1 DELEGATIONS HANDBOOK FOR DESIGNATED ENGINEERS AND DESIGN APPROVAL REPRESENTATIVES File: Del Hdbk English Issue 2.doc Published by: Regulatory Standards Division Policies and Procedures Section (AARDH/P) Aircraft Certification Branch Civil Aviation
2 Page: ii RECORD OF AMENDMENTS Amendment Number Amendment Date Inserted By Date Inserted
3 Page: iii TABLE OF CONTENTS RECORD OF AMENDMENTS... ii TABLE OF CONTENTS... iii CHAPTER 1. GENERAL PURPOSE DISTRIBUTION CANCELLATION MAJOR CHANGES TO HANDBOOK BACKGROUND Legislative Framework For Ministerial Delegation Of Authority Basis for Delegate Authorization and Role DELEGATION CONCEPTS AND PRINCIPLES Concepts Principles DELEGATE MANAGEMENT RESPONSIBILITIES Regional Responsibility Headquarters Responsibility ACRONYMS AND DEFINITIONS Acronyms Interpretation of Terms REFERENCE MATERIALS...8 CHAPTER 2. NOMINATION CRITERIA AND APPLICATION PROCESS NOMINATION Standards for Application Function Specific Requirements Licencing Requirements TCCA Requirements Provincial Licensing Laws APPLICATION Personnel Qualification Criteria Qualification And Authorization Delegation Approval Process CHAPTER 3. DELEGATE AUTHORIZATION DELEGATE AUTHORITY CATEGORIES DAR FUNCTIONAL SPECIALTIES PRIVILEGES LIMITATIONS AUTHORIZATION CHANGES Delegates Changing Employers Or Positions Dual Appointments Extension To Delegate Authority Reduction/Removal of Delegate Authority Return of Canadian Aviation Documents Notice of Suspension or Cancellation AUTHORIZATION INFORMATION Records On Delegates Delegate Database Delegate Designation Number CHAPTER 4. COMMUNICATIONS, LIABILITY AND SURVEILLANCE... 22
4 Page: iv 4.1 GENERAL COMMENTS COMMUNICATIONS Delegates Who Operate in Other Regions Projects Involving Multiple Delegates Coordination of Flight Test CHANGE OF ADDRESS DISPUTE RESOLUTION ACCESS TO INFORMATION DELEGATION AND CROWN LIABILITY SURVEILLANCE Post Appointment Monitoring DELEGATE AUDITS Delegate Self Audit TCCA Audit CHAPTER 5. AIRWORTHINESS CONTROL PROCEDURES TYPE CERTIFICATION PROGRAM FEE COLLECTION RECORDS MAINTAINED BY DELEGATES APPLICATION FOR MODIFICATION OR REPAIR APPROVAL Modification Application Form (Form # ) Time to Submit Data Package Minimum Content of Approval Document Configuration Control JOINT DAR/TCCA APPROVAL PROJECTS APPROVAL CERTIFICATE COMPLETION Approval Certificates Certificate/Form Completion TCCA AE-100 Form, Statement of Compliance STC Approval Document LSTC Approval Document RDC Approval Document TEST PLANS TEST WITNESSING FLIGHT TEST PILOT DELEGATES REVISIONS TO STCs, LSTCs, AND RDCs MODIFICATION OR REPAIR OF FOREIGN REGISTERED AIRCRAFT FINDING COMPLIANCE TO FOREIGN REGULATIONS DND MODIFICATION APPROVALS CONTINUING AIRWORTHINESS Service Difficulty Report CHAPTER 6. PROCEDURES MANUAL PROCEDURES MANUAL CONTENT Philosophy Description Flight Test Delegates Procedures Manual Procedures Manual Revision TCCA Approval Delegate Proposed Revision TCCA Initiated Revision CHAPTER 7. DELEGATE GUIDANCE MATERIAL WHAT IS DELEGATE GUIDANCE MATERIAL Library ELECTRONIC DELEGATE GUIDANCE MATERIAL OTHER GUIDANCE MATERIAL AND FORMS... 43
5 Page: v APPENDIX A - TCCA AIRCRAFT CERTIFICATION OFFICES...A-1 APPENDIX B - SAMPLE FORMS AND LETTERS...B-1 APPENDIX C - FLIGHT TEST SPECIALITY MATRIX - FAR 25...C-1 APPENDIX D - SAMPLE ENGINEERING PROCEDURES MANUAL...D-1
6 Page: 1 CHAPTER 1. GENERAL 1.1 PURPOSE This handbook prescribes policy, procedures, and guidance to be used by the Aircraft Certification staff in Headquarters and in the Regional Offices when administering the Delegations program, and by Delegates in fulfilling their delegation. This handbook: a. Provides TCCA personnel and Delegates direction with respect to the Delegate approval process and associated responsibilities; b. Informs TCCA personnel and Delegates of the certification procedures that should be followed when accomplishing a modification or repair in accordance with AWM 513; c. Ensures consistent application of the certification procedures by Delegates in all regions; and d. Provides guidance on the content of an EPM developed for a DAR and the enabling of this Handbook by the EPM. Deviations from the procedures contained in this Handbook should be discussed and coordinated with the Regional Aircraft Certification Managers or Headquarters Delegations and Quality Division. If there are any discrepancies between TCCA Aircraft Certification Staff Instructions or Policy Letters and this Handbook, then the guidance provided in the Staff Instructions and Policy Letters will take precedence. 1.2 DISTRIBUTION This handbook is available to all Transport Canada staff in the Aircraft Certification Branch both in Headquarters and in the Aircraft Certification Regional offices through the Transport Canada Intranet as an Adobe Portable Data Format (PDF) file at: It will be available to all Designated Engineers and Design Approval Representatives from the Transport Canada Internet Web Site as an Adobe Portable Data Format (PDF) file at: A paper copy may be obtained through the Delegations & Quality Division of the Aircraft Certification Branch in Headquarters, or through the Regional Aircraft Certification offices listed in Appendix A. However, revisions to paper copies will only be supplied upon request. 1.3 CANCELLATION All previously issued printed or electronic copies of the original draft "Delegation Handbook" at amendment N/A, with a revision date of TBD shown, and all copies of issue 1 of Delegations Handbook for Designated Engineers and Design Approval Representatives are superseded and replaced by issue 2 of this handbook. 1.4 MAJOR CHANGES TO HANDBOOK The Delegations Handbook has been updated to: a. Document Transport Canada s revised policy in respect of implementation of the Changed Product Rule; b. Provide a revised Sample EPM showing expectations for implementation of the Changed Product Rule;
7 Page: 2 c. Incorporate pointers to information contained in the latest Transport Canada ACSIs and ACPLs and other guidance materials; and d. Reflect changes made through revisions to CAR/AWM Chapters 511 and 513, and related guidance material. 1.5 BACKGROUND Delegation is defined as The "Art" of achieving specific, predefined results through the empowerment and motivation of others. In the context of Aviation, delegation is an essential tool used by Airworthiness Authorities to fulfill their responsibilities in the regulation of the aeronautics industry. Specifically the Minister is empowering certain persons to act on his behalf. These persons or Delegates exercise authority in many different fields of aviation, however, our primary focus will be on those delegations related to the design approval of aeronautical products. In the past, the Aircraft Certification Branch in Headquarters was solely responsible for Delegation. The responsibility for Delegation is now shared between the Regions and the Aircraft Certification Branch in Headquarters. The Regions have assumed responsibility for Delegates who are primarily involved in the modification and repair of aeronautical products per AWM Chapter 513. The Aircraft Certification Branch (Headquarters) has retained responsibility for Delegates who are primarily involved in the design and manufacture of aeronautical products per AWM 511, and for the appointment and management of all Flight Test Delegates. This division of responsibility aligns with the AWM 511/513 division for certification projects. The shared responsibility for Delegation has improved response times for applicants requesting Delegation and for existing Delegates requiring extensions to their Delegations. It also places the responsibility for delegation on the TCCA personnel who best know the delegates and their work. The working relationship between the Delegates involved in the modification and repair of aeronautical products and the Regions has also improved as a result Legislative Framework For Ministerial Delegation Of Authority The Aeronautics Act and Canadian Aviation Regulations are the legislative instruments governing Canadian aviation. Section [4.2] of the Aeronautics Act states that the Minister of Transport "is responsible for the development and regulation of aeronautics and the supervision of all matters connected with aeronautics". To fulfill these responsibilities the Minister is provided with various resources (Transport Canada Civil Aviation) and tools which includes the power to delegate to others. This power is specified in the Aeronautics Act, Section [4.3.(1)], namely: "The Minister may authorize members of the Royal Canadian Mounted Police or any other person to exercise or perform, subject to such restrictions or limitations as the Minister may specify, any of the powers, duties or functions of the Minister under this part except, subject to Sub-section (3) any power conferred on the Minister by the Governor in Council to make regulations or orders." For TCCA and delegates, this refers to AWM Chapter 505, B, C, and E and its advisories. Airworthiness Manual Chapter 505 contains the standards applicable to design approval delegates. Interpretative material supporting the Airworthiness Manual includes the one issued Airworthiness Manual advisory, AMA 505C/1 for DARs. Other interpretive material that is available are the Aircraft Certification Staff Instructions and Aircraft Certification Policy Letters. The historical perspective of the development of our delegation framework originated in 1968 with N-AME- AO 45/68 which introduced the DAR System. The N-AME-AO provided a more structured system for
8 Page: 3 delegation albeit informal. In the early 1980's the Commission of Inquiry into Aviation Safety included in its recommendation the following: "The role and responsibilities of the Design Approval Representatives and the Airworthiness Inspection Representatives should be codified in the Airworthiness Code." This inquiry, conducted by Justice Dubin, recognized the value of these functions and thus recommended that they be formally recognized in the legislation governing aeronautics in Canada. Transport Canada accepted this recommendation, and in its response committed to "amending the Aeronautics Act to provide for the inclusion of Authorization, by the Minister, of persons engaged in the field of Airworthiness". Also the Airworthiness Manual would include the standards for, and the roles and responsibilities of, those persons so authorized to act on behalf of the Minister of Transport. On 28 June 1985, the Aeronautics Act was amended to include specific provisions authorizing the Minister to delegate any of the powers, duties or functions, except the power to make Regulations and Orders. During the development of the airworthiness standards for delegated persons, the DAR concept was expanded and two new categories of corporate delegate were developed: the Airworthiness Engineering Organization (AEO) and the Design Approval Organization (DAO). The concepts were promulgated as a revision to AWM 505. The AEO and DAO replaced the "company DAR" category from N-AME-AO 45/68, and introduced the concept that the corporation is the delegate and is responsible for having adequate resources to support and maintain the delegation. Although the corporation is the Delegate individuals are still required to carry out the authorized functions Basis for Delegate Authorization and Role AWM 505 sets out procedures and conditions under which an applicant may obtain a delegation of authority that may be exercised by a Design Approval Representative, Designated Engineer, a DAO, or an AEO. The role of the delegate has been consistent since it was first introduced, namely: Acting as a representative of the Minister of Transport, the DAR determines, or participates in the determination, that an aeronautical product design, or parts thereof, complies with airworthiness standards. When accomplishing this task the delegate uses the same standards, procedures and interpretations applicable to Transport Canada employees accomplishing similar tasks. The delegate is also required to observe all conditions and limitations imposed by the Minister on the authority delegated. The level of investigation conducted by the delegate is the same irrespective of whether the delegate is finding compliance on behalf of the Minister, or submitting the data to Transport Canada with a recommendation with respect to compliance. 1.6 DELEGATION CONCEPTS AND PRINCIPLES The foundations of the delegation system are based on the following delegation concepts and principles which were developed at the first Delegations Workshop. These concepts and principles should be reflected in the Delegates Design Approval Procedures or Engineering Procedures Manual Concepts The underlying concepts of our Delegation system are: a) Delegation is a privilege and not a right. As such, TCCA and Delegates must have a shared commitment to safety. For delegation to work Industry must be as interested in and committed to safety as the Minister. b) Through Delegation the Minister has access to both a broader range and increased number of qualified certification personnel. c) Delegation is one means that may be used to expedite certification project approvals.
