification plan is also known as the ‘compliance plan’. • • • • the agreed level of delegation or authorisation granted to the applicant for each applicable requirement; the agreed level of involvement of certification team members (CASA specialists and authorised persons) for each applicable requirement; communication plan, describing communication and coordination responsibilities between applicant, CASA, design organisation and suppliers, as applicable; and project schedule, including major milestones and deliverables. Conformity means examination of an aeronautical product against the relevant design, test and quality system data. Certification basis. The applicable airworthiness standards accepted by the NAA as the basis by which the type design of an aeronautical product, or change to that type design, was approved or accepted. The certification basis may also include Special Conditions of Airworthiness, Findings of Equivalent Level of Safety, and/or Exemptions when determined by the NAA to apply to the type design. Compliance summary. A compliance summary specifies the airworthiness requirements that are applicable to the design and how compliance with those requirements was shown. It is used to ensure, systematically and comprehensively, that a design complies with all applicable airworthiness requirements. A compliance summary is also called a compliance check list. DRAFT only: September 2009 4 CAAP 35-1(0): Design approval of modifications and repairs Finding of Equivalent Level of Safety. A finding where literal compliance with a specific airworthiness requirement can not be demonstrated but compensating factors exist in the type design that can be shown to provide a level of safety equivalent to that intended by the specific item of the applicable airworthiness standard. Only CASA can make a finding of an equivalent level of safety. Flight manual for an aircraft is any manual or other document (not being a placard) that must, under the relevant airworthiness standards for the aircraft, be provided with the aircraft and contain the following information and instructions about the aircraft: • the limitations within which, under the relevant airworthiness standards, it is considered airworthy; and • any other information, and any instructions, necessary for its safe operation. Instructions for continued airworthiness. A set of descriptive data, maintenance planning and accomplishment instructions, developed by a design approval holder in accordance with the certification basis for the product, providing operators with the necessary information for development of their own maintenance program and accomplishment instructions. Level of authorisation means the specific authorisation granted to an authorised person, who has the appropriate scope of authorisation to make a finding of compliance with a specific requirement (or set of requirements) and to approve the associated data. Level of involvement means the specific involvement that CASA specialists or authorised persons will have when making a finding of compliance with a specific requirement (or set of requirements) and approving the associated data. Modification. A modification to an aeronautical product means a change to the design of that product which is not a repair. Repair means elimination of damage or wear/tear by replacement of parts or restoration to an airworthy condition of an aeronautical product through an approved design change. Elimination of damage or wear/tear by replacement of parts without the necessity for design activity is considered as a maintenance task and therefore requires no approval under regulation 35 of CAR. Registered operator – According to the transitional provisions for CASR Part 47 (see CASR 202.222): DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs • • 5 A reference in CAR to the holder of a certificate of registration of an aircraft is taken to be a reference to the registered operator of the aircraft. A duty imposed on the holder of a certificate of registration of an aircraft is taken to be imposed on the registered operator of the aircraft. Special Conditions of Airworthiness. The technical requirements added to the certification basis because of novel or unusual design feature(s) that exists in a type design and the absence or inadequacy of the applicable airworthiness standards to provide a basis for the certification of such features. Supplemental type certificate (STC). A stand-alone approval that allows changes to a type certificated product. An STC is taken to consist of: (a) the type certificate or type acceptance certificate previously issued for the aircraft, aircraft engine or propeller; and (b) each change in the type design of the aircraft, aircraft engine or propeller described or identified in the STC. Technical data for the design of a modification or repair to an aeronautical product, means data that describes the design, such as: • the drawings and specifications necessary to define its configuration and design features, and a list of those drawings and specifications; • information on dimensions, materials, and processes necessary for making it; • the airworthiness limitations section of the instructions for continued airworthiness for it; • the operating limitations and other information necessary for its safe operation; and • any other data necessary to determine its airworthiness. Technical data also includes engineering reports, including test plans and reports, used to establish that the design complies with the applicable airworthiness standards. Technical data is also called design data. Type certificate. A document issued by CASA to define the design of an aircraft type and to certify that the design meets the appropriate airworthiness requirements. Type certificate data sheet. A document that forms part of the type certificate providing the technical details of the aircraft. Type design. The set of data that defines a certificated aeronautical product in terms of its engineering design, strength, DRAFT only: September 2009 6 CAAP 35-1(0): Design approval of modifications and repairs manufacture, functions, characteristics, operations, and limitations. It usually consists of: • the drawings and specifications, and a listing of those drawings and specifications, that define the configuration and design features of an aeronautical product; • the information on dimensions, materials, and manufacturing processes used in the manufacture and assembly of the aeronautical product; • any airworthiness limitations resulting from compliance with the applicable airworthiness standards, or as otherwise required by the State of Design; and • Any other data necessary for the definition of the aeronautical product. Type design is the basic design of a certificated aeronautical product. 2. Introduction 2.1 All civil certificated aeronautical products are certificated against a comprehensive set of airworthiness standards. These standards take into account many parameters, such as the structural strength, performance and flight characteristics, powerplant and systems equipment operation, environmental characteristics and other qualities affecting airworthiness, including the weight and centre of gravity limitations that can be dictated by any one of these parameters. Any design changes to the approved type design, or modifications to an individual aeronautical product, whether they be in form of repair, installation of additional equipment, substitution of a part or appliance, removal of already installed equipment require retest or engineering analysis to measure the effect and reverify reliable operation of that product. 