Section 2 Regulation 3

7/30/2019 Section 2 Regulation 3

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UNCONTROLLED IF PRINTEDTERHAD PU 2103

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TECHNICAL AIRWORTHINESS MANAGEMENT MANUAL

SECTION 2 LEAFLET 3

TECHNICAL AIRWORTHINESS REGULATION

REGULATION 3

AUTHORISED ENGINEERING ORGANISATIONS

3.1. GENERAL

3.1.1. Applicability

a. This regulation prescribes:

(i) the procedural requirements for the issue of an Engineering Authority

Certificate (EAC);

(ii) rules governing Service organisations holding EACs; and

(ii) requirements to be mandated through formal instrument by Sponsor AEOsfor those commercial organisations required to hold an EAC for the provision ofdesign or engineering management services to the SAO.

3.2. ENGINEERING AUTHORITY CERTIFICATES


a. This regulation defines the privileges of a holder of an EAC and prescribesthe procedural requirements for the issue of an EAC.

3.2.2. Certificate required

a. All organisations shall only operate as an AEO with, and in accordance with,a valid EAC issued by the TAR.

b. A commercial organisation shall not operate as an AEO unless the terms ofthe EAC are enforceable by a formal instrument whose requirements are acceptableto the TAR for any service they provide as an AEO.

c. The Letter of Engineering Authority issued with each EAC shall be consideredpart of the Certificate.

d. The Letter of Engineering Authority shall define the scope and level of activityfor which the certificate is issued.

3.2.3. Sponsor AEO requirements

a. Sponsor AEO shall mean an SAO AEO responsible for the management of aformal instrument between the Government and a commercial organisation whichrequires that commercial organisation to operate as an AEO.

b. Sponsor AEOs shall ensure that any formal instruments requiring acommercial organisation to operate as a commercial AEO are developed andadministered to satisfy the requirements of these regulations.


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c. Sponsor AEOs shall develop, promulgate and adhere to a structuredcompliance assurance program when a commercial organisation is required tooperate as a commercial AEO, to ensure that the commercial AEO is monitored forcompliance with the TARs regulatory requirements.

d. Sponsor AEOs shall notify the TAR in writing:

i) upon cessation of the formal instrument between the Sponsor AEO

and commercial AEO; orii) when recommending that a commercial AEO certification be

suspended or revoked.

3.2.4. Application

a. The applicant shall submit an application for an EAC to the TAR:

(1) by the applicant directly when it is the SAO organisation; or

(2) through the Sponsor AEO when the applicant is a commercialorganisation.

b. Each application shall be submitted with:

(1) details of the applicant, including organisation name and address, andthe reason for the application;

(2) details of the applicants Engineering Management System (EMS)documented in an Engineering Management Plan (EMP) compiled by theapplicant as provided in Regulation 3.2.8; and

(3) a copy of all procedures, plans or instructions referenced in the EMP.

c. For an application from a commercial organisation, the Sponsor AEO shallinclude a copy of the clauses of the formal instrument proposed to enforce theregulations in this regulation.

3.2.5. Audits

a. The applicant shall allow the TAR or his representative to make suchinvestigations of the applicants facilities, products, personnel and records as areneeded to satisfy the TAR that:

(1) the applicant meets the criteria listed at Regulations 3.3 to 3.6 asrelevant to the scope of EA being sought;

(2) the EMP submitted as provided in Regulation 3.2.4 provides asatisfactory basis for the issue of an EAC; and

(3) the applicant is capable of satisfying the

EMP requirements when providing services to the SAO as an AEO.

b. Where the applicant is a commercial organisation, relying substantially uponsubcontractors to perform the engineering activities listed in the applicants EMP, theapplicant shall allow the TAR or his representative to audit those subcontractors asprovided under paragraph a.

3.2.6. Issue of a Certificate

a. The applicant is entitled to the issue of an EAC if the TAR is satisfied that:

(1) the applicant has established and will maintain a third party qualitycertification to ISO 9001 or equivalent relevant to the scope of activity to beperformed as an AEO;


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(2) the EMS as documented in the EMP meets the requirements of theseregulations and satisfactorily defines the engineering organisation andmethods for ensuring compliance with this regulation;

(3) the applicant meets the criteria listed at Regulations 3.3 to 3.6 asrelevant to the scope of EA being sought; and

(4) for a commercial AEO, the sponsor AEO has developed and

promulgated a compliance assurance program as required by regulation3.2.3.