9 Page: 4 d) Approvals and findings of compliance made by Delegates are approvals and findings by the Minister. When a Delegate makes a finding of compliance it is considered no different than if TCCA made that finding. Most Airworthiness authorities including the FAA and the JAA, accept our system of Delegation Principles The operating principles that TCCA and Delegates should adhere to are: a. Delegates should be given the scope and extent of delegation for which they are qualified and for which their capability has been demonstrated. b. Delegates and Transport Canada must be aware of and in agreement with the scope of authority provided. If the Scope of Authority is not clear to TCCA or the Delegates, then clarification is required so that it is understood. If a Delegate is unprepared to accept the delegated responsibility as defined, then the scope of authority must be revised accordingly. c. Delegates making compliance findings and approvals on behalf of the Minister must use the Regulations, Standards, Advisories and Interpretations approved or accepted by the Minister. d. Delegates should conduct the same level of investigation irrespective of whether a finding of compliance or a recommendation for approval is made. e. Delegates are responsible to the Minister for the performance of their authorized functions. f. TCCA retains responsibility for delegated activities. However, TCCA along with Design Approval Organizations and Airworthiness Engineering Organizations, have a shared responsibility for the function of Delegates. g. A delegate cannot devolve any responsibility for authorized functions as outlined in their individual letter of authorization. Delegation is made to an individual based on that individuals capabilities, skills, and knowledge and as such a delegate cannot have a subordinate make a finding of compliance on their behalf. However subordinates can assist a delegate. This is expressed in the legal maxim delegatus non potest delegare (a delegate cannot delegate). 1.7 DELEGATE MANAGEMENT RESPONSIBILITIES The Delegate management system agreed to by Headquarters and the Regions under the Delegation Devolvement Memorandum of Understanding (MOU) enables TCCA to utilize those individuals best qualified to evaluate potential delegates, and to continuously evaluate their performance. TCCA interaction with Delegates is highly interdependent, building on mutual interests TCCA, manufacturers, and operators have in achieving the highest level of safety. The agreed to division of responsibilities is as defined in sections and Regional Responsibility Under the Devolvement MOU, the Regional Aircraft Certification Managers have assumed complete functional responsibility for delegates who are primarily involved in modification and repair activities (i.e. AWM 513). Specifically the Regions are normally responsible for: a. All DARs, excluding DARs in the specialty of Flight Test; b. All AEOs; c. DAOs involved in modification and repair activities; and d. DAOs involved in Appliance Type Certification. Responsibility for the activities undertaken by smaller manufacturers (i.e. AWM Chapter 511 companies) will be handled on a case by case basis, and will be determined through discussion between the Region and Headquarters.
10 Page: Headquarters Responsibility The Delegations and Quality Division of the Aircraft Certification Branch will retain responsibility for those DAOs involved in Type Certification (AWM Chapter 511) activities. For companies that have a combination of AWM Chapter 511 and AWM Chapter 513 activities, the delegation responsibilities will be decided on a case-by-case basis in consultation with the region and be subject to a written agreement. 1.8 ACRONYMS AND DEFINITIONS Acronyms The following acronyms are applicable to this handbook. AC ACSI ACPL AD AEO AFM AMA AN AP AWM BAA CAA CAIP CAR CAD CMR DAO DAPM DAR DE DND EPM FAR ICAO JAA JAR LSTC MMEL MOU MRB PL RDC RMAC SCA SI STC TC TCCA TCDS TSO Advisory Circular Aircraft Certification Staff Instruction Aircraft Certification Policy Letter Airworthiness Directive Airworthiness Engineering Organization Aircraft Flight Manual Airworthiness Manual Advisory Airworthiness Notice Appliance Airworthiness Manual Bilateral Agreements and Arrangements Civil Aviation Authority Civil Aviation Information Publication Canadian Aviation Regulation Civil Aviation Directive Certification Maintenance Requirement Design Approval Organization Design Approval Procedures Manual Design Approval Representative Designated Engineer Department of National Defence Engineering Procedures Manual Federal Aviation Regulation International Civil Aviation Organization Joint Aviation Authority Joint Aviation Requirements Limited Supplemental Type Certificate Master Minimum Equipment List Memoranda of Understanding Maintenance Review Board Policy Letter Repair Design Certificate Regional Manager Aircraft Certification Airworthiness Special Conditions Staff Instruction Supplemental Type Certificate Type Certificate Transport Canada Civil Aviation Type Certification Data Sheet Technical Standard Order
11 Page: 6 VLA Very Light Aircraft Interpretation of Terms The following definitions are applicable to this handbook. For formal definition of these terms, and others that may be applicable, the definitions and interpretations presented in the CARs and the AWM will take precedence if there is a conflict. Acceptable Used to describe equipment or a procedure that in itself constitutes an adequate standard, or if used or complied with will result in compliance with the regulations. Acceptable Data Includes [AWM (1)]: a) drawings and methods recommended by the manufacturer of the aircraft, component, or appliance; b) Transport Canada advisory documents; and, c) advisory documents issued by foreign airworthiness authorities with whom Canada has entered into airworthiness agreements or memoranda of understanding such as current issues of Advisory Circular and -2 issued by the FAA, Civil Aviation Information Publications (CAIPs) issued by the Civil Aviation Authority (CAA) of the United Kingdom, or Advisory Circular, Joint (ACJs) issued by the Joint Aviation Authority (JAA). AEO Aeronautical Product Appliance Applicant Approved Means the group of individuals in the employ of and nominated by the applicant (corporation) pursuant to AWM subsections (c) and (d) and (e). Means an aircraft, aircraft engine, aircraft propeller or aircraft appliance. [CAR ] means any instrument, mechanism, equipment, apparatus or accessory that is [CAR ]: a) used, or intended to be used, in operating or controlling an aircraft in flight, b) installed in or attached to, or intended to be installed in or attached to, the aircraft, and c) not part of the airframe, engine or propeller of that aircraft. Means an individual or organization, or a representative of an individual or organization, who makes an application for a supplemental type certificate, a limited supplemental type certificate or a repair design certificate in respect of an aeronautical product. [CAR ] The word "approved", when used without any indication of a method of approval, is to be interpreted as referring to an approval granted under the Aeronautics Act. [AWM 551] Approved Data Includes [AWM (1)]: a) type certificates, supplemental type certificates, limited supplemental type certificates, or repair design approvals, including equivalent foreign documents which have undergone the familiarization or
12 Page: 7 validation process set-out in Subpart 511 of the CARs, or are otherwise accepted in Canada; and b) other drawings and methods approved by the Minister or a delegate in conformity with paragraph 4.2(o) and Section 4.3(1) of the Aeronautics Act. Compliance Inspection DAO DAR Delegate Design Designated Engineer Executive Level Finding of Compliance Major Modification Major Repair Compliance inspections are physical inspections performed by the TCCA engineer or the Delegate, when authorized. This inspection provides an opportunity to review an installation and its relationship to other installations on a product to determine compliance with FAR/CAR requirements which cannot be determined adequately from an evaluation of the technical data. Means the group of individuals in the employ of and nominated by the applicant (corporation) pursuant to AWM subsections (c) and (d) and (e). A person authorized by the Minister pursuant to subsection 4.3(1) of the Aeronautics Act to perform functions on behalf of the Minister subject to the conditions specified in Airworthiness Manual Subchapter 505C. (Reference, AWM subchapter 505C, section ). (Noun) DARs, AEOs and DAOs. Means a corporation or individual authorized pursuant to subsection 4.3(1) of the Aeronautics Act to perform functions on behalf of the Minister subject to the conditions specified in AWM 505. Means the preparation of drawings, processes, material specifications and reports that, in total, define modifications or repairs to an aeronautical product. Means a person nominated and authorized in accordance with AWM (e) and (e). A person who holds the company position of president, vice president, chief engineer, owner, part owner, director of engineering, etc. A determination that an element of the design satisfies the applicable airworthiness standards. Means an alteration to the type design of an aeronautical product in respect of which a type certificate has been issued that has other than a negligible effect on the weight and centre-of-gravity limits, structural strength, performance, power plant operation, flight characteristics or other qualities affecting its airworthiness or environmental characteristics [CAR (1)] means a repair to an aeronautical product in respect of which a type certificate has been issued, that causes the aeronautical product to deviate from the type design defined by the type certificate, where the deviation from the type design has other than a negligible effect on the weight and centre-of-gravity limits, structural strength, performance, power plant operation, flight characteristics or other qualities affecting the aeronautical product's airworthiness or environmental characteristics [CAR (1)]
13 Page: 8 Specified Data Type Design Examination Is information contained in authoritative documents which, although not approved by the Minister, has been accepted by the Minister as appropriate for the purpose of major modifications and major repairs, in conformity with Section of the CARs. The following are examples of specified data [AWM (1)]: a) drawings or methods described or referenced in Airworthiness Directives; b) data issued by the manufacturer or type certificate holder of the aircraft, component or appliance, such as modification orders, service bulletins, or engineering orders, which include a statement of approval by the applicable regulatory authority or a delegated representative of such an authority. Where the data issued by the aircraft manufacturer are incompatible with those of the component or appliance manufacturer, the data of the aircraft manufacturer shall prevail; c) manufacturer's Structural Repair Manuals; d) FAA Advisory Circulars AC and AC , subject to the following conditions: the aircraft is a small aircraft, and the alteration does not affect dynamic components, rotor blades, structure that is subject to pressurization loads, or the primary structure of a rotorcraft; the alteration does not affect an existing limitation (including the information contained on mandatory placards) or change any data contained in the approved sections of the Aircraft Flight Manual, or equivalent; the data are appropriate to the product being altered, and are directly applicable to the alteration being made; and, the data are not contrary to the aircraft manufacturer's data. means a process by which the Minister reviews technical data associated with a change in the type design approved by a foreign airworthiness authority, as necessary to determine its acceptability for installation on Canadian registered aircraft. [AWM ] 1.9 REFERENCE MATERIALS ACPL 19 Canadian Aviation Regulations, Part 1, Subpart Implementation ACPL 31 Modification Approvals - Department of National Defence Aircraft ACPL 72 Determination of Equivalency for Ministerial Delegation PL Establishing the Certification Basis of Changed Aeronautical Products - Interpretation and Policy ACSI 11 Approval of Airworthiness Limitations - Regional Aircraft Certification Projects ACSI 22 Approval Procedures - Domestic Design Changes ACSI 36 Technical Reference Centre Operations ACSI 43 Regional Flight Test Procedures ACSI 44 Service Difficulty Reporting (SDR) Program ACSI 47 Delegate Approval and Authorization Process ACSI 48 Scope of Authority Designated Engineers
14 Page: 9 ACSI 49 ACSI 50 ACSI 51 SI AMA 500/16 AMA 505C/1 CAD No. 3 TP Airworthiness Engineering Organization (AEO) / Design Approval Organization (DAO) Personnel Qualification Criteria Qualification and Authorization Procedures for Airworthiness Engineering Organization (AEO) / Design Approval Organization (DAO) Personnel Software Approval Delegation - Design Approval Representative And Designated Engineer Appointment Criteria Establishing the Certification Basis of Changed Aeronautical Products - Procedures Establishing the Certification Basis of Changed Aeronautical Products Design Approval Representative (DAR) Recovering The Incremental Costs of Providing Services Inside/Outside Canada Liability through the exercise of Delegated Authority
15 Page: 10 CHAPTER 2. NOMINATION CRITERIA AND APPLICATION PROCESS 2.1 NOMINATION Standards for Application AWM Chapter 505 specifies the standards that are to be met by a candidate when applying for delegation, and the support information that is to be provided with the application. The specific information can be found in: a. AWM Subchapter 505C sets out the conditions under which an applicant may obtain a delegation of authority that may be exercised by a DAR, and contains the procedures for obtaining such a delegation; b. AWM Subchapter 505E prescribes the conditions under which an applicant may obtain a delegation of authority exercised by a DAO, and contains the procedures for obtaining such a delegation; and c. AWM Subchapter 505B prescribes the conditions under which an applicant may obtain a delegation of authority exercised by an AEO, and contains the procedures for obtaining such a delegation. To assist an applicant in understanding and applying the criteria specified in the airworthiness manual, guidance material has been developed. Guidance material that is applicable includes ACSI 49, ACSI 50, ACSI 51, and AMA 505C/ Function Specific Requirements At this time TCCA has developed qualification guidelines for delegation requests in the specialty of software. These guidelines are outlined in ACSI 51 and are to be used in conjunction with ACSI Licencing Requirements TCCA Requirements TCCA does not require that a Delegate to meet provincial registration requirements for registered professional engineers or that a Delegate is a registered professional engineer. TCCA in its appointment of a Delegate is not conferring a license to practice engineering or attesting to an individuals qualifications. The Minister is empowered by the Aeronautics Act to authorize persons to conduct examination, testing, and inspections necessary to determine compliance with the Airworthiness standards Provincial Licensing Laws Appoint of an individual as a Delegate (either DAR or within a DAO/AEO) does not relieve the Delegate from meeting those requirements imposed by provincial engineering licensing laws. It is within the regulatory power of a provincial engineering association to restrict the right to engage in the practice of engineering within that province to persons who satisfactorily qualify under its laws, e.g., registered professional engineers. Provincial law may require a Delegate to be a registered professional engineer when selling engineering services for a fee. Each delegation applicant should determine whether the province, or provinces in which the Delegate intends to offer engineering services, requires registration as a professional engineer. Appointment as a Delegate does not absolve an individual of ensuring that provincial requirements are met when providing a professional service.