2.2 While in service most aircraft, aircraft engines or propellers have to be modified. These design changes or modifications, may result from a variety of reasons, such as, repairs, improved equipment, increase safety requirements, different aircraft utilisation or for operators’ commercial considerations. Incorporating a modification or repair to a certificated aeronautical product will invalidate its conformity to the type design, until such time that the modification is approved and recorded as part of an approved design for that specific product. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 7 2.3 Civil Aviation Regulations recognise the need for design changes to aeronautical products and provide the regulatory requirements that must be met. CASR Part 21 and regulation 35 of CAR provide certification basis and procedures for approval of modified configurations of aeronautical products. 2.4 ways: a) b) c) d) Aeronautical products can be changed in a number of changes to type certificate (TC); supplemental type certificates; repairs; modifications and are discussed as follows: Changes to type certificate (2.4.a). These changes are proposed by the type certificate holder and affect the products at production line. Changes to an approved type design of a certificated aeronautical product are approved under Subpart 21.D of CASR. If the proposed change is a major change to the approved type design then it may result in a new model of the aircraft, aircraft engine or propeller. In these cases, the basic process of type certification is repeated. However, unchanged or unaffected items of the basic design are not retested. If a proposed change in design is so extensive that a substantially complete investigation of compliance with the applicable airworthiness standards is required, then application for an amended type certificate is required under Subpart 21.B of CASR. A design change at this level is generally viewed as having a technical scope and nature that the affected product, when modified, can be regarded as essentially a new product, i.e., there are differences in major design and/or production elements. Supplemental type certificates (STC) (2.4.b). An STC is one form of approval of the design of a major change to a type certificated aircraft, aircraft engine or propeller. An STC is supplementary to the original TC. It does not change the previously issued TC. An STC consists of the approval of a change in the type design of the product and the TC previously issued for the product. For design changes that are not significant enough to require a change to the TC an STC may be required. STCs can be proposed by anyone and would normally include those proposals that are unusual in nature, require special installation conditions, or form a kit to be sold for incorporation into a type certificated product. For further information see AC 21.15 Supplemental Type Certificates. DRAFT only: September 2009 8 CAAP 35-1(0): Design approval of modifications and repairs Repairs (2.4.c). Repairs to an aeronautical product are design changes intended to restore it to an airworthy condition after it has been damaged or subject to wear. Where a repair is intended to correct damage to an aeronautical product, the design is generally unique to the specific damage. Repairs are to be treated the same as modifications and must comply with the design approval and embodiment requirements of the regulations. A repair to an Australian Technical Standard Order (ATSO) or Australian Parts Manufacturing Approval (APMA) article is treated as a change to the ATSO or APMA design and must be processed in accordance with CASR Part 21. Modifications (2.4.d). Modifications are design changes that are not changes to the type certificate nor supplemental type certificates. Like repairs, modifications are normally individual changes applicable to a specific in-service aircraft, aircraft engine, propeller, appliance or part thereof. Although under specific conditions a series of aeronautical products may be modified in accordance with one modification package. If anyone else wishes to make the same change on another product not covered by the design approval of the modification, it will be necessary for them to make application to CASA or an authorised person. Alternatively, approval for an STC may be sought. Replacement of a part of an aeronautical product with another non-eligible or unapproved part constitutes modification of that aeronautical product and must comply with the design approval and embodiment requirements of the regulations. While an approval of a part for use as replacement is granted under regulation 36 of CAR, the technical requirements for approval are identical to that of design approvals issued under regulation 35 of CAR. According to the maintenance regulations, all modifications, major or minor, to Australian registered aircraft must be approved. 2.5 This CAAP provides guidance on the process of applying for approval of design of a modification or repair. 2.6 While regulation 42U of CAR requires that the design of the modification or repair must be approved under regulation 35 of CAR, according to the general exemption issued by CASA, limited category or experimental aircraft are exempt from this requirement. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 9 However, if the modification or repair that is a major modification or major repair to the aircraft (for the definition of major change see CASR 21.093), the registered operator for the aircraft must inform, as soon as possible, CASA or an authorised person for the purpose of CASR 21.176, in writing about the design change. If the modification or repair invalidates the certificate of airworthiness of the aircraft, the registered operator may operate the aircraft only if a new certificate of airworthiness has been issued for the aircraft. Note: Repairs are treated the same as modifications and must comply with the design approval and embodiment requirements of the regulations. To improve readability of this CAAP the words ‘modification or repair’ have been replaced with ‘modification’. 2.7 Often design of temporary modifications for ferry flight installations can not fully meet the relevant design standards. To overcome this problem, CASA has issued an exemption allowing CAR 35 authorised persons to approve design of temporary modifications that do not fully meet the relevant design standards for an operation under the special flight permit provisions in paragraph 21.197(1)(a) and (b) and subregulation 21.197(2) of the CASR. For further information on special flight permits refer to AC 21.09 Special Flight Permits. 3. Technical data package 3.1 General 3.1.1 The modification design data package consists of; a) descriptive data; b) compliance or substantiation data; c) other data, such as, manufacturing data, maintenance data or information on weight and balance etc. 3.1.2 Appendix A lists certain aspects that should be considered while developing the data and features included to minimise any potential problems. 