AMC No 2 to 21.A.263(c)(5), (8) and (9) Procedure for the approval of a major repair, a major change to a type certificate (TC), or a supplemental type certificate (STC) by a design organisation approval (DOA) holder under their privileges

CAA ORS9 Decision No. 1

This AMC describes the process to be followed in order to obtain and use the privilege to approve ‘certain major repairs’ and ‘certain major changes’ to a TC, and ‘certain supplemental type certificates’ as defined in points 1(b) and 2 of AMC No 1 to 21.A.263(c)(5), (8) and (9).

1. PROCESS FOR OBTAINING A PRIVILEGE

A DOA holder that applies for the privileges referred to in point 21.A.263(c)(5), (8) or (9) should do the following:

(a) Submit to CAA an application for a significant change in the design assurance system (see points 21.A.247 and 21.A.253).

(b) Establish internal procedures for the application of the privilege covering the following elements, and add them to the application:

(1) The definition of the ‘list associated with the privilege’ of certain major repairs/changes/STCs. The ‘list associated with the privilege’ is a list of all ‘certain major changes’, ‘certain STCs’ and ‘certain major repairs’ (or families thereof) plus the associated ‘justification document’ references for which the privileges as per point 21.A.263(c)(5), (8) and (9) have been granted.

(2) A ‘justification document’ for a ‘certain major repair’, ‘certain major change’ or a ‘certain STC’, as applicable. The ‘justification document’ should contain:

(i) The reference(s) to the CAA-approved major change(s), STC(s) and major repair(s), which is (are) used to demonstrate the DOA holder’s experience and performance.

Note: The number of already the CAA-approved major change(s), STC(s) or major repair(s) used to demonstrate the DOA holder’s experience and performance is based on an assessment of the scope of the ‘certain major repairs’, ‘certain major changes’ or ‘certain supplemental type certificates’ which is requested to be added to the ‘list associated with the privilege’, as well as on the performance of the DOA holder during previous projects.

(ii) The certification programme(s) of the major change(s), STC(s), or major repair(s), accepted by the CAA, used to demonstrate the applicant’s experience and performance.

(iii) The applicable product configuration(s).

The applicant should list the type(s) and model(s) to which the major change(s)/STC(s)/repair(s) applies (apply) or may apply. Exceptionally, this may be done for a dedicated product, system or equipment if the type or model has no technical influence on the major change(s)/STC(s)/repair(s),

i.e. when the installation issues are negligible (e.g. the TCAS 7.1 software change for a certain equipment), such a listing is not mandatory, but it needs to be justified.

(iv) The list of ‘requirements’ for the demonstration of compliance, if not identical to the ones referenced in the certification programme.

(v) The certification process, if not identical to the one referenced in the certification programme.

(vi) A detailed description with all the technical data relevant to the installation of the product, the design, the operation and the qualification which ensures the proper use of the privilege for future major changes, major repairs or STCs. This description should include the criteria defining the conditions that should be met in order to apply the privileges.

(vii) Any other limits on the use of the privilege.

(3) The assessment of the acceptability of using the privilege for major repairs, major changes or STCs against the ‘list associated with the privilege’ and the ‘justification document’ of ‘certain major repairs’, ‘certain major changes’ or ‘certain STCs’.

(4) The approval process, including the templates to be used, the authorised signatories, records management and the provision of a ‘summary list’ of major changes, major repairs and STCs approved under the privilege of point 21.A.263(c)(5), (8) and (9). This process should clarify that the approval is issued under the DOA holder’s privilege.

The persons authorised under the privilege of point 21.A.263(c)(5), (8) and (9) should be identified by their names, signatures and scopes of authority in the appropriate documents and referenced in the procedure.

A ‘summary list’ of all the major changes, STCs and major repairs approved under a privilege should be provided to the CAA on a regular basis, as agreed with the CAA.

(5) Extension of the ‘list associated with the privilege’ after the privilege is granted.

After the granting of the privilege, the initial list of ‘certain major repairs’, ‘certain major changes’ and ‘certain STCs’ under the privilege may be further extended by aCAA agreement, as shown in Section 2 as well as in Figures 2 and 3 below.

(c) Identify in the ‘list associated with the privilege’ the eligible major changes, major repairs or STCs proposed for inclusion in the scope of the privilege (see also AMC No 1 to 21.A.263(c)(5), (8) and (9)).

(d) Provide a ‘justification document’ for each proposed certain major change, certain major repair or certain STC identified under (c) above.

Note: The ‘list associated to the privilege’ identifying all certain major repairs, certain major changes and certain STCs and the associated ‘justification document(s)’ are to be referenced in the DOA holder procedure mentioned under (b) above.