16 Page: APPLICATION Transport Canada has no Delegate specific application forms, however, to support a delegates application it is essential that the candidate submit that information required to demonstrate compliance with the criteria specified in AWM Chapter /205/405. Individual DAOs/AEOs may have developed application procedures and forms tailored to their needs, which is acceptable, so long as it is documented in their DAPM and has been accepted by TCCA. To provide specific guidance a number of ACSIs have been developed which are briefly introduced in sections through TCCA staff should ensure that whatever application procedure is used, a copy of the application and supporting data is placed on the candidates file for retention. Applications for delegation as a DAR should be submitted to the Regional Manager of Aircraft Certification in the applicable Region. In the case of an existing AEO or DAO, application for appointment of a designated engineer should be submitted to the Transport Canada Office which has responsibility for delegation activities within that particular AEO or DAO. New applications to establish an AEO or DAO should be discussed with the Regional Manager Aircraft Certification to assess if the application will be reviewed by the Region or if it should be reviewed by Headquarters. All applications should include: a) The name of the applicant and the address of the ordinary place of business. For AEO applicants, the air service Operating Certificate number and the list of products the applicant may maintain under the Operating Certificate should be included. For DAO applicants, the aeronautical products which the applicant intends to design, modify or repair should be described. DAR applicants should also list the type of products for which delegation of authority is being requested; b) The scope of authority for which authorization is requested; c) A compliance checklist to indicate compliance with the sections of the AWM Chapter 505. Although this is specified only in (d) for DAR applicants, one should also be provided with each AEO and DAO application; d) A draft copy of the Engineering Procedures Manual (DAR, AEO) or Design Approval Procedures Manual (DAO) may be submitted at this time. In addition, AEO and DAO applications should include: a) A description of the organization and associated lines of responsibility; b) The name and title of the person appointed to assume responsibility for the airworthiness activities (Ref /403); and c) The names, titles and qualifications of each person nominated to perform functions the organization may be authorized to accomplish Personnel Qualification Criteria For guidance on personnel qualification criteria ACSI 49 and ACPL 72 should be consulted. The purpose of this ACSI and ACPL is to provide Aircraft Certification Branch staff, and Regional Aircraft Certification staff, with guidance on the acceptable qualifications, knowledge and exp erience required for personnel nominated as Delegates to carry out the delegated functions within an Airworthiness Engineering Organization (AEO) or Design Approval Organization (DAO).
17 Page: 12 Additional guidance on personnel qualification/assessment criteria for those requesting software delegation can be found in ACSI Qualification And Authorization For guidance on qualification and authorization criteria ACSI 50 should be consulted. This ACSI is to identify the procedures to be followed by AEOs and DAOs when nominating and authorizing personnel to participate in their activities in accordance with AWM Sections and respectively Delegation Approval Process For guidance on the delegation approval process the criteria in ACSI 47 should be consulted and the guidance in ACSI 48 for developing and documenting their scope of authority. These ACSIs outline the delegation approval process used by the Aircraft Certification Branch to review applications for AEOs, DAOs, and DARs. The review process of an application for design related delegation of authority essentially consists of establishing the applicant s eligibility and approving the associated Procedures Manual (EPM or DAPM). For AEOs and DAOs the review of the manual and personnel is processed separately. The review process is applicable to applications processed by Headquarters where Headquarters has responsibility for Delegates involved in AWM 511 Type Certification activities and has responsibility for all Flight Test delegations. Delegates involved in modification and repair and appliance type approval activities, in accordance with AWM 513, are typically the responsibility of the Regional Aircraft Certification Branches. In the case of a DAO or an AEO, an alternate process may be used provided the process is defined in the EPM/DAPM and is approved by Transport Canada as equivalent.
18 Page: 13 CHAPTER 3. DELEGATE AUTHORIZATION 3.1 DELEGATE AUTHORITY Delegates may make a finding of compliance or a recommendation, for engineering technical data within their scope of authority, through use of a TCCA AE-100 Statement of Compliance form (or approved equivalent). When specifically authorized by TCCA as part of their scope of authorization, delegates may issue approval documents (LSTC and RDC certificates per AWM Chapter 513), witness compliance tests, and perform compliance inspections on TCCA s behalf. The specific role, authorized areas, and responsibilities of the Delegate will be established by agreement between TCCA and the Delegate based on the Delegates level of experience and knowledge. Delegates may be appointed for, or limited to, specific types of work for which a finding of compliance, or recommendation, can be made. For example: a. a systems and equipment Delegate could be limited to handling approval of alterations to specific types of systems such as hydraulic, pressurization, etc., on only one airplane model; or b. a flight test pilot Delegate could be limited to conducting flight tests on fixed wing aircraft of a specified maximum gross weight. However, caution should be exercised in making delegations that are so narrowly limited that they could become burdensome to TCCA. The exercise of delegation may be controlled by: a. Procedures specified in an EPM / DAPM; or b. Conditions specified by TCCA Regions or Headquarters when reviewing an application for modification or repair approval; or c. A TCCA approved compliance program. 3.2 CATEGORIES TCCA recognizes three categories of delegation as defined in AWM Chapter 505, that for an AEO, a DAO, and to a DAR. The requirements for designated engineer authorization within an AEO and a DAO are similar so they are combined in the following discussion. Designated Engineer (AEO/DAO) is an individual which may be appointed to act as a Delegate within an AEO or a DAO for their employer and may only provide a statement of compliance, or make a recommendation for a statement of compliance to TCCA, of technical data for the company. In some cases a Delegate may personally evaluate and provide the statement of compliance for technical data. In other cases a Delegate may ensure, through the DAO, the proper evaluation of technical data by other persons; then the Delegate will approve that data by certifying that the data complies with the applicable regulations. If a Delegate is assigned to work in a consortium, business arrangement, partnership, licensing agreement, etc., the company should advise TCCA of this in writing to discuss how this could be handled within the existing delegation. If the expansion of the DAO involves the geographic area of responsibility of two different TCCA Regions, the two Regions will determine which RMAC will manage the expanded delegation. DAR is an individual which may be appointed to act as an independent (self-employed) DAR to provide a statement of compliance, or make a recommendation for a statement of compliance of technical data to TCCA for a client.
19 Page: DAR FUNCTIONAL SPECIALTIES When an application for delegation as a DAR is found to be satisfactory, TCCA will issue a letter of authorization and an delegation of authority certificate which may be displayed in a prominent location at the DAR s normal place of business. The letter of authorization will be issued to authorize the delegation, indicate the effective date, and approve the EPM which defines the scope and limitations of the delegation. The following functional specialties are specific to DAR s. Other functional specialties may be specified by TCCA when issuing approval numbers, approving compliance programs, or Engineering Procedures Manuals. DAR (General) For reciprocating engine-powered fixed wing aircraft, 12,500 pounds gross weight or less, unpressurized, may be delegated the authority to approve engineering reports, drawings and data relating to the structures, powerplants, systems and equipment. The general descriptions outlined above for DAR Structures, Powerplants (except engines and propellers) and Systems and Equipment apply. Specific additional delegation is required for approvals on Transport Category and pressurized aircraft or where other specialist knowledge is deemed essential to the approval. DAR (Structures) May be delegated the authority to approve structural (including dynamics and aeroelastics) engineering reports, drawings, drawing lists, data relating to strength, materials and processes used and other related structural applications. The following items are normally retained for TCCA approval, unless specifically delegated: basic loads analysis, test programs, Airframe fatigue and damage tolerance, discrete source damage, and loads predicted by aerodynamic analysis (however, loads whose magnitude is defined in the airworthiness requirements, such as emergency landing inertia loads, control system pilot effort applied loads and any other loads so defined in the requirements may be considered delegated). DAR (Powerplants) Due to the wide range and complexity of the components, systems and accessories involved in "powerplant", sub-categories of powerplant are listed. The following items are normally retained for TCCA approval, unless specifically delegated: engine or propeller type test programs, engine or powerplant icing test programs, engine mounts, items such as installed engine power calculations which require joint flight analyst and powerplant approval. Powerplant Installation May be delegated the authority to approve engineering reports, drawings and data relating to durability, materials and processes employed in the powerplant installations, including all systems and equipment necessary for the proper operation of the powerplant. Powerplant Engine May be delegated the authority to approve engineering reports, drawings and data relating to durability, materials and processes employed in engine design, operation and maintenance. Powerplant Propeller May be delegated the authority to approve engineering reports, drawings and data relating to durability, materials and processes employed in propeller design, operation and maintenance. DAR (System and Equipment) May be delegated the authority to approve engineering reports, drawings and data relating to aircraft mechanical and hydraulic and other systems and avionics electrical systems and equipment (including any aspect not identified by other specialties). System and Equipment can be sub-divided in three (3) specialized areas as below: DAR System and Equipment - (Mechanical), DAR System and Equipment - (Electrical), and DAR System and Equipment - (Avionics). Review and approval of analysis of fault conditions in critical systems are not normally delegated.