3.2 Development of Technical Data DRAFT only: September 2009 10 CAAP 35-1(0): Design approval of modifications and repairs 3.2.1 Descriptive data Descriptive data defines the design of the modification. It also provides the details for the embodiment of the modification and, if necessary, instructions for the continued airworthiness. Descriptive data should be sufficient for the manufacture of parts and the embodiment of the modification. If the modification is limited to a single installation a reduction in descriptive data may be acceptable. Descriptive data should include, where applicable: • the use and application of the design; • the purpose of the design; • maintenance, operating, and performance data including any limitations for the use of the design; • installation properties including any factors that affect the interaction of the design with other equipment; • • references to standards and specifications used during the development of the design; drawings, diagrams, and other physical descriptions of the design, including: o special processes and their required outcomes, including: − heat treatments; − surface finishes; − weld quality; all dimensions including undercuts, fillet radii, fits and tolerances; o wiring diagrams; o an equipment list that details the parts, including those sourced complete from other places, that make up the completed item by part number, location, and method of attachment; a summary of particular manufacturing considerations, including: o pressures; o temperatures; o environments; a reference to the applicable airworthiness requirements; and a list that details the substantiating data for ease of reference. o • • • DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 11 3.2.2 Substantiating data This data substantiates that the design meets the applicable airworthiness requirements. Substantiating data should include, but not necessarily be limited to, where applicable: • load analyses; • failure analyses; • the requirement and suitability of any special processes chosen; • installation considerations; • methodology and results of test as to the interaction and compatibility between existing units and the new items; • for an avionics design: o an electrical load analysis; o a failure analysis ensuring that essential equipment are sufficiently independent to prevent complete system failure; the layout and ergonomics of applicable units, in particular instruments; performance confirmation; testing and inspection results; crashworthiness assessments; lightning protection. o • • • • 3.2.3 Other technical data Other data in the modification package should include, but not be limited to, where applicable: a) inspections and tests; b) weight and balance; c) manufacturing data; d) installation data; e) instructions for continued airworthiness; f) any required document amendments including flight manuals, normal procedures, and emergency procedures and are discussed as follows: Inspections and tests (3.2.3.a) To ensure that the modification embodied performs correctly, inspections and tests are required. These inspections and tests should be detailed in the data and should include procedures for the confirmation that: DRAFT only: September 2009 12 CAAP 35-1(0): Design approval of modifications and repairs • • • the modified item complies with the applicable airworthiness requirements; the materials used conform to the applicable specifications; and all components of the modification conform to the drawings in the applicable design. Weight and balance (3.2.3.b) When assessing the proposed modification, the cumulative effect of previous modifications in the areas related to the current proposal should be considered. For example, previous relevant aircraft modifications may address incremental increases in weight or centre of gravity that, while individually negligible, can, through a series of modifications, achieve a significant product level change. Unless the modification results in a negligible weight change the weights and moment arms should be calculated and detailed in the description of the change. Alternatively a complete reweigh of the aircraft can be carried out after embodiment of the modification. Manufacturing data (3.2.3.c) The manufacturing details should ensure that the modification or change can be produced within the design limits. Considerations should include the application of special processes, particular pressures, temperatures and environments, and the repeatability of production standards if appropriate. Manufacturing processes used to manufacture a developmental or certification prototype may not be suitable to manufacture the approved product from an airworthiness or economic standpoint. Installation data (3.2.3.d) For designs that progress to embodiment there should be some installation data supplied to assist the person carrying out the work. Although installation data is not required in all cases, design packages should include considerations for maintenance actions pre- and post-installation, performance testing when installed, and subsequent operation instructions. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 13 Instructions for continued airworthiness (3.2.3.e) Instructions for continued airworthiness (ICAs) provide guidance to the operator about actions necessary to maintain the airworthiness of the modified aeronautical product. The ICAs provide recommended frequencies for maintenance activities and specific criteria and intervals for inspection. These instructions also provide information on equipment interfaces and methods for testing and troubleshooting. ICAs provide the maintenance support information necessary to ensure the condition of the aeronautical product and the modification remains safe throughout their lifetime. ICAs are required to be acceptable to CASA. If a modification is required to have an Airworthiness Limitation Section within an ICA, that section must be CASA-approved. Amendments (3.2.3.f) An amendment to documents and manuals is an important aspect of a complete design package. Maintenance manuals, illustrated parts catalogues, aircraft wiring manual, and flight manuals (or other approved aircraft specifications) are documents that may require amendment as a result of a modification being incorporated. A design package may provide supplements to these types of manuals that would subsequently be provided to the buyer of the modification. Aircraft flight manual or aircraft specification supplements can be approved as part of the modification. 4. Approval of modification design 4.1 General 4.1.1 The main objective of the design approval process is to determine the overall compliance of a proposed modification with the applicable airworthiness standards, such that the affected aeronautical product, when modified, will continue to have a valid and approved type design. 4.1.2 There are five key activities associated with the approval of a modification, namely: • establishing a certification basis; • establishing the means or methods of compliance; DRAFT only: September 2009 14 CAAP 35-1(0): Design approval of modifications and repairs • demonstration of compliance; • finding of compliance; • approving the modification and are discussed at Appendix B. 4.1.3 The applicant or applicant’s representative completes the in-house product development and obtains, organises, and submits the technical data for the design to CASA or an authorised person for review and approval. Each section of the technical data package should be clearly identified with references to the applicable airworthiness requirements evident. 4.1.4 CASA does not question the source or the method by which an applicant for a design approval obtains the technical data. An applicant showing compliance to the applicable requirements may obtain certification credit for previously approved technical data without showing further compliance if the applicant: • provides sufficient evidence that the presented data were, in fact, approved by CASA. The applicant does not need to submit the data if they were obtained with the consent of the original approval holder; • establishes that the previously approved data are applicable to the applicant’s design to the extent that any design deviations will have no effect on the design’s airworthiness or on showing compliance with the applicable regulations; • provides sufficient substantiation and descriptive data of its own modification so that CASA can make a finding of compliance; • has sufficient engineering data necessary to provide continued airworthiness information should the modification be the subject of a service difficulty report or an airworthiness directive; and • has sufficient descriptive data to produce detail parts and installations if multiple modification approval is requested. 