3.2.7. Duration

a. An EAC issued to a Service AEO is valid until it is surrendered or until theTAR suspends or revokes it under Regulation 3.6.

b. An EAC issued to a commercial AEO is valid for the period of the formalinstrument(s) or until the TAR suspends or revokes it under Regulation 3.6.2.

3.2.8. Engineering Management Plan

c. The EMP shall contain at least:

(1) a statement signed by the Senior Executive required by Regulation3.3.2, confirming that:

(i) the EMP and any referenced plans, procedures andinstructions describe the organisation and its methods for ensuringongoing compliance with these regulations, and

(ii) all activities undertaken by the organisation as an AEO can becarried out in accordance with these regulations;

(2) a tabulated cross-reference to the specific plans, procedures andinstructions used by the applicant to comply with each regulation;

(3) a description of the scope of engineering activities to be undertakenby the applicant, including identification of:

(i) CIs being managed or supported (if scope includes specificCIs),

(ii) technologies being supported (if scope includes specifictechnologies), and

(iii) design control and CI management activities to be conducted;

(4) a statement of the level of engineering activity to be exercised by the

applicant:

(i) for the overall scope identified at paragraph a.(3) or, wherelevel varies, for each activity within the scope identified at paragrapha.(3), and

(ii) where the level may be one or both of the following:

(a) Design Acceptance certification, as prescribed inRegulations 2.2.3 and 2.5.6, and

(b) Design Approval certification, as prescribed inRegulation 3.4.3;

(5) details of relevant organisational certifications held by the applicant,including:

(i) existing quality system certification to ISO 9001 or equivalentas required by Regulation 3.2.6, and


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(ii) current or previous engineering or design certifications issuedby other airworthiness authorities;

(6) an organisation chart showing the titles of, and lines of responsibilityfor, the Senior Executive, SDE,

DSDEs (if applicable), DEs and any other persons required by Regulation3.3.2;

(7) the qualifications, training and experience of the SDE and any DSDEsrequired by Regulation 3.3.2;

(8) a description of the applicants Design Support Network (DSN)including:

(i) details of DSN members and services as required byRegulation 3.3.3,

(ii) a list of all Technical Information (TI) sources to be collectedand registered by the applicant as required by Regulation 3.5.2,

(iii) an explanation of any data access agreements managed bythe applicant as required by Regulation 3.3.6, and

(iv) interface arrangements with DSN members to ensure properidentification and control of all Type Design data as required byRegulation 3.5.14;

(9) details of all locations where the applicant intends to conductengineering activities within the scope defined at paragraph a.(3);

(10) a description of the equipment, tools and facilities necessary toconduct all engineering activities within the scope defined at paragraph a.(3),as required by Regulation 3.3.7; and

(11) a description of the EMP amendment process,

including conditions for prior TAR acceptance, as required by Regulation3.6.2.

d. The EMP shall be approved by the incumbent SDE.

3.3. GENERAL REQUIREMENTS OF ISSUE

3.3.1. Definitions

a. In this regulation access to a resource shall mean that it is both physically andlegally available for use by the members of an organisation in performing all relevantactivities as an AEO.

3.3.2. Personnel

a. Each applicant for the issue of an EAC shall employ:

(1) a Senior Executive who has the authority within the applicantorganisation to ensure that all activities undertaken by the organisation canbe carried out in accordance with the requirements prescribed by thisregulation;

(2) a Senior Design Engineer (SDE) meeting all the criteria of Annex A tothis regulation responsible to the Senior Executive required by subparagraph

(1) for ensuring that the applicants organisation complies with therequirements of this regulation. Such nominated person shall be ultimatelyresponsible to the Senior Executive for the following functions:


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(i) assignment of authority to competent personnel to plan,perform, supervise, review and certify all engineering activity listed inthe applicants EMP,

(ii) design control,

(iii) CI management,

(iv) maintaining the EMS internal evaluation system in accordance

with Regulation 3.3.9,

(v) ensuring that the EMS is understood, implemented andmaintained at all levels of the organisation, and

(vi) ensuring there are sufficient Design Engineers (DEs), meetingall the criteria of Annex B to this regulation, to perform DE functionslisted in the applicants EMP and required by this regulation, and withthe competencies required:

(a) for the scope of engineering activity listed in theapplicants EMP, and

(b) for a commercial organisation, to ensure thatsubcontractor engineering activity complies with both thesystems and procedures in the applicants EMP and thetechnical requirements specified for that activity;

(3) for a Sponsor AEO, sufficient Auditor and Lead Auditor qualifiedpersonnel, meeting all