20 Page: 15 DAR (Flight Test) Has two subdivisions namely Flight Test Pilot and Flight Test Analyst, where Flight Test Analyst is further subdivided as identified below. DAR Flight Test Pilot The Test Pilot DAR may find compliance with any requirement or standard, or applicable part of any requirement or standard, requiring the subjective assessment of: (1) level of pilot skill; (2) consistent operation; (3) ease of operation; (4) crew procedure; (5) crew workload; (6) inadvertent operation; (7) continued safe flight and landing; and, (8) any other aspect requiring pilot judgment. The delegate is responsible for the proper conduct of all the flight tests necessary to make the required findings of compliance. In addition, the delegate may evaluate and recommend approval of procedures included in the Aircraft Flight Manual, however, overall responsibility for AFM approvals is retained by TCCA. DAR Flight Test Flight Analyst - Performance The Flight Analyst - Performance DAR may find compliance with the applicable Flight requirements and any other applicable requirements dealing with aircraft performance. The delegate is responsible for ensuring that adequate and sufficient flight tests are completed and for the proper review and analysis of flight test data to make these findings of compliance. The delegate may recommend approval of Airplane Flight Manual Performance data but overall responsibility for AFM approvals is retained by TCCA. DAR Flight Test Flight Analyst - Flight Characteristics The Flight Analyst - Flight Characteristics DAR may find compliance with the applicable Flight requirements and any other applicable requirements dealing with quantitative aspects of aircraft flight characteristics, including assessment of the effects of failure. Qualitative aspects are the responsibility of the test pilot. The delegate is responsible for ensuring that adequate and sufficient flight tests are completed and for the proper review and analysis of flight test and simulation data to make these findings of compliance. DAR Flight Test Flight Analyst - Systems Performance The Flight Analyst - Systems Performance DAR may find compliance with the applicable system performance requirements for navigation and automatic flight control systems. The delegate is responsible for ensuring that adequate and sufficient flight tests are completed and for the proper review and analysis of flight test and simulation data to make these findings of compliance. DAR Flight Test Flight Analyst - Aircraft Flight Manuals (AFM) The Flight Analyst - Aircraft Flight Manuals DAR may approve eligible AFM revisions as follows: The addition of aircraft serial numbers to an existing AFM where the aircraft configuration, as related to the AFM is identical to aircraft already in that AFM; Changes to weight limitations that are within all limitations previously approved by TCCA (e.g., structural, noise, etc.);
21 Page: PRIVILEGES The addition of compatible and previously TCCA approved AFM supplements (e.g., adding a Supplement to the AFM for a particular serial number aircraft); Conversions of previously TCCA approved combinations of units of measure added to AFM in a manner previously approved by TCCA; Minor editorial changes and/or corrections; and, The addition of previously TCCA approved optional equipment for the same aircraft model with similar operability and compatibility characteristics provided that no additional compatibility flight testing is required. New information of any kind, or any information not previously approved by TCCA, including limitations, operating procedures, and performance, are not eligible for delegate approval. Other types of AFM revisions not eligible for delegate approval include: Any information that requires certification flight tests; Any revision where approval or signature authority is affected by existing bilateral agreements and procedural practices; Revisions associated with concurrent Type Approval activity; changing units of measure incompatible with aircraft configuration (e.g., fuel quantity/flow gauges); and, Any revisions not clearly identified above as eligible for delegated approval. A Delegate may perform the airworthiness engineering functions specifically identified in their letter of authorization and approved DAPM / EPM. Delegate privileges may be exercised in those areas identified in their manual, but subject to the limitations defined in Section 3.5 of this Handbook, specific limitations in their letter of authorization, and limitations identified in their approved EPM or DAPM. Examples of some items that a Delegate can make a finding of compliance for and issue a statement of compliance, and issue an approval, include: a) Approval of the following technical data elements in support of findings of compliance to the delegated standards of airworthiness: i) engineering reports ii) engineering drawings iii) configuration drawings and instructions iv) drawing lists v) Instructions for Continuing Airworthiness (except any Airworthiness limitations) vi) electrical load analysis vii) other engineering data relating to structural applications. b) Recommendations to TCCA for approval of non-delegated engineering data. c) Issuance of RDC and LSTC approval documents in accordance with AWM Chapter 513 procedures or those approved in their EPM/DAPM. d) Make a determination that a change to the type design is significant or not-significant in accordance with subsection or paragraph (3) of the CARs. Note: This privilege is subject to the delegate having completed the TCCA offered Changed Product Rule specialist training or other training that is acceptable to TCCA and having procedures that
22 Page: LIMITATIONS are approved by TCCA in their EPM or DAPM, including the use of the Changed Product Rule (CPR) Decision Record form shown in Appendix B. TCCA retains authority and responsibility for examining and approving certain items, e.g., the certification basis, any special conditions, exemptions, equivalent safety findings, conformity inspections, and the issue of TCs and STCs. This limits the data that the Delegate can approve and the certificates that a delegate can approve to an LSTC and an RDC. In practice, there are a number of limitations of privileges which are applied to delegates uniformly where TCCA retains responsibility for determination of compliance, or acceptance. In general, Transport Canada retains authority and responsibility for examining, accepting, and approving (as appropriate): a. An aircraft/rotorcraft flight manual or flight manual supplement; b. A master minimum equipment list (MMEL) or MMEL supplement; c. A limitation applicable to an aeronautical product and recorded in the type certificate or supplemental type certificate data sheet for that product (see ACSI 11 for guidance); d. A service life applicable to any life-limited part of an aeronautical product; e. A certification maintenance requirement; f. An airworthiness directive or an equivalent instruction issued under the authority of a foreign airworthiness authority; g. A noise approval applicable to an aircraft; h. Findings of compliance relating to Equivalent Safety and Exemptions; i. Authorizing a maintenance or inspection document for the purpose of releasing or returning an aeronautical product to operational service; j. Confirmation of the certification basis (if different than that identified on the Type Certification Data Sheet for a previously certified aeronautical product); k. Special conditions; l. Issue of Type Certificates and Supplemental Type Certificates; m. A limitation contained in a Maintenance Manual or a Maintenance Manual Supplement; n. Departures from specific policy and guidance; o. New, novel, or unique technologies; and p. Design change approvals involving innovative technology or unusual design features not considered in the type certification basis and/or requiring special conditions. 3.6 AUTHORIZATION CHANGES The following sections address information that should be reviewed as part of the appointment process or as part of delegate maintenance Delegates Changing Employers Or Positions The authority delegated to a Delegate only remains effective for the period of employment or while the Delegate remains in a position of authority within the AEO/DAO to ensure that designs meet the applicable Airworthiness Requirements. A new application for delegated authority is required should the Delegate change employers. A Delegates Letter of Authorization will specifically identify that the delegation is effective while the delegate is in the position identified in the letter Dual Appointments An individual may be appointed to act both as a Designated Engineer within a DAO/AEO and at the same time as a DAR. In such a case, two separate appointments will be made and separate Delegate numbers and certificates of delegation will be issued. TCCA will advise the DAR that the emp loyer (DAO) should be
23 Page: 18 informed of the dual appointment. In the case of dual appointments, the DARs delegation may be authorized for areas different from the company delegation depending upon the applicant's experience and the limitations TCCA may place on the DAR. Each of these appointments should be managed by the same appointing TCCA Region. If the company delegation and the DAR delegation would be in the geographic area of responsibility of two different Regions, the two Regions will determine how the dual delegation will be managed. A statement from the employer confirming that no conflict of interest will exist if the Delegate concurrently functions as a private DAR is required Extension To Delegate Authority The functions which a Delegate is authorized to perform, may be increased where: a. The Delegate requests authorization to perform additional functions and provides to the Minister the information, with respect to the request, required by AWM Chapter 505; and b. In the opinion of the Minister, the Delegate is capable of effectively performing the additional functions. Extensions to a Delegate s Scope of Authority may be authorized on a case by case basis by an RMAC, the Chief of Engineering, or the Chief of Flight Test in Headquarters with responsibility for the specific certification project. The Delegate requesting the extension, or their DAO, shall submit a written request for the extension. Extensions shall be authorized either by affixing a note to the request and providing a copy to the requester, or by written response. The authorization shall be appended to the project file and a copy of the request and the granted extension should be placed in the Delegate s file. Delegates may also request a permanent increase in their Scope of Authority which if approved would result in the issuance of a new letter of authorization Reduction/Removal of Delegate Authority Airworthiness Manual Chapter 505, Subchapters B, C, or E list specific reasons for terminating a delegation, and allows TCCA the discretion to rely on any other reason it considers appropriate to remove the delegation. A Delegate s privileges may be withdrawn at the request of the Delegate or at the discretion of the Minister if the delegate is no longer performing the duties, or is not performing the duties in an effective manner. The AWM specifically identifies the following: a. The delegate requests the withdrawal of the delegated authority [This can be at the written request of the Delegate or the Delegate's employer.]; b. The functions, in respect of which the delegation of authority is granted, cease to be performed by the delegate [This can be in the event that the Delegate leaves the employment of the company that requested the delegation.]; c. In the opinion of the Minister, the DAO or AEO is not performing its functions in an effective manner; or d. The Minister withdraws the delegation of authority from the DAO, AEO, DE, or DAR. Examples of bullets c and d could include the following: Misconduct. Upon a finding by the Minister that the Delegate has not properly exercised or performed the duties of the delegation;
24 Page: 19 Insufficient Activity. Qualifications. Lack of Care, Judgment, or Integrity. Upon a finding by the Minister that the Delegate has not had sufficient activity to warrant continuance of the delegation; Upon a finding by the Minister that the Delegate's specific qualifications have lapsed; or Upon a finding by the Minister that the Delegate has not demonstrated the care, judgment, or integrity required for proper exercise of delegated authority. The functions which a Delegate is authorized to perform may be decreased by the Minister where: a. The Delegate requests a withdrawal, in part, of the functions the Delegate is authorized to perform; or b. In the opinion of the Minister, the Delegate is not effectively performing the delegated functions Return of Canadian Aviation Documents CAR Subpart states that where a Canadian aviation document has been suspended or canceled, the person to whom it was issued shall return it to the Minister immediately after the effective date of the suspension or cancellation. Discussion with TCCA legal staff has confirmed that a Letter of Authorization, and the DAO/AEO Approval Document does constitute a Canadian aviation document. On retirement or placement of a Delegate on the inactive list, or on removal of delegation, CAR should be quoted requesting the return of the original letter of authorization, and if a DAO/AEO the Approval Document Notice of Suspension or Cancellation There may be occasion when it is necessary to suspend or cancel a delegation appointment. This suspension or cancellation can be done via the provisions of CAR Subpart or CAR Subpart The difference between the two Subparts is that CAR Subpart is for those cases where the suspension or cancellation is not reached in an agreed manner (i.e. if the affected Delegate determines that they will contest this decision and appeal to the Civil Aviation Tribunal (CAT) then it would fall under this Subpart). If the suspension/cancellation is agreed to by the Delegate, then the letter would only link to CAR Subpart where there is no provision for CAT appeal. However, in each case the letter should also refer to CAR Subpart for the return of the Civil Aviation documents as discuss in above. In both cases, the letter used must clearly specify the grounds for the suspension/cancellation, when it is effective, and what must, or can be done, for reinstatement. A sample suspension letter is provided in Appendix B of this handbook. For specific wording and information see the text of: CAR Subpart titled Return of Canadian Aviation Documents ; CAR Subpart (1) titled Notices of Suspension, Cancellation or Refusal to Renew ; CAR Subpart titled Administrative Grounds for Suspension, Cancellation or Refusal to Renew ; Aeronautical Act subsections 6.9 (1) titled Suspension, etc., where contravention ; Aeronautical Act subsections 6.9 (2) titled Contents of notice ; Aeronautical Act subsections 6.9 (4) titled Request for review not a stay of suspension, etc. ; Aeronautical Act subsections 7.(1) titled Suspension where immediate threat to aviation safety ; Aeronautical Act subsections 7.(2) titled Contents of notice ; Aeronautical Act states 7.1 (1) titled Suspension, etc. on medical, etc., grounds ; and Aeronautical Act states 7.1 (2) titled Contents of notice.
25 Page: AUTHORIZATION INFORMATION Records On Delegates The appointing Region will establish and maintain a Delegate file for each Delegate and candidate Delegate for which it is responsible. The Delegate file should contain the Delegate application letter and supporting data submissions, the appointment letter, scope extension letters, and Delegate activities via copies of TCCA Form AE-100 or reference to a project file containing the TCCA AE-100 forms. These records must include as a minimum the following: a. Correspondence (including ongoing notes, record of phone calls, examples of any problems encountered and all Scope Extensions); b. EPM/DAPM; c. Qualifications and Curriculum Vitae of all DARs and DEs; d. Surveillance and Audit Reports; and e. Letters of Authorization. Copies of the EPM/DAPMs and Letters of Authorization should be provided to the Engineering Division of the Aircraft Certification Branch (Headquarters). The Branch will establish and maintain a national database on all Delegates Delegate Database The Regions or Headquarters with responsibility for management of Delegate s should maintain a database of information on each Delegate. This database can take a number of forms from traditional file folders for each, electronic files, or data stored in a database such as Microsoft Access. It is expected that a DAO/AEO maintain a similar database for the Delegates for which they have responsibility and this database is subject to audit. Headquarters shall maintain an electronic database, the Delegations Database, which is a Microsoft Access database. The information contained in the Headquarters database will be available to the regions and TCCA specialists over the TCCA Intranet as a Web application. Section provides details on some information that should be included. The responsible region or Headquarters will maintain a complete set of records on Delegates consisting of: qualifications correspondence audit reports Corrective Action Plans scope extensions or reductions disciplinary actions etc. Part of Delegate management involves some repetitive administrative functions such as: issuing appoint letters, issuing scope increase or decrease letters, initiating mailers for Delegate newsletters/conferences, and providing listings of Delegate s to the public. The primary functions of a Delegate database is to track and monitor Delegate s, Delegate candidate applications, and delegations and to provide reporting capabilities at the regional and Headquarters levels Delegate Designation Number The designation number assigned to a Delegate will be provided by the appointing region or Headquarters, or by the DAO/AEO if the procedures are defined in the approved DAPM. Designation numbers assigned for delegates in a DAO/AEO shall be unique for each delegate and numbers will not be reassigned on
26 Page: 21 retirement of a delegate. Headquarters shall be advised of the numbers assigned to each delegate so that this information can be registered in the Delegations Database. Delegates shall use their assigned Delegate number in conjunction with their signature on all Documents signed on behalf of the Minister. In the case of an AEO or DAO, the DEs shall use both the DE and Delegate number unless the Delegate number is indicated elsewhere in the document.