4.2 Options for seeking approval for a modification 4.2.1 Following are three possible options for the approval of modification design data: • Development of the modification by an approved design organisation (see definition), a statement of compliance issued by that design organisation, and subsequent design approval by CASA or an authorised person; DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs • • 4.3 15 Development of the modification by the originator, a statement of compliance issued by an approved design organisation, and subsequent design approval by CASA or an authorised person; Development of the modification by the originator and a statement of compliance issued during the design approval by CASA or an authorised person. Application for design approval 4.3.1 Any person may apply to CASA for approval of a modification design. However, if the applicant does not have training, qualification or experience for this class of work then the applicant is strongly advised to engage the services of a person or design organisation experienced and approved for this type of certification activity. Information on such organisations and persons can be obtained from the CASA office closest to the applicant or the CASA website. The design organisation or person selected by the applicant will act as the airworthiness design coordinator for the project. CASA communications concerning the project will be addressed to the applicant, and copied to the coordinating design organisation or person. All technical communication addressed to CASA should be routed via the coordinating design organisation or person. 4.3.2 An application for a modification design approval should contain the following information: • name and contact details of the applicant; • make, model and serial number(s) of the aircraft, aircraft engine or propeller or appliance to be modified; and if applicable the aircraft’s registration mark(s); • title and description of the modification; • proposed applicable design standards for the approval of the modification and an outline of the means for demonstrating compliance with the proposed standards; and • documentation provided or to be provided. The following documents are required for a modification approval when applicable to the design: o compliance summary; o master drawings and/or master drawing list; o engineering reports, such as structural analysis, fault analysis, electrical load analysis; o ground and flight test reports; o production drawings and installation instructions; DRAFT only: September 2009 16 CAAP 35-1(0): Design approval of modifications and repairs o o o o maintenance and repair manual supplements or equivalent; weight and balance data or report; instructions for continued airworthiness; aircraft flight manual supplement. 4.3.3 In addition to the documents specified above, an applicant for a complex project should submit to CASA a proposed certification plan. A certification plan should include the following information: • Project description, including identification of the applicant and product involved; • Certification basis, including applicable airworthiness standards, exemptions, special conditions and determinations for equivalent level of safety, as applicable; • A detailed explanation of the means and methods that will be used to demonstrate compliance and documentation to be provided; • Project schedule, including major milestones and deliverables; • Proposed use of design organisation, including identification of authorised person(s) and limitations on authorisations; and • Communication and coordination between applicant, CASA, design organisation and suppliers. 4.3.4 The certification plan is a living document, continuously amended during the certification program. The certification plan is agreed by the applicant and CASA, and cannot be changed except with acceptable notice and mutual agreement. 4.3.5 CASA’s response to the application will include the following: • The certification basis for the proposed modification, including applicable airworthiness standards, exemptions, special conditions and determinations for equivalent level of safety; • Instructions or remarks as to acceptable means of showing compliance with specific aspects of the design standard; and • Identification of any aspects of the process that CASA wishes to witness or inspect. 4.3.6 Either the applicant or CASA may call for a project initiation meeting to establish the design standard and procedures DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 17 to be used for showing compliance to minimise risk of doubt or misunderstanding between CASA and the applicant. 4.3.7 If CASA considers the proposed design of a modification or repair constitutes a major change to the type design, CASA may require the applicant to apply for an STC approval under Subpart 21.E. 4.4 Design approval process 4.4.1 Draft compliance plan The applicant should prepare a draft compliance plan. The draft compliance plan needs to indicate the proposed means of showing compliance with all applicable airworthiness standards. Note: For systems that contain software or complex electronic hardware the plan for software or hardware aspects of the certification should be submitted at this stage (RTCA/DO178B or later amendment or RTCA/DO-254 refers). CASA will respond to the draft compliance plan, followed by any amendment and agreement by both CASA and the applicant. This, or the certification plan derived from the project initiation meeting, constitutes an agreed plan of action and is the principal guidance plan for the entire exercise. Note: As the project progresses, the draft compliance plan or the certification plan derived from the project initiation meeting, will need to be continually revised. An ongoing dialogue with CASA should be conducted during the life of the project. 4.4.2 Evaluation of technical data The applicant should submit the complete technical data in a logical format. A complete, well structured and accurate data package also assists in an efficient progress of the design approval process to the benefit of the applicant. Where drawings and data describing the modification has already been approved by CASA or an authorised person, in relation to a modification already approved under the regulations, CASA will not investigate or re-evaluate the data. Note: It may facilitate the prompt processing of the package if more than one copy of certain areas of the package is DRAFT only: September 2009 18 CAAP 35-1(0): Design approval of modifications and repairs provided. Advice should be sought from CASA as to which parts of the package may be processed more rapidly by the supply of duplicate copies. Normally, CASA will accept the finding of compliance made by an appropriately authorised person in accordance with the agreed certification plan. CASA’s level of involvement in the project to find compliance with the airworthiness requirements will be reduced to the minimum necessary depending on the experience and knowledge that CASA has of the person(s) who approved the data. Data submitted by an authorised person who has approval privileges specified in his or her IoA, and/or as detailed under the agreed certification plan, should be marked as approved prior to submission. The data must be accompanied by a statement of compliance with the applicable design standards (CASA Form 979). For technical data submitted by a person whose IoA has only recommendation privileges (i.e. not having approval privileges) or an approved design organisation, the data should be accompanied by a statement of compliance with the applicable design standards marked as “recommended”. When CASA is satisfied that compliance has been shown, CASA will either approve the data or authorise the person, in writing, to approve the data. Data not acceptable will be returned to the applicant with a summary of the deficiencies, and a request for revision and resubmission. It should be noted that CASA is not responsible for the development of methods or the accuracy of calculations. The applicant is thus strongly recommended to engage the services of appropriate authorised person(s) for the range of activities, or a suitable organisation holding a certificate of approval for design under regulation 30 of CAR. At the completion of the design approval process, the CASA project manager will suitably annotate the top level drawing list and document list as the lists of technical data accepted or assessed by CASA as showing compliance with the applicable airworthiness standards. 