The process for obtaining the privilege, referred to in 21.A.263(c)(5), (8) and (9), is summarised in Figure 1 below:

Figure 1

The privilege referred to in point 21.A.263(c)(5), (8) and (9) may be used by a DOA holder for the approval of major repairs, major changes or STCs, as applicable, under the following conditions:

(a) the privilege has already been granted by the CAA;

(b) the major repair/change/STC to be approved falls under the ‘List associated with the privilege’ agreed by the CAA; and

(c) the criteria established in the relevant ‘Justification document’ are met and the relevant assessment is recorded.

If all the above conditions are met, the privilege may be used and the approval of major repairs, major changes or STCs, as applicable, can be obtained by the DOA holder without the CAA’s involvement.

Note: If a DOA holder applies for a third-country validation after having approved a modification under its DOA holder privilege, the CAA may review some of the compliance demonstration data in order to support the validation activity.

2. EXTENSION OF THE ‘PRIVILEGE LIST’ OF ‘CERTAIN MAJOR REPAIRS’, ‘CERTAIN MAJOR CHANGES’ OR ‘CERTAIN STCs’ AFTER THE PRIVILEGE IS GRANTED

When the DOA holder intends to update the ‘List associated with the privilege’, a ‘Justification document’ needs to be provided to the CAA, as described in Section 1(b)(2) above. After the CAA agrees with the updated ‘privilege list’ as part of the DOA holder’s procedure, the DOA holder may proceed as per Section 4 below.

Figure 2

Figure 3

3. TC, STC OR APU UKTSOA HOLDER APPROVAL OF A MAJOR REPAIR UNDER A MAJOR REPAIR PRIVILEGE — SPECIFIC CONSIDERATIONS

TC, STC or APU UKTSOA DOA holders that intend to approve a major repair design under the privilege of point 21.A.263(c)(5) should ensure that:

(a) the type-certification basis for the product, part or appliance to be repaired is identified, together with all the other relevant requirements;

(b) all the records and substantiation data, including the documents that demonstrate compliance with all the relevant requirements, are provided to the CAA for review; and

(c) for repair designs created for a specific product serial number, an assessment is made as to whether or not the repair design is affected by the presence of any embodied STC, change or repair.

4. DOA HOLDER’S APPROVAL BASED ON THE PRIVILEGE FOR A MAJOR REPAIR, MAJOR CHANGE OR STC — SPECIFIC CONSIDERATIONS

For the approval of:

— major repairs by DOA holders that are not the TC, STC or APU UKTSO authorisation holders;

— major changes; and

— STCs

by a DOA holder under the privilege of point 21.A.263(c)(5), (8) and (9), the following should be considered.

4.1 Eligibility of the proposed major repair, major change or STC

The DOA holder should assess the proposed major repair, major change or STC against the ‘list associated with the privilege’ and the ‘justification document’ of ‘certain major repairs’, ‘certain major changes’ or ‘certain supplemental type certificates’ in order to determine whether the criteria of AMC No 1 to 21.A.263(c)(5), (8) and (9), Section 2.2, are met.

4.2 Forms for approval certificates

The DOA holder should use the following forms for the issuance of an approval under their privilege:

— CAA Form 991 for an STC;

— CAA Form 993 for a major change; and

— CAA Form 994 for a major repair.

If the DOA holder chooses to use their own forms, it must be ensured that at least the same information as requested on the CAA forms is presented.

For the numbering of major changes to TCs, STCs, as well as of major repairs approved under the privilege of point 21.A.263(c)(5), (8) or (9), please refer to GM 21.A.263(c)(5), (8) and (9).

4.3 Approval under the DOA holder’s privilege

When the DOA holder makes use of the privilege of point 21.A.263(c)(5), (8) or (9), they should include the following in the certification data package:

— a record of the assessment as described in 4.1 above;

— the reference to the ‘justification document’;

— the applicable product configuration;

— the applicable CSs or environmental protection requirements and methods of compliance;

— the compliance documents;

— the effects, if any, on limitations and on the approved documentation;

— the evidence of the independent checking of the compliance demonstration;

— the approval document containing the statement of the approval under the privilege of point 21.A.263(c)(5), (8) and (9) by an authorised signatory; and

— the date of approval.

In any case, before the major change, STC or major repair is approved under the DOA privilege, the DOA holder should ensure that the Part 21 requirements, in particular points 21.A.97, 21.A.115 and 21.A.433, are met.

4.4 Authorised signatories

An authorised person that is identified and authorised as described in Section 1(b)(4) above should sign the approval under the privilege of point 21.A.263(c)(5), (8) and (9).

4.5 Summary list

The DOA holder should add to the ‘summary list’ as described in Section 1(b)(4) above the major change, STC or major repair approved under the privilege of point 21.A.263(c)(5), (8) and (9).