27 Page: 22 CHAPTER 4. COMMUNICATIONS, LIABILITY AND SURVEILLANCE 4.1 GENERAL COMMENTS The following are some general notes on delegation and the expectation of Delegates. Training Delegate Independence Good Practices Delegate Responsibility when using other engineers Use of TCCA Logos Use of Delegate Numbers TCCA offers training seminars that are available to all Delegates and their attendance is encouraged. It is highly recommended that al Delegates attend the TCCA Aircraft Certification Course which is mandatory for TCCA employees. The Delegate seminar schedule is available on the TCCA Web Site. A Delegate must have adequate time to perform his or her assigned duties and to adequately represent the Minister. The Delegate should have a general knowledge of the overall Delegate system and TCCA certification procedures so that the Delegate and TCCA can work together as a team. A Delegate, while acting for TCCA, is expected to be guided by "good practice" principles in exercising the duties of a Delegate. "Good practice" is developed through experience and know-how over the years, and carries with it a high degree of confidence. Good practice exemplifies what has been shown to be reliable and satisfactory. The Delegate may use as many experienced engineers as needed to completely evaluate engineering technical data; however, the Delegate accepts the responsibility for approving the technical data when signing the TCCA Form AE-100. A Delegate may decline to approve any or all portions of the technical data, and may forward such data to TCCA for approval. In such instances, the Delegate must specify reasons for not approving the technical data. A Delegate should communicate early and often with TCCA counterpart. TCCA does not authorize any Delegate to infer that he or she is a TCCA employee or to use the Transport Canada, or associated logo on things such as: business cards, letterheads, facsimile covers, document covers, or any other business forms. Delegates shall not use their Delegate identification number when signing company or personal reports, drawings, service documents, or letters unless that signature is in respect of a finding being made on behalf of the Minister. This ensures that the Delegates signature on such documents does not constitute TCCA approval. 4.2 COMMUNICATIONS A delegates primary contact point is with their cognizant regional office or Headquarters, whichever initially appointed them. It is general delegation policy that if a delegate appointed in a region has a requirement to communicate with Aircraft Certification staff in Headquarters or another region that this communications should be coordinated through the regional (appointing) office Delegates Who Operate in Other Regions If a Delegate undertakes modifications or repairs on an aircraft normally located in a region other than their region of appointment, their Region Manager Aircraft Certification will issue the approval number and will notify the RMAC in the region where the aircraft is normally located. This notification could be through provision of a copy of the AWM Chapter 513 Certificate and/or the TCCA AE-100 form. A Delegate may
28 Page: 23 undertake a project with a Region other than their own provided that there is prior discussion between the Regional Managers. In this instance, the approval number will be issued by the Region responsible for the project Projects Involving Multiple Delegates Delegates may undertake approval projects involving multiple delegates providing all of the involved Delegates have procedures that address multiple delegate projects in their EPMs. The responsible region would normally be the Region of the delegate acting as project coordinator Coordination of Flight Test Flight Testing required in support of a certification program should be coordinated with the Aircraft Certification Branch Flight Test Division through the applicants Regional office. ACSI 43 details the Regional Flight Test Procedures for Regional Approvals. 4.3 CHANGE OF ADDRESS Whenever a Delegate has a change of address, or a designation is canceled, the appointing region or Headquarters must ensure that the Delegations Database maintained in Headquarters has been updated. It is the delegates responsibility to advise their appointing region of their new address on change. Headquarters will use this notification to ensure that any subscriptions to guidance material in the Delegates name has been canceled. 4.4 DISPUTE RESOLUTION If a dispute arises between a Delegate and TCCA, an issue paper should be utilized to document the issue, background, discussion, and the respective positions. A sample issue paper format is shown in Appendix B. In most cases the process of writing down the issue and clarifying the respective positions is likely to lead to resolution of the dispute. If the matter cannot be resolved at the Regional level with the RMAC then the Chief of Engineering or Flight Test in Headquarters, as appropriate, will act as an arbiter. Every attempt, however, should be made to resolve the issue at the Regional level. In all disputes TCCA reserves the right to make the final decision, and delegates shall abide with the TCCA decision. Failure to do so could result in either a reduction in the scope of authority or a withdrawal of delegated authority. 4.5 ACCESS TO INFORMATION The Aircraft Certification Branch has developed an ACSI which answers the question of what is proprietary information and what can be disclosed to a Delegate. This information is provided in ACSI 36 in paragraph 9.1(a) which identifies that manuals specified in AWM section fall under the Access to Information Act - Mandatory Exemption. The following is an extract from the ACSI: 9.0 MATERIAL CUSTODY AND ACCESS 9.1 Section 20(1) of the Access to Information Act states: Information that could reasonably be expected to interfere with contractual or negotiations of a third party and which could be expected to result in material financial loss or gain is a Mandatory Exemption. Therefore, technical manuals supplied by aeronautical product manufacturers, fall under this exemption. The manufacturers with whom Transport Canada deals consider the documents they supply Transport Canada to be proprietary and specifically forbid their disclosure by Transport Canada. Unless a manufacturer has explicitly said that Transport Canada can freely distribute any information they have provided, it should be understood that they deem their material to be proprietary. Notes:
29 Page: 24 (1) Delegates and other members of the public are not TCCA employees and do not enjoy the same privileges as TCCA employees. Both this ACSI and MPL 15 (Appendix A, Access to Transport Canada Documentation) make it clear that no one but authorized TCCA personnel can have access to these materials. Moreover, the Delegations Handbook for Designated Engineers and Design Approval Representatives states: delegates may utilize the non-proprietary holdings of the Airworthiness Technical Reference Centres located in each Region. (2) Manufacturer supplied materials held in the TRC collections, including Type Certificate Dockets, Flight Manuals, Maintenance Manuals, Parts Catalogues, etc., are proprietary, and cannot be disclosed to the public. Access to the TRCs and the proprietary documents they contain is restricted to authorized TCCA personnel. (3) Documents produced by government agencies in Canada or the United States, when not specifically identified as proprietary, can be made available to the public, although any manufacturer-supplied documents to which they refer cannot be provided by TCCA. 9.2 Regulatory documents, periodicals and general reference materials may be viewed and reproduced subject to compliance with copyright rules. 9.3 Manufacturer's data provided in the form of engineering design reports, loads and stress analysis reports, installation drawings, etc., provided to TCCA as supporting documents for aircraft type certification or modification/repair projects, which may be retained in a project docket that is stored in a TRC, should be regarded as confidential and proprietary documents, and thus are subject to the appropriate provisions of the Access to Information Act. 9.4 Any person who is not a TCCA employee, including Ministerial Delegates, having reason to view or obtain copies of the manufacturer's scientific or technical documentation should be advis ed to obtain the required documentation directly from the appropriate manufacturer(s). 9.5 Transportation Safety Board employees will be allowed to view manufacturer manuals but not to borrow them. Photocopying is up to the discretion of the Regional or HQ TRC, subject to copyright rules. 9.6 The TRC s collection contains information that is excluded under the Access to Information Act; therefore, most areas of the collection are not available for public viewing. Civil Aviation personnel must be aware of the restrictions imposed by the Access to Information Act with respect to these collections. 9.7 The technical manuals in the TRC s collection may be required to be produced in court cases involving TCCA personnel. The Access to Information Act does not exempt these technical manuals from such use. However, the primary reason for holding these technical manuals is to make them readily available to the TCCA personnel who use them in the course of their day-to-day activities. Use in court cases can tie up such documents indefinitely. Therefore, TCCA personnel requiring the manuals for use in court cases must identify that use to the TRC personnel. The TRC personnel must then check the manual to confirm that it is complete and up to date, make a copy of either the whole manual or a specifically required part of it, identify it as a certified copy, and provide the copy to the client for use in court. 9.8 Manuals do not have to be provided to a third party whom is neither an employee of the department nor of the company producing the manual, except in response to a subpoena or a notice to produce issued by a Court. Unless such a document is issued by a Court and properly served on officers of the Department, there is no obligation to provide proprietary information to a third party.
30 Page: DELEGATION AND CROWN LIABILITY One question that is usually raised in respect of crown liability is the question if there is any difference in crown liability based on a delegate being located in Quebec versus the rest of the provinces due to the differing legal systems? Are there any differences in the legal systems that could affect crown liability that a delegate should be aware of, and any implications in the performance of their duties as a delegate? In response we note that the Quebec Civil Code contains a concept which is very similar to the common law concept of tort which governs the rest of the Provinces. There are differences between Quebec and the rest of the provinces but it is believed that these do not raise any significant issues for delegates in Quebec. To assess what the differences are this has been review with lawyers who have studied both the civil law and the common law to try to find out what the differences are. These lawyers both agree that although the reasoning may be different between the two types of law as a practical matter, insofar as negligence is concerned, you would likely get the same result if the case is heard in Ontario, under the Common Law, or in Quebec, under the Civil Law. The only difference might be in the amount of damages given but as the government has an indemnification policy this would not normally be a problem. Section 3 of the Crown Liability Act provides that the crown is liable in tort for damages where: a) an employee/agent of the crown commits a tort b) Where there is a breach of duty attaching to the occupation of the property (Occupier s liability) c) The crown is said to be "Vicariously" liable for actions of employees/agents d) The employee or agent may be personally liable. e) mention that negligence is the one you would normally be concerned with. A tort is defined as a "Civil" as opposed to a "Criminal" wrong and the objective is to compensate a person who has been injured by the actions of others. There are numerous Types of Torts - example: a) Negligence (the one we would normally be concerned with) b) Slander c) False imprisonment d) Assault etc. Standard of care is to be that of a reasonable person in a similar position. An engineer must perform to the standard of a reasonably competent engineer in the same circumstances. When considering the standard of care, one must consider the resources that were available to that person at the time. To be found liable there must be: a) A duty of care owed to the person claiming negligence b) A breach of that duty of care c) A breached standard of care expected d) Person(s) has/have suffered damages e) Relationship between damages and negligent act To be found Liable, all of the above conditions must be met. They are not mutually exclusive. The award of delegation is usually provided through a letter/ memo or job description outlining what powers have been delegated to you from the Minister. Whether a delegate is considered to be an agent will depend on: a) whether the person is acting on behalf of the Minister and not his employer (or himself). b) the nature and degree of crown control exerted over a person s performance of his/her functions c) whether the delegate sign a certificate /approval on behalf of the Minister
31 Page: 26 Legal assistance and indemnification is provided if the delegate/tcca employee (even if the agent was found negligible..): a) Acted within the scope of their duties b) Acted honestly and without malice c) Did not initiate the action Where the employer/employee is notified of a possible claim, it is Treasury Board Policy to: (1) provide a Lawyer, and (2) pay any damages awarded against an employee. Additional information on liability can be found in the Transport Canada publication TP titled Liability through the exercise of Delegated Authority. 4.7 SURVEILLANCE Post Appointment Monitoring Each appointed Delegate should be subject to a period of monitoring and support by the associated Core Delegate. For example, a minimum period of one year is envisaged with formal quarterly reviews taking place between the Core and recently appointed Delegates. During each review, the Core Delegate will review a sample of the approvals accomplished by the Delegates. Feedback will be provided to the Delegate on the quality of the approvals and action required to correct any deficiencies identified. Records of the quarterly reviews will be maintained for review. During the monitoring period, the newly appointed Delegate should be encouraged to continue develop contacts with Transport Canada personnel. Demonstration of satisfactory performance will be required in order to terminate the monitoring process DELEGATE AUDITS To ensure the integrity of the delegation system and the findings made by individual Delegates, it is essential that a DAO/AEO conduct scheduled self audits, and that TCCA conduct period audits of the DAO/AEO or DAR. This is described in subsections and The Delegate will make available the necessary facilities including, work facilities for TCCA audit team members, access to the Regulations, Standards and Advisories utilized by the Delegate and all the Records as requested by TCCA. Upon formal notification of the audit findings, a written response should be provided to TCCA within a time period acceptable to TCCA. The response should include corrective actions for non-compliance findings and timetables for their implementation. All findings shall be resolved in a time period acceptable to TCCA Delegate Self Audit AEOs and DAOs shall include procedures in their approved DAPM or EPM for conducting a self audit in accordance with the requirements of AWM Chapter 505. To paraphrase AWM Chapter 505, it states that Upon request, permit the Minister to inspect facilities, products and records of the organization/delegate and that the DAPM/EPM must provide A description of the system used by the applicant for auditing the performance of the design approval organization. These procedures shall as a minimum: a. Identify AEO/DAO manager/authority responsible for the audit; b. Indicate the frequency of audits; c. Indicate extent of audit; d. A requirement that the findings be documented in an audit report and retained; e. Indicate distribution of the audit reports; and
32 Page: 27 f. A requirement that a Corrective Action Plan be developed and implemented to address the deficiencies noted in the Audit Report TCCA Audit There are three types of audits conducted on Delegates, the Initial or Certification, the Special Purpose and the Comprehensive. The Initial or Certification Audit should be carried out within six months after initial authorization of the Delegate. The Special Purpose Audit may be conducted if risk indicators are present. The Comprehensive (Specialist) Audit shall be carried out on a reoccurring basis as required by the Frequency of Inspection Policy Document. The Comprehensive Audit may be carried out as part of a Combined Audit. All audits will be conducted in accordance with procedures outlined in the Manual of Regulatory Audits. The convening authority for the audits will be the Aircraft Certification Branch Director, Regional Manager Aircraft Certification, the Regional Director Civil Aviation or the Director General Civil Aviation as appropriate. The audits will determine if the Delegate has been complying with the EPM/DAPM, CARs, AWM, Airworthiness Directives, ACSIs and ACPLs. Findings from the audits will be documented in an Audit Report. Delegates shall prepare a Corrective Action Plan in accordance with the Manual of Regulatory Audits to address the deficiencies noted in the Audit Report. Delegates shall give TCCA personnel access to their facilities and records for surveillance and audit purposes.