4.4.3 Test plans The applicant must prepare a test plan for approval by CASA when testing is necessary to show compliance with the applicable airworthiness requirements, unless agreed otherwise in the certification plan. The test plan must be prepared as early in the approval process as possible, but as a minimum prior to the start of each test. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 19 The test plan must at least contain the following items: • Specific airworthiness requirement to be addressed; • Description and configuration of the item(s) to be tested; • List and description of all test equipment and facilities necessary to conduct the test; • Description of how the equipment will be calibrated prior to the test; • Description of how the results of the testing will show compliance; • Loads to be applied and any load cycling requirements; and • A test procedure written in a step-by-step format and sequence, including the recording of test results. A test is not to proceed until the test plan has been approved by CASA and satisfactory conformity inspections of the test article and test set-up in accordance with the relevant technical data and the test plan have been completed. The conformity of the test article and test set-up must be established per paragraph 4.4.4 (conformity inspections). The applicant is to provide knowledgeable personnel capable of performing and recording the results of the test. The applicant must prepare a test report detailing the results for each test and an explanation of the calculations necessary to evaluate the data. The report must include conclusions and be presented to CASA for approval. 4.4.4 Conformity inspections Conformity inspections are required to ensure that the product being tested conforms to the approved drawings and specifications and test plans. Before each test is undertaken the applicant must have determined that: • For the test article: o that materials and processes conform to the specifications for the design; o that parts of the product conform to the drawings for the design; and o that the manufacturing processes, construction and assembly conform to those specified in the design; DRAFT only: September 2009 20 CAAP 35-1(0): Design approval of modifications and repairs • that the test equipment and all measuring equipment used for tests are appropriately calibrated and conform to the test plan. The calibration certificate must be traceable to the national standard. For a test performed or witnessed by CASA, the applicant is to complete and submit to CASA a statement of conformity and to request conformity inspections by CASA. Note: Because of the complex nature of the conformity process and the necessity for parts conformity inspections early in the design approval process, CASA should be consulted early in the program. This will ensure that necessary inspections are requested and scheduled at appropriate times. Note: In certain circumstances CASA may designate a person with appropriate qualifications and experience to carry out conformity inspection on CASA’s behalf. Parts procured from vendors that undergo qualification testing will require conformity inspection by CASA prior to testing. To avoid delays, it is imperative that the applicant identify the parts that will be procured by vendors and present this information to CASA early in the program. 4.4.5 Submission of test reports The applicant should submit to CASA all test reports and substantiating data (e.g. test equipment calibration reports) for all certification testing, as well as any further data necessary to demonstrate compliance with the applicable airworthiness standards. Any required weighing needs to be accomplished. If required, suitable loading schemes need to be determined for any required flight testing. 4.4.6 Conduct of the flight testing The flight test schedule is to be submitted to CASA for evaluation and approval, where required. The applicant must apply for an experimental certificate for the purpose of showing compliance with the regulations to cover the intended flight testing. For further information refer to AC 21.10 Experimental Certificates. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 21 4.4.7 Compliance summary The compliance summary (see the definition) must list the following information for each applicable airworthiness requirement: • Section/paragraph number of the requirement. e.g. FAR section 25.1303; • Subject or title of the requirement, including the detailed requirements. If the requirement is not applicable to the design then the detail of the requirement need not be provided; • Mean of compliance, e.g. calculations/analysis, ground test, flight-test, inspection, drawing review, process specification, etc; • Documentation, e.g. the report number that demonstrated compliance to the subject requirement. 4.4.8 Aircraft flight manual supplement The applicant should submit any proposed flight manual supplement to CASA for assessment and approval. 4.4.9 Submission of final data The applicant should compile a consolidated data set including a final version of the compliance statement and submit to CASA, the required engineering substantiation package for the modification, for review and to enable CASA to issue the design approval once satisfied. The applicant should also submit to CASA any required revised instructions for continued airworthiness. See appendix C. 4.4.10 Issue of the design approval CASA will review all the submitted data, and if applicable the AFMS and ICAs and will issue the design approval to the applicant if: • the areas of the type design affected by the modification meet all the relevant airworthiness standards specified in the certification basis, including Special Conditions of airworthiness issued by CASA; • all engineering inspections have been completed and the modified product has been found to meet all applicable airworthiness requirements; DRAFT only: September 2009 22 CAAP 35-1(0): Design approval of modifications and repairs • • • in the case of aircraft, the modified aircraft has been test flown, as required, and found to comply with all the performance requirements of the applicable airworthiness standards; there is no feature or characteristic of the changed product that makes it unsafe for the intended use if it is operated in accordance with the correctly amended flight manual or other specified limitations; and the cost recovery procedures (see Section 10) have been complied with. The design approval document will list the following: • name of the design approval holder; • make, model and serial number(s) of each aircraft, aircraft engine or propeller or appliance covered by the approval; • title and description of the modification and when it comes into effect; • certification basis listing the specific airworthiness standards for which compliance were shown; • conditions or limitations for the safe operation and continued airworthiness of the aircraft, if any; and • any other relevant information, such as installation and/or maintenance instructions, etc. An approval granted by CASA for the design of a modification remains valid until otherwise specified or notified by CASA. 5. Foreign designs of modification or repair 5.1 A design of modification or repair is taken to have been approved by CASA for the purpose of the regulations, if the design is: • approved by the NAA of a recognised country, (for information regarding recognised countries, refer to CASR 21.012); • in the case of an aircraft, aircraft engine or propeller designed in a recognised country - published by the foreign type certificate holder of the aircraft, aircraft engine or propeller in service documents or issued in the form of technical advice to operators under a system approved by the NAA of the country in which the aeronautical product was designed; DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs • • 23 in the case of an appliance designed in a recognised country - published or issued by the manufacturer of the appliance under a system approved by the NAA of the country in which the or appliance was designed; accepted by CASA under a technical agreement (however described) between CASA and the NAA of a Contracting State regarding modification or repair design approvals. Note: Any reference in this CAAP to the NAA of a recognised country also includes EASA. 5.2 Manufacturers’ letters to operators stating the manufacturer has no “technical objection” to the operator’s request do not constitute automatic approval, unless the document is approved by an appropriate delegate of the TC holder or the manufacturer authorised by the NAA. For example, FAA authorises TC holders or manufacturers under 14 CFR Part 21 Subpart J to approve technical data. 6. Other approved modifications or repairs 6.1 A design for a modification or repair to an aircraft, aircraft engine, propeller or appliance is taken to have been approved by CASA, if the design is contained in a direction issued by CASA or an applicable airworthiness directive. 7. Responsibility of holder of modification or repair approval 7.1 The holder of a modification or repair approval, not the owner/registered operator or CASA or the authorised person who approved the design, remains responsible for the continued integrity of the modification or repair to approved type design. The holder of a modification or repair should report to CASA of any failure, malfunction, or defect related to the modification or repair that has resulted, or could result, in an occurrence. For further information on reportable occurrences refer to CASR 21.003(4). This information is used to determine if an unsafe or potentially unsafe condition exists. DRAFT only: September 2009 24 CAAP 35-1(0): Design approval of modifications and repairs 7.2 The holder of a modification or repair approval or it’s representative must continue to be the CASA’s contact point for resolving issues that may require corrective action. To fulfil this responsibility, the holder should have the continued capability, or access to a capability, of providing appropriate technical solutions for service difficulties when service experience warrants it, or when the CASA requires mandatory corrective action. 7.3 If the approval is transferred to another person by a written agreement, the new holder assumes the responsibilities for the modification or repair described herein. 8. Installer’s responsibilities 8.1 It is the responsibility of the installer, not the registered operator, to ensure that the modification or repair is approved and can be installed in accordance with the supplied instructions. Holders of modification or repair approvals should provide their clients or customers with a copy of the approval document. The installer must take into consideration that the particular aircraft may have other modifications or repairs that impact upon the incorporation of the modification or repair. 8.2 If the modification or repair cannot be incorporated in accordance with the supplier’s instructions, or there is a compatibility problem with other modifications and repairs, then an assessment of the modification or repair or the aircraft or both by CASA or a CAR 35 IoA holder is required. The basis for compliance with the airworthiness requirements is not always obvious and it cannot be assumed that a small change is trivial. 9. Noise certification 9.1 Noise certification for individual aircraft is required in Australia before the aircraft can legally operate in Australian territory. If the modification would affect the existing noise certification, then noise certification will be required. The following paragraphs are only relevant if noise certification is required. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 25 9.2 Aircraft noise is regulated through the Air Navigation (Aircraft Noise) Regulations 1984, introduced under the Air Navigation Act 1920. Noise certification, or lack of such certification, has no legal impact on the design change approval. However, if an individual aircraft does not meet the Australian noise requirements, then it is illegal for that aircraft to operate in Australian territory, even though the aircraft may have a valid certificate of airworthiness. 9.3 For further information regarding noise certification contact should be made with the Manager of Environment Monitoring, Airservices Australia, GPO Box 211, Mascot, NSW 1460. or visit the Airservices Australia website at: http://www.airservicesaustralia.com.au 10. Payment of fees 10.1 Approval of design of modification or repair attracts a fee. The total chargeable fee is based on the actual work hours involved in assessing the application at the hourly rate published in the Civil Aviation (Fees) Regulations. On receipt of an application for approval of design of modification or repair CASA will notify the applicant of an estimate of the fee for assessment of the application. CASA will not initiate the assessment process unless the applicant pays the estimated fee. 10.2 For major and complex modification projects, the applicant may negotiate an initial payment, and progressive payments, with CASA. 10.3 A reconciliation will be made just before the issue of the design approval. If an overestimate has been made, a refund will be paid to the applicant. If underestimated, a final payment from the applicant will be required. DRAFT only: September 2009 26 CAAP 35-1(0): Design approval of modifications and repairs Note 1: The time spent by CASA staff in providing initial advice to the applicant, setting the certification basis, and preparing cost estimates, will not be charged, but that the hourly flat rate for CASA staff in assessing data, checking compliance, witnessing approval tests and resolving problems, up to the point of completion of the program, must be charged. Any research by or training of CASA staff to progress the application will not be charged to the applicant. Note 2: Where an applicant engages a CAR 35 authorised person to assist with the approval of a modification, any fees involved are a matter between the applicant and the authorised person. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 27 Appendix A Hints for data development In developing the design data the following aspects should be considered and features included to minimise any potential problems. This list is not exhaustive and should be adapted for each project: • Structural requirements º • Hazards to the aircraft or its occupants º • Is the wire gauge correct for the expected current draw? Is the insulation type appropriate for the operating environment? Are the looms supported adequately? Are the layout and location of looms going to cause loom damage? Are the terminations suitable for the circuit? Electrical System º º º º • Have the particular airworthiness design standards been met, such as flammability, vibration, noise, and evacuation provisions? Wiring º º º º º • Does the modification fulfil the operating requirement intended and has the integration of any equipment or kits been tested to ensure there are no adverse affects? Detail design standards º • Is the equipment added, or any associated supporting features, likely to create a danger to the safety of the occupants or the aircraft itself? Operating aspects º • If the structure is reduced, added to, or otherwise changed will its integrity be impaired? Have tests for electromagnetic interference been considered (Victim/source est)? Have functional test for the new equipment been carried out (Does it work?)? Do individual items work on their own (Interdependence test)? Is there sufficient residual equipment following a failure (Failure condition)? Circuit protection º º Have suitable fuse or circuit breaker been specified and installed? Can each system be switched ON/OFF (Switches)? DRAFT only: September 2009 28 • CAAP 35-1(0): Design approval of modifications and repairs Pitot-static system º º º • Lightning protection º º • Have lightning zones been considered for antenna locations? Are loom layout and location suitable for lightning protection? Mounting of equipment º º º • Is there an adequate drainage for the pipes and water only collects at a lowest point (Correct drainage)? Are the layout and location of pipes going to cause pipe damage (Layout and position)? Have leak checks been specified and carried out? Are all new equipment visible and usable to the crew? Have security and structural strengths been considered? Are the new equipment maintainable? Generating System º Is there sufficient electrical generation capacity (Electrical load analysis)? DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 29 Appendix B Key activities associated with the approval of a modification There are five key activities associated with the approval of a modification, namely: a) b) c) d) e) Establishing a certification basis; Establishing the means or methods of compliance; Demonstration of compliance; Finding of compliance; Approving the modification. These are discussed as follows: Establishing a certification basis In the application for a modification design approval, the applicant proposes the applicable airworthiness standards to which they intend to demonstrate compliance. Depending on the nature of the modification, CASA may impose additional airworthiness or operational requirements. All these requirements are established collectively to become the certification basis for the modification. It should be noted that while the certification basis is established very early in the approval process, the final certification basis of a modified product may, in some cases, end up being different from that established initially. The difference(s) may come when CASA issues Special Conditions of airworthiness (SC), Findings of Equivalent Level of Safety (FES), or an Exemption. The need for the issuance of an SC, FES, or an Exemption as part of the certification basis is usually identified by the applicant to CASA at the beginning of the application process. However, this need may not be obvious at the beginning, and becomes evident only during the course of the actual approval activities. At the conclusion of the approval activities, CASA shall identify all SC, FES, Exemptions and other voluntary compliance that transpired during the approval period. These activities are recorded as part of the final certification basis. Establishing the means or methods of compliance Demonstration of compliance of the proposed modification with the established certification basis is the sole responsibility of the applicant. To manage this aspect during the modification design approval process, and before an applicant commits to any compliance action, it is necessary to agree on a compliance plan or certification plan with CASA that clearly identifies the types of action to be applied against each item of the certification basis. DRAFT only: September 2009 30 CAAP 35-1(0): Design approval of modifications and repairs The specific item of the certification basis usually dictates the means of compliance, and generally fall into one or any combination of the following: • Test – is performed when the requirement explicitly calls for a demonstration by test (physical, actual or simulation). Examples of test are flight test, ground test, fatigue test, simulation, fire or flammability test, environmental test (e.g. salt spray), functional test, bird strike test, and engine ingestion test. • Analysis – is performed when the requirement explicitly calls for a demonstration by analysis (qualitative, quantitative, or comparative), or when the applicant can demonstrate, based on previously accepted test results, the validity of using analysis in lieu of testing. Examples of analysis are failure modes and effects analysis, flight performance data reduction and expansion, structural loads analysis, and software evaluation. • Inspection or Evaluation – is performed against an item that does not require test or analysis, but relies on observation, judgment, verification, evaluation, or a statement of attestation from the applicant or its vendors/contractors. Demonstration of compliance The demonstration of compliance requires that the applicant submit substantiating data (design data, reports, analysis, drawings, processes, material specifications, operations limitations, flight manuals, instructions for continued airworthiness, etc). The data should be complete and in a logical format for review by CASA. Where the demonstration of compliance involves a test, a test plan should be developed and approved prior to any actual test being performed. Official certification tests are witnessed by CASA or by an authorised person, when authorised in the agreed compliance plan or certification plan. The applicant should give CASA or the authorised person access to the product being modified in order to make any inspections, test, and engineering assessment or conduct any flight or ground test that is necessary to determine compliance with the specific item of the certification basis. However, the applicant should perform his or her own inspection and test necessary to demonstrate compliance prior to presenting the modified product to CASA or the authorised person for testing or evaluation. If the applicant elects to comply with optional certification items or later amendments of the airworthiness standards for the purpose of obtaining credit in the certification basis, the demonstration of compliance for both cases is mandatory, and is not subject to any Exemption. Where a demonstration of compliance is to be made using a Finding of Equivalent Level of Safety, the applicant should provide sufficient justification to CASA that describe the design feature, action taken (i.e. compensating factor), and how such action provides an equivalent level of safety to that intended by the applicable airworthiness standard. Finding of Compliance Findings of compliance are made against airworthiness standards, including Special Conditions of airworthiness and request for equivalent level of safety. The finding of compliance can be made by CASA, or by the authorised person, depending on the pre-defined levels of involvement in the certification plan. Following a successful demonstration of compliance by the applicant on a certification item, CASA or the authorised person makes a finding of compliance and subsequently signs-off the item in the certification plan. The findings are usually accomplished through one or any combination of the following actions: DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs • • • • • 31 Acceptance of substantiating data. Reports, analysis, drawings, or similar documents are usually produced against each certification item and reviewed and accepted. Specific attention is paid to the methodology and assumptions, rather than the detailed calculations or analysis. Witnessing of Test. Demonstration of compliance tests are performed by the applicant and witnessed by CASA or an authorised person. These test should only be performed after the test plan has been agreed to by CASA and the test articles, test environment and test equipments have been conformed to the appropriate data. CASA or the authorised person does not take part in the actual performance of the non-flight test, and remain impartial and concentrated on the test objective. However, CASA or the authorised person may take part in conducting flight testing to verify a claim of compliance after the applicant has competed their flight testing program. Engineering inspection. Any aspect of the design, for which compliance with the certification item cannot be determined through review of drawings or reports, receives an engineering compliance inspection. An engineering compliance inspection is to assure that an installation, and its relationship to other installations on a product, complies with the design requirements. Conformity inspection. Where required, CASA or the appropriately qualified authorised person perform these inspections to verify conformity of the modified product with drawings, specifications, and special processes. An engineering inspection should not be confused with a conformity inspection. A conformity inspection is carried out to determine conformity to the engineering data. Whereas, an engineering inspection is carried out to determine compliance with the certification requirement. Flight Test. For aircraft, an actual demonstration of flight capabilities and characteristics in accordance with an approved flight test plan. Finding of compliance against a specific item of the airworthiness standard should be documented using CASA Form 979. Approving the modification The approval of the modification means that: • • • • the areas of the type design affected by the modification meet all the relevant requirements specified in the certification basis, including Special Conditions of airworthiness issued by CASA; all engineering and conformity inspections have been completed and the modified product has been found to meet all applicable requirements; in the case of aircraft, the modified aircraft has been test flown, as required, and found to comply with all the flight and performance requirements of the applicable airworthiness standards; there is no feature or characteristic of the changed product that makes it unsafe for the intended use if it is operated in accordance with the correctly amended flight manual or other specified limitations. DRAFT only: September 2009 32 CAAP 35-1(0): Design approval of modifications and repairs Appendix C Instructions for continued airworthiness (ICA) 1. Introduction 1.1 ICAs provide: • instructions for maintenance personnel to maintain and inspect the specific modifications performed on the aircraft; • recommended frequencies and intervals for inspection; • information on equipment interfaces and methods for testing and troubleshooting; and • maintenance support information necessary to ensure that the condition of the modification remains safe throughout its lifetime. 1.2 The attached checklist (see Attachment 1) may be used in developing ICAs. The checklist is a tool for both the applicant and the authorised person to use for review. However, it is recommended that the applicant should also refer to the ICA appendices in the applicable airworthiness standard, as each one may have a subtle difference that may require consideration. 1.3 ICAs are required to be CASA-accepted when they meet all of the elements of the applicable certification standards referenced “Appendix.” If a modification is required to have an Airworthiness Limitation Section within an ICA, that section must be CASA-approved. 1.4 ICAs must be in the form of a manual or manuals, as appropriate, for the quantity of data to be provided. As with other service documents, the ICA should indicate the number of effective pages and the revision level so maintenance personnel can determine whether the aircraft is being maintained in accordance with current information. 1.5 An ICA should be revised when experience with the product show the way that the product is maintained or inspected needs to be changed. DRAFT only: September 2009 CAAP 35-1(0): Design approval of modifications and repairs 33 Attachment 1 INSTRUCTIONS FOR CONTINUED AIRWORTHINESS (ICA) CHECKLIST A/C Make: __________ Model: ______________ S/N: ____________ Reg. Mark:VH- _______ Revision: __________ Date: ______________ System: ____________ Item Subject 1. Introduction: Briefly describes the aircraft, engine, propeller, or component that has been modified. Include any other information regarding the content, scope, purpose, arrangement, applicability, definitions, abbreviations, precautions, units of measurement, list of parts used, referenced publications, and distribution of the ICA, as applicable. Description: Of the modification and its functions, including an explanation of its interface with other systems, if any. Control, operation information: Or special procedures, if any. Servicing information: Such as types of fluids used, servicing points, and location of access panels, as appropriate. Maintenance instructions: Such as recommended inspection/maintenance periods in which each of the major modification components are inspected, cleaned, lubricated, adjusted, and tested, including applicable wear tolerances and work recommended at each scheduled maintenance period. This section can refer to the manufacturers’ instructions for the equipment installed where appropriate (e.g., functional checks, repairs, inspections). It should also include any special notes, cautions, or warnings, as applicable. Troubleshooting information: Describes probable malfunctions, how to recognise those malfunctions, and the remedial actions to take. Removal and replacement information: Describes the order and method of removing and replacing products or parts, and any necessary precautions. This section should also describe or refer to manufacturer’s instructions to make required tests, checks, alignment, calibrations, centre of gravity changes, lifting, or shoring, etc., if any. Diagrams: Of access panels and information, if needed, to gain access for inspection. Special inspection requirements: Such as X-ray, ultrasonic testing, or magnetic particle inspection, if required. Application of protective treatments: To the affected area after inspection and/or maintenance, if any. Data: Relative to structural fasteners such as type, torque, and installation requirements, if any. List of special tools: Special tools that are required, if any. For commuter category aircraft: Provide the following additional information, as applicable: A. Electrical loads B. Methods of balancing flight controls C. Identification of primary and secondary structures D. Special repair methods applicable to the aircraft Recommended overhaul periods: Required to be noted on the ICA when an overhaul period has been established by the manufacturer of a component or equipment. If no overhaul period exists, the ICA should state for item 14, “No additional overhaul time limitations.” Airworthiness limitation section: Includes any “approved” airworthiness limitations identified by the manufacturer. If no changes are made to the airworthiness limitations, the ICA should state for item 15, “No additional airworthiness limitations” or “Not Applicable.” 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. DRAFT only: September 2009 34 CAAP 35-1(0): Design approval of modifications and repairs INTENTIONALLY LEFT BLANK DRAFT only: September 2009