33 Page: 28 CHAPTER 5. AIRWORTHINESS CONTROL PROCEDURES 5.1 TYPE CERTIFICATION PROGRAM FEE COLLECTION Fees shall be collected by Headquarters and Regional Aircraft Certification personnel, including delegates, in accordance with ACPL 19. ACPL 19 provides clarification regarding the implementation of CAR 104 with respect to the methodology used to establish the fees for aeronautical product type certification programs and the associated collection requirements. Civil Aviation Directive Number 3 titled Recovering The Incremental Costs of Providing Services Inside/Outside Canada has been published to standardize the approach to recovering the incremental costs of providing Civil Aviation services inside/outside Canada. In respect of Aeronautical Product Approval fees, CAR (1) Subject to subsection (2), identifies the charges imposed in respect of the issuance, renewal, amendment or endorsement on or after January 1, 1998 of a document referred to in column I of items 1, 3, 4, 5, 7 and 8 of Schedule V, Aeronautical Product Approvals. 5.2 RECORDS MAINTAINED BY DELEGATES AWM Chapter 505 states the following with respect to records: (a) Each DAR/DAO/AEO shall maintain, at his/her ordinary place of business, current records containing, for each aeronautical product for which design data has been approved, a technical data file that includes any data and amendments thereto including drawings photographs, specifications, instructions and reports necessary for the substantiation of the design approval. (b) Each DAR/DAO/AEO shall record by make, model and where applicable, serial number, those products for which design data has been approved by that DAR/DAO/AEO. (c) No person shall dispose of any data file described in subsection (a) and (b) without the written approval of the Minister. This indicates that each Delegate must agree, by written procedure in the approved EPM/DAPM, to keep project files or records for every exercise of delegated authority as required by AWM Chapter 505. Delegates must allow representatives of the Minister to inspect the records upon request. Upon cessation of business or upon the death of the delegate, the RMAC or Chief of Engineering should be contacted regarding disposition of the project files or records. Data contained in the project files or records supporting findings of compliance or recommendation for approvals made by Ministerial Delegates or Representatives must be archived in the Government of Canada archives. 5.3 APPLICATION FOR MODIFICATION OR REPAIR APPROVAL Modification Application Form (Form # ) An application for the issuance of an STC (issued by TCCA), LSTC, or RDC certificate per AWM Chapter 513 shall be made using TCCA form # or an equivalent form that is acceptable to the Minister and is included in the delegates approved EPM/DAPM. Delegates are required to apply for approval numbers from their Regional Manager or to notify TCCA when approval numbers are used from an allocated block of approval numbers. The TCCA Modification Application as a minimum must contain the following information: a) Name and address of the applicant;
34 Page: 29 b) Name and number of the delegate; c) Name and address of the proposed certificate holder, if different from a); d) Make and model of the aeronautical product; and, as applicable: i) Registration ii) Serial number; and iii) Type Certificate number e) Request for STC/LSTC/RDC or revision to previous; f) Proposed applicable standards for the approval of the change; Note: The proposed applicable standards shall be developed using the CPR procedures and the advisory material in AMA 500/16, the policy material in PL and the procedural guidance which is to be published as SI g) Title and description of the change; h) Documentation to be provided; i) Approval responsibility; and j) Applicant s agreement to pay prescribed charges. Form # is available from the Regional Aircraft Certification offices and Headquarters and includes instructions concerning its completion. The completed form is normally submitted to the Regional Aircraft Certification office in the geographical region of the applicant Time to Submit Data Package Unless otherwise discussed and agreed to with the RMAC, the Delegate shall submit a documentation package within 30 days of the effective date of the approval. The contents of the approval documentation package shall also be discussed and agreed to with the RMAC, and should consist of the agreed to material. At a minimum it should normally consist of: a. Index of Compliance or Compliance Program; b. Approval Certificate; c. Statement of Compliance; d. Top Drawing; and e. Data substantiating compliance for any non-delegated items. The content and timing of submittals is to be discussed and agreed to with the RMAC. Delegates may be required to submit in addition to the foregoing all analyses, reports, drawings and test data Minimum Content of Approval Document A Repair Design Certificate or Limited Supplemental Type Certificate must be issued for approvals processed in accordance with AWM Chapter 513, and must use approval numbers issued by the Region. An AE-100 Form will not be accepted as an approval document, however it must be used to make a statement of compliance and accompany the appropriate AWM Chapter 513 certificate Configuration Control Design Approval holders must exercise a system that controls the configuration of the Type Design. Documents relating to the approval such as those detailing the Type Design should be stamped and signed to indicate the type certification configuration using a stamp supplied by the Delegates. The size of the stamp is 5 cm X 5 cm and the format of the stamp is as indicated in the following figure.
35 Page: 30 CANADA DEPARTMENT OF TRANSPORT AIRCRAFT CERTIFICATION BRANCH FEB APPROVED BY CERTIFICATE NO. ISSUE NO. 5.4 JOINT DAR/TCCA APPROVAL PROJECTS For Joint DAR/TCCA approval projects, in addition to the documentation required in a modification or repair approval application form, the following documentation shall be submitted with a request for review and approval: a. (Draft) LSTC, STC or RDC document; b. AE-100 Form Statement of Compliance (DAR-signed original, indicating delegated data approved, other data recommended for TCCA approval; c. Compliance Program (delegated elements signed off, other elements recommended for sign off); d. (Draft) Flight Manual Supplement (if applicable); and e. (Draft) Maintenance/Repair Manual Supplement. 5.5 APPROVAL CERTIFICATE COMPLETION Approval Certificates LSTC, STC and RDC approval certificates specified in AWM Chapter 513 should be used by Delegates for all modifications and repairs not covered by a TC. The certificates used should be those provided by the regional offices in paper or electronic format, or if developed by the Delegate the certificate must be indistinguishable from a certificate issued by TCCA. Electronic templates provided by TCCA, or certificate photocopies may be used to generate certificates Certificate/Form Completion AWM Chapter 513 certificates must be completed in accordance with the repair design approval procedures presented in ACSI 22. The certificate must contain a red wafer which has been embossed with the TCCA seal. Delegates may obtain the die for the TCCA seal from: Capital Stamp 465 Gladstone Avenue Ottawa, Ontario K1R 5N7 phone (613) fax (613)
36 Page: 31 For ease of ordering, the die is referred to as the standard TCCA seal and has been given part number by Capital Stamp. The format for the seal is as indicated below TCCA AE-100 Form, Statement of Compliance Copies of properly completed AE-100 Statement(s) of Compliance should be submitted for each approval project. The form should clearly indicate: a) the Delegate functional specialty and Delegate number; b) the project approval number; c) each relevant test report number, title and the applicable airworthiness requirements for which a finding of compliance is being made or recommended; and d) signature indicating Delegate approval or recommendation for approval. Note: The following material on the TCCA AE-100 Form may change based on the outcome of the AWM Chapter 513 Certificate and Statement of Compliance form Working Group review findings. The Delegate's only means of providing a statement of compliance for technical data is through the use of the TCCA AE-100 Form. The AE-100 Form is to be used only for the provision of a statement of compliance and not as an approval document in place of an AWM Chapter 513 certificate. N-AME-AO 45/68 was the original TCCA policy document that permitted delegates to use an AE-100 form as a means of recording a design approval, in conjunction with making a statement of compliance. Currently, AMA 505C/1 states that the AE-100 form may be used as "an instrument of design approval as well as indicating compliance" providing certain criteria are met. When AWM 513 was originally promulgated it was intended to replace this practice by requiring the issue of an approval certificate, i.e., L/STC or RDC in accordance with AWM 513 criteria. A Repair Design Certificate or Limited Supplemental Type Certificate must be issued for approvals processed in accordance with AWM 513 and utilizing approval numbers issued by the responsible region. Consequently, the use of an AE-100 form as a means of recording an AWM Chapter 513 approval is to be discontinued. The AE-100 form may still be used by delegates to make the necessary statement of compliance and/or recommendation to a region for the issue of the required STC, L/STC or RDC certificate for which a delegate may not hold the required delegation. An example of the current AE-100 Form is found in Appendix 2 of AMA 505C/1, and the following bullets highlight information to be included on the form. Date The date entered in the date box in the upper right corner of the form is the date the Delegate made the finding that the listed data complied with the
37 Page: 32 Data List Unapproved Data Approve / Recommend Approval of these Data Applicable Requirements Compliance Basis Certification applicable requirements. In the "List of Approved Reports and Data" block, the Delegate must indicate exactly the extent of the approval. The Delegate must reference all data covered by the approval: drawing numbers with change letters, report numbers with revision levels, and dates, etc. Indicate any data that the Delegate cannot or chooses not to approve by a separate listing with the notation: "TCCA APPROVAL REQUIRED." If such listing of unapproved data is very voluminous, then a statement clearly indicating the extent of approval or non-approval is sufficient, e.g., "Structural Aspects Approved Only -- No Approval of Electrical Data" or similar statements. The use of "Approve" on the TCCA AE-100 Form can only be done by those Delegates whose letter of authorization indicate that they have the appropriate scope to make the finding. When a Delegate has the authority to "approve" but only "recommends approval," the Delegate must explain, in writing, why the data was not approved. In the "Requirements and Status" block of the TCCA AE-100 Form, the Delegate shall list all applicable regulations and identify by paragraph and subparagraph. If the list is too long to be included on TCCA Form AE-100, additional sheets or an attachment of the certification basis/gcp may be included. It must be clear from the list the exact regulation(s) paragraphs, subparagraphs, or other appropriate airworthiness requirements with which the data comply. Merely indicating "structural regulations" or other generalizations is insufficient. The Delegate's signature, typed or printed name and identification number in the "Certification" block of the TCCA AE-100 Form constitutes the Delegate's approval of the technical data. The following notes apply to the AE-100 Form: a) Certification Activities. The Delegate will send copies of all TCCA AE-100 Forms to the project manager at TCCA. b) Maintaining File. The applicant is responsible for maintaining a file containing copies of all TCCA AE-100 Forms submitted to TCCA and any associated data. c) Omissions and Errors. Careful preparation and use of TCCA AE-100 Form is important. As omissions and errors in approvals can cause delays in certification programs. Some of the more common omissions and errors are: i) Failure to sign form; ii) Failure to include revision levels or dates with the drawing numbers, reports, etc., listed; iii) Failure to include drawings or drawing lists on TCCA Form AE-100 as a listing of the drawings approved; iv) Failure to specify those portions of the data approved, and those portions of the data that TCCA must evaluate; v) Failure to check the "recommend" or "approve" box; vi) Failure to submit the original TCCA Form AE-100 to the project manager; vii) Failure to reference specific REGULATION(S) sections in the "Requirements and Status" block;
38 Page: 33 viii) ix) Failure to approve data only within the Delegate's delegated functions and authorized areas. Failure to properly identify the make of the aircraft as it relates to the existing TC holder; i.e. for restricted category aircraft, the Delegate should not list the original manufacturer s name STC Approval Document The issue of an STC (Form # ) signifies that the technical design data for a modification or repair is approved and the certificate forms part of the aeronautical product type design, when the subject design change is incorporated LSTC Approval Document The issue of an LSTC (Form # ) signifies that the technical design data for a modification or repair is approved and the certificate forms part of the aeronautical product type design, when the subject design change is incorporated. Where the modification is intended for incorporation in a limited number of products of a type as opposed to all products of a type, the approval document is known as a LSTC. In this regard the term "limited" refers only to the limitation with respect to the serial numbers to which the approval applies, and does not signify an operating "restriction" on the modified product RDC Approval Document The issue of an RDC (Form # ) signifies that the technical design data for a repair is approved and the certificate forms part of the aeronautical product type design, when the subject design change is incorporated. An RDC may be issued to record the approval of process repair schemes that are alternate to those repair schemes developed by the manufacturer of the aeronautical product for the purpose of component overhaul or repeated repairs. 5.6 TEST PLANS A Delegate cannot approve test plans, unless specifically indicated in their letter of authorization, but should provide a recommendation for a statement of compliance in the submittal to TCCA. TCCA may delegate test plan approval on a case-by-case basis. Flight test plans should be coordinated with the Aircraft Certification Branch Flight Test Division. 5.7 TEST WITNESSING A Delegate must obtain confirmation of authorization from the TCCA Project Manager prior to witnessing a test as TCCA representative or making a statement of compliance for any test data on behalf of TCCA. When obtaining this prior confirmation, the Delegate must: Purpose of Test Coordination With TCCA TCCA Participation Conformity Inspections Tests Requiring Delegate Witnessing Define whether such tests are to show compliance with specific certification requirements (official TCCA test), or to collect test data as part of the overall substantiation effort. Determine whether TCCA wishes to witness these tests. Discuss with the responsible Regional Manager, or Headquarters specialist, tests involving controversial qualitative judgments to define the extent of participation by TCCA. Verify that the necessary TCCA conformity inspections have been accomplished prior to conducting type certification tests. The Delegate is not required to witness an entire test to approve the test data. However, the Delegate should witness those portions of the test dealing with critical conditions to insure that all the data are valid. When a
39 Page: 34 Approval of Test Data Delegate approves test data, the Delegate is indicating that those portions of the test dealing with critical conditions have been witnessed by the Delegate, the test was conducted in accordance with TCCA approved test program, and the data are official test results. A Delegate who is not authorized by the cognizant Regional Manager or Headquarters to approve test data may be authorized to recommend TCCA approval of test data within an TCCA approved test program. 5.8 FLIGHT TEST PILOT DELEGATES A flight test pilot Delegate is required to perform all tests on which the Delegate intends to make a finding of compliance or issue a statement of compliance, or a recommendation for the data. The extent and conduct of the overall flight test plan must be coordinated with the TCCA Flight Test Division in Headquarters which has overall responsibility for all flight test pilot delegates. When a flight test pilot Delegate makes a statement of compliance or a recommendation, the Delegate is indicating that the Delegate performed the tests, the tests were conducted in accordance with the approved test plan, and the data are official test results. For information on the various flight test delegate categories and the authority of each, see section REVISIONS TO STCs, LSTCs, AND RDCs Minor changes may be made to approved data by a Delegate without notifying TCCA. Major changes to approved data may also be made by the Delegate provided that both the original approval and the change are within the Delegate s Scope of Authority. The Delegate shall issue a new AE-100 form to reference the revised data. If any of the information on the certificate is no longer valid as a result of the changes, a new approval certificate will also be issued. Delegates shall notify TCCA of all major changes made to Design Approvals unless alternate procedures have been agreed upon with TCCA and are documented in the EPM/DAPM. Major changes to approved data that are either outside the Delegate s Scope of the Authority or affect a joint Approval shall be submitted for TCCA Approval MODIFICATION OR REPAIR OF FOREIGN REGISTERED AIRCRAFT A Delegate may undertake a repair or modification of a foreign registered aircraft when there is a Canadian Type Certificate or accepted Type Certificate and the RMAC is consulted. An LSTC or RDC may be issued. The Delegate or aircraft owner will advise the responsible foreign Civil Airworthiness Authority (CAA) of the work being undertaken. The CAA may require the validation of the approval prior to the issue or reinstatement of the flight authority. Note: Each person who performs a repair or modification to a foreign aircraft or aeronautical product under the terms of an agreement between Canada and the aircraft s state of registry, or who signs a maintenance release in respect of such a repair or modification, shall ensure that the repair or modification conforms to the requirements of technical data approval or acceptability, as the case may be, that are specified in the agreement FINDING COMPLIANCE TO FOREIGN REGULATIONS TCCA may authorize a Delegate to make compliance findings to specific foreign regulations delegated to TCCA by a foreign Civil Aviation Authority. The Delegate will provide the statement of compliance to TCCA using the AE-100 form. The substantiating data must be provided to TCCA if a statement of
40 Page: 35 compliance is only recommended by the Delegate. The substantiating data must be made available to TCCA if the statement of compliance is provided by the Delegate DND MODIFICATION APPROVALS ACPL 31 has been prepared for Aircraft Certification personnel, including delegates, looking for information on TCCAs position regarding the approval of modifications intended for installation on military aircraft operated by the Department of National Defence (DND). Canadian Aviation Regulations (CARs), more specifically CAR (a), which came into effect in 1996, stipulates in part that Canadian regulations "do not apply to military aircraft of Her Majesty in right of Canada where operated under the authority of the Minister of National Defence." Given the restrictions imposed by CAR (a), the prevailing resource constraints, and TCCAs inability to monitor the continuing airworthiness for non-civil registered aircraft, TCCA will no longer support applications for the approval of modifications exclusively intended for DND-operated aircraft CONTINUING AIRWORTHINESS Delegates shall be familiar with their continuing airworthiness responsibilities and ensure that their EPM/DAPM contains procedures to inform certificate holders of the issue of approvals and their associated responsibilities in accordance with AWM Chapter 513. ACSI 22 provides a sample letter that could be forwarded to certificate holders to advise them of certificate issuance and their responsibilities towards continuing airworthiness and SDR reporting Service Difficulty Report Any service difficulty will be reported in accordance with the requirements of AWM 591 and ACSI 44 using Form # Specifically, this report will include: a) Any service difficulty will be reported to TCCA within 48 hours after it is discovered, except in the case of a reportable problem discovered on a weekend or a holiday. In such a case, the report will be submitted at the beginning of the next business day or within the 48 hours of being discovered, whichever is later; b) It will be determined if the service difficulty has been reported by an operator or other organization; c) A TCCA Service Difficulty Report Form ( ) will be submitted to TCCA containing all pertinent information and will be submitted for each occurrence of a reportable service difficulty; d) Where all pertinent information required for the service difficulty reporting is unavailable in the time frame allowed above, an interim report will be submitted within the specified time to TCCA. Within 14 days of the submission of the interim report, a full report will be submitted; and e) If TCCA decides that an Airworthiness Directive is required to rectify the deficiency which may be related to either safety or compliance, all technical data necessary for TCCA to issue the Airworthiness Directive in question will be provided.
41 Page: 36 CHAPTER 6. PROCEDURES MANUAL Sections 6.1 through 6.3 provide guidance on the information that should be included in an EPM or a DAPM. While section 6.1 address content that should be in all DAR manuals, section 6.2 adds specific details on information that should be included in a flight test DARs manual. 6.1 PROCEDURES MANUAL CONTENT Philosophy Each applicant for a delegation of authority is required to submit a procedures manual, whether it is an EPM or a DAPM depends on the actual applicant. The procedures manual is the cornerstone of the delegation system as it provides a complete framework within which an AEO, DAO, or DAR will exercise authority delegated by the Minister. The Engineering Procedures Manual for a DAR describes both policy and procedures for the performance of the delegated functions and will be used to: a) document compliance with AWM 505C; b) define the Responsibilities, Privileges and Limitations of the delegation of authority; c) provide information on the procedures governing the conduct of the delegated and related functions; d) identify communication procedures with TCCA; e) enhance the efficiency and effectiveness of the aeronautical product approval process; and f) promote a shared commitment to aviation safety. While the manual provides the framework for delegation, it does not normally entitle the Delegate to exercise Ministerial delegation of authority. This delegation will be exercised as directed by TCCA on a case by case basis, and normally by means of a compliance program. Other mechanisms that may be employed include conditions established by TCCA at the time of issuance of approval numbers to the Delegate. AWM Chapter 505, Sections 107, 207 and 407 list specific requirements for procedure manuals for AEOs, DARs and DAOs respectively. However, other subchapters of AWM 505 require information or procedures which should be included in the EPM or DAPM. While the structure of manuals for delegates in a DAO or AEO will be similar to that of a DAR, the contents will reflect the corporations individual design activities, capabilities, resources, personnel and procedures. The structure of each manual (EPM or DAPM) will share many similarities as noted in the following table where sections 1 through 3 are the same, with the DAO/AEO having a requirement for three additional sections. DAR (EPM) DAO (DAPM) and AEO (EPM) 1. Delegate information and commitment 1. Delegate information and commitment 2. Airworthiness Control Procedures 2. Airworthiness Control Procedures 3. Scope of Authority 3. Scope of Authority 4. ACC Procedures 5. Self Audit 6. Nomination and Appointment The philosophy adopted by TCCA for the development of a new EPM/DAPM is to reduce the amount of redundant information that is presented in each manual when there are standard procedures or guidance that exist and could present this information. To achieve this reduction the manual content requirements
42 Page: 37 have been reduced to those aspects which are delegation specific, with the remaining requirements covered through adoption of this handbook by the delegate as part of the delegates EPM or DAPM. Those procedures which a delegate may use which are unique are still to be documented in their manual in section 2.0 under a section for Special Procedures Description The principal items which must be addressed in a DARs EPM manual are listed in the following table which is extracted from the Sample EPM provided in Appendix D: TABLE OF CONTENTS EPM APPROVAL PAGE DELEGATION OF AUTHORITY CERTIFICATE REVISION APPROVAL PAGE LIST OF EFFECTIVE PAGES SECTION 1: DELEGATE INFORMATION AND COMMITMENT 1.1 Purpose of Engineering Procedures Manual 1.2 Appointment 1.3 Business Address 1.4 Authorization Commitment Control of Delegated Privileges Resources 1.5 Acronyms 1.6 References 1.7 EPM Distribution SECTION 2: AIRWORTHINESS CONTROL PROCEDURES 2.1 Coordination Procedures Operating in Other Regions Operating with Other Delegates Multiple DAR Approval Projects Joint Programs with a DAO or an AEO Subcontracted Engineering Support 2.2 Special Procedures PAC Engineering Service Bulletin Document Distribution SECTION 3: SCOPE OF AUTHORITY 3.1 DAR Authorized Functions 3.2 Limitations 3.3 Overlapping Responsibilities 3.4 Change to Authorization 3.5 Duration of Authorization APPENDIX A: Completed AWM 505C Compliance Checklist APPENDIX B: Functional Matrix - Structures Specialty APPENDIX C: Specialty Delegation Matrix - AWM 525 APPENDIX D: Letter of Authorization APPENDIX E: PAC Engineering Service Bulletin
43 Page: 38 Those items shown in bold in the above table of contents are those special procedures that are unique to the delegate in the Sample EPM, and would be replaced in another delegates manual with material that would apply to that delegate. A manual submitted by a DAO or an AEO would also include sections on their Airworthiness Control Committee, self-audit procedures, self-appointment/nomination procedures, and other aspects that may be unique to the DAO/AEO and deemed significant by the Regional Manager or Headquarters reviewers, as appropriate. The following provides some general guidance on EPM content for each section shown in the above table of contents. Purpose of Engineering Procedures Manual The purpose of the EPM should be stated here, and it is to document compliance with AWM Chapter 505, Subchapter C for DARs, and those procedures that will be followed by the delegate. Appointment This section will identify the delegate by name and will describe the functional specialty of the delegate. It will identify how the functional specialty is defined via the letter of authorization and the manual. Business Address The address of the applicants ordinary place of business. The ordinary place of business is considered to be the location where the delegation will be exercised and where the substantiating records are kept. If in the case of a corporate delegate this is a different location, to the corporate Headquarters, each location should be identified. In the case of an AEO or DAO the applicant is the corporation. Authorization - Commitment This section is to provide the statement of commitment by the delegate to exercise the delegation of authority following some basic principles. It is expected that the commitment shown in the sample EPM would be tailored as needed in each specific case. A key aspect of the commitment is to adoption of the handbook as forming part of the manual. For the Design Approval Representative a statement is required that he/she understands and accepts the responsibilities and obligations associated with the exercise of the authority delegated by the Minister. For a DAO/AEO a senior Officer of the Corporation who can commit on behalf of the Directors is required to provide a written commitment to provide the necessary resources, authority and knowledgeable staff to enable the delegated organization to accomplish regulatory responsibilities in an effective manner. Authorization - Control of Delegated Privileges This identifies how the delegation will be controlled and how configuration control will be maintained. It identifies what procedures will be followed and commits to the use of the handbook. Authorization - Resources This section identifies how and when resources committed to will be available to support a program and performance of delegated functions. It identifies what resources will be available. Acronyms Identify any acronyms used in the manual. References Identify any references made to other documents, and list documents that are applicable to the performance of the delegation. If a delegate has documented procedures that are applicable to the performance of the delegation, then those procedures should be referenced here. EPM Distribution Identify who will receive controlled copies of the EPM. If there are any unique provisions for manual update provision, these should also be noted.
44 Page: 39 Coordination Procedures - Operating in Other Regions This is to commit to the procedures in the handbook and to identify the communications procedures that will be used in other regions (i.e. communications through RMACs, etc.). Would address how communicating and coordinating approvals with TCCA would be handled when dealing within the region and with another region or specialists in Headquarters. Coordination Procedures - Multiple DAR Approval Projects This is to outline procedures to be used when working with multiple delegates on an approval project that is complex. Would address who would be responsible for communicating and coordinating approvals with TCCA. Describes how the statement of compliance would be made using the TCCA AE-100 form. Coordination Procedures - Joint Programs with a DAO or an AEO This section will identify those procedures that will be followed when a DAR (or a smaller DAO/AEO) works on a project with a DAO or an AEO. It will confirm that the applicants manual will be the overall manual but that the other delegates must work within their approved scope of delegation. Any special procedures will be outlined here. Coordination Procedures - Subcontracted Engineering Support This section will identify what responsibilities are retained by a delegate when the delegate subcontracts work. Delegate retains responsibility for making the finding within their scope. Special Procedures This section will identify whatever procedures that a delegate may use that are not address in the handbook, or the delegate uses an alternate means than is described in the handbook. If there exists delegate unique procedures they should be referenced here. The intent is that whatever procedures a delegate uses they should be documented in either this handbook or in the manual. DAR Authorized Functions This section identifies the functional specialty of the delegate and the functions the Delegate may perform on behalf of the Minister. These functions would normally include making findings of compliance using a statement of compliance and could include the issuance of AWM Chapter 513 certificates. The authorized functions could be limited to certain aircraft types and specified airworthiness standards. This is discussed and agreed to between the delegate and the RMAC. Limitations This section identifies the specific limitations to the individuals delegation. It could be as simple as a pointer to the handbook if all limitations identified in it were applicable or it could be a list of limitations to the individual functional specialty. This is discussed and agreed to between the delegate and the RMAC. Overlapping Responsibilities This section identifies if there are overlapping areas of responsibility in a delegates functional specialty those aspects for which the delegate has responsibility. Change to Authorization Identifies that any change to authorized scope will result in a change to the EPM. Duration of Authorization Strictly identifies how long the delegation is effective. 6.2 Flight Test Delegates Procedures Manual Flight Test Delegates are also required to prepare and submit an EPM or a DAPM (if a DAO or an AEO) that meets the content requirements of section 6.1 above. However, in addition to the above material, there is some additional guidance on required content, as per the following notes, which should be incorporated into the format discussed in section 6.1.
45 Page: 40 Manual Approval: The EPM or DAPM in respect of a flight test delegate is approved by the Chief, Flight Test, from the Aircraft Certification Branch in Headquarters. Manual Distribution: A copy of the approved EPM or DAPM should be forwarded to the Aircraft Certification Flight Test Division in Headquarters for review. DAR/TCCA Communication Communications with TCCA on certification projects will normally be initiated and conducted through the applicable Regional Office. In instances where questions arise regarding regulatory interpretation or acceptable means of finding compliance, the appropriate specialists in Airworthiness Flight Test will be contacted for guidance. DAR Authorized Functions The flight test DAR functional specialties are identified in section 3.3, while a sample of the delegated airworthiness requirements for which findings of compliance may be made are identified in the Specialty Delegation Matrices presented in Appendix C. The specific delegated requirements would be determined through discussion between the candidate and the Flight Test Division of the Aircraft Certification Branch. Overlapping Responsibilities For projects and requirements where a clear demarcation of responsibility is not possible and certain overlapping of functions between specialties exist (e.g. Test Pilot, Flight Analyst, structures, powerplants, mechanical systems, avionics and electrical systems), the DAR is responsible only for the flight test and/or flight test analysis aspects of an approval. The DAR Test Pilot's signature may be required in conjunction with delegates in other technical disciplines for specific requirements that use flight test as the method of compliance. For example, if sufficient flight test instrumentation is not installed, the DAR's signature would be required to verify test conditions and test results. The necessity for this involvement will be identified in the General Compliance Program. Flight Test Programs The Compliance Program will identify when flight tests are required to demonstrate compliance with specific airworthiness requirements. The DAR will be responsible for ensuring that the appropriate qualitative and quantitative flight test assessments are made by a technically qualified crew in a properly configured aircraft with sufficient test instrumentation and recording capability for the intended test. TCCA Aircraft Certification Branch Flight Test Division will be consulted as necessary on the extent of flight test programs as well as acceptable means of compliance. Test Plans The delegate will contact TCCA prior to each program to determine the requirement for a formal flight test plan. Proposed test plans will be submitted to TCCA for review. The test plan will provide the following information: a) The applicable airworthiness requirements; b) The test configuration and its relationship to the configuration to be approved; c) Test equipment and instrumentation; d) Test conditions and test procedures; e) Test data analysis methods (if applicable); and, f) Flight authority required (if applicable). Test Plan Acceptance, Conformity Inspection and Flight Authority Unless otherwise instructed by TCCA, actual testing will not commence until acceptance of the proposed test plan by TCCA. Furthermore, all required conformity inspections will be successfully performed and appropriate flight authority obtained prior to the actual testing.
46 Page: Procedures Manual Revision The following provisions and procedures should be considered when revising an EPM/DAPM. Approved revisions should be recorded in the Revision Record Approval Sheet and incorporation of the revision should be entered into the Record of Revision Entry, and Revision Details and Pages Affected TCCA Approval TCCA approval of revisions to the EPM and the DAPM is generally required. However, if guidelines and procedures are incorporated in the TCCA approved EPM/DAPM then those specified class of revisions may be approved by the Delegate/DAO on TCCAs behalf. These manual revisions may be initiated by either the Delegate or TCCA Delegate Proposed Revision For Delegate proposed revisions, copies of the proposed revision should be submitted to TCCA (region or Headquarters as appropriate) including the Revision Record Approval Sheet. In the submittal, all the pages affected by the proposed revision should be listed in the Revision Record Approval Sheet. The revised pages should bear the revision number and the date of the revision and changes should be indicated by margin side bars placed adjacent to the affected paragraphs. After approval by TCCA, the revision should be issued to all manual holders including copies of the Revision Approval Record Sheet bearing the signature of the Chief, Delegations & Quality, or the appropriate Regional Manager of Aircraft Certification, and the approval date. The manual revision will become effective on the approval date. A "Revision Entry Record Sheet" should be used for recording the entry of any revisions approved by TCCA. This sheet should include the revision number, the revision date, and the entry date TCCA Initiated Revision Revisions initiated by TCCA should be implemented in a time period acceptable to both TCCA and the Delegate/DAO.
47 Page: 42 CHAPTER 7. DELEGATE GUIDANCE MATERIAL 7.1 WHAT IS DELEGATE GUIDANCE MATERIAL Delegate guidance material consists of those TCCA developed or specified Airworthiness Regulations, Standards, Airworthiness Manual Advisories, ACSIs, ACPLs, Airworthiness Notices and Delegation Handbook which the Delegate needs to effectively carry out their responsibilities as a Delegate. It is each Delegate s responsibility to obtain and maintain the required material. Physical copies of this material can be requested through the Chief, Delegations and Quality at the telephone number listed in Appendix A Library Each Delegate must have ready access to properly amended and up to date legislation, standards, advisories and related literature appropriate to the authorized functions in accordance with AWM , AWM or AWM Ready access is defined as being available at the Delegates place of business. Documents available through the Internet satisfy this requirement. The minimum holdings a Delegate must have ready access to are as follows: a) Regulatory Standards and Advisories, including: i) Aeronautics Act; ii) Relevant Canadian Aviation Regulations (CARs) and associated Standards and Advisories; iii) Aircraft Certification Policy Letters (ACPLs) and Policy Letters (PL); iv) Aircraft Certification Staff Instructions (ACSIs) and Staff Instructions (SI); v) Relevant Federal Aviation Regulations (FARs) and other foreign regulations appropriate to the aeronautical products within the scope of delegation; vi) Relevant Advisory Circulars; vii) Airworthiness Notices; viii) Relevant Airworthiness Directives; and ix) Index of Airworthiness Directives or a means to search for relevant ADs. b) EPM/DAPM c) Delegation Handbook d) Technical References, including: i) TC and FAA Type Certificate and Supplemental Type Certificate Data Sheets as relevant; ii) Standard handbooks relevant to the scope of the delegation; iii) Manufacturer's publications - as relevant to the specific project; iv) RTCA/SAE/Mil standards - as applicable. Delegates may utilize the non-proprietary holdings of the Airworthiness Technical Reference Centers located in each Region, however, this does not constitute ready access. 7.2 ELECTRONIC DELEGATE GUIDANCE MATERIAL Some Delegate guidance material is available from the TCCA Internet web site identified in section 1.2 "Distribution". The documents identified in section 7.1 and the subsection of 7.2 make up the basic Delegate guidance material. Guidance materials available to delegates and industry can also be found at This includes links to Airworthiness Notices, International Agreements & Arrangements, Master Minimum Equipment Lists, Policy Letters, Regulatory Standards, Staff Instructions, and TCCA Technical Publications. This material is also available through TCCA s Regulatory Standards Division at their Internet web site at:
48 Page: 43 which provides access to: Policies and Procedures ACSI ACPL Domestic Regulations CARs AWM SCAs Exemptions International Regulations ICAO International Harmonization BAA MOU Through this site it is possible to obtain a breakdown of the CARs and AWM chapters which is required knowledge of delegates. 7.3 OTHER GUIDANCE MATERIAL AND FORMS All necessary forms, instructions, and other material not available through the TCCA Internet Web Site should be available through the appointing region or through Headquarters.
49 Page: A - 1 APPENDIX A - TCCA AIRCRAFT CERTIFICATION OFFICES Atlantic Region Quebec Region Pacific Region Prairie and Northern Region Ontario Region Headquarters The TCCA Regional Managers of Aircraft Certification, and the Chief of Delegations and Quality in Headquarters can be contacted at the following addresses and numbers. HEADQUARTERS Derek Ferguson, Chief Delegations & Quality Division (AARDL) Transport Canada 330 Sparks Street, 3rd Floor Ottawa, Ontario K1A 0N8 Phone: (613) FAX: (613) TCCA REGIONAL AIRCRAFT CERTIFICATION OFFICES: ATLANTIC REGION John Ereaux, Regional Manager Aircraft Certification Division (MAI) Transport Canada PO Box 42, 95 Foundry Street Moncton, New Brunswick E1C 8K6 Phone: (506) FAX: (506) QUEBEC REGION Richard Fortier, Regional Manager Aircraft Certification Division (NAI) Transport Canada 700 Leigh Capreol Dorval, Quebec H4Y 1G7 Phone: (514) FAX: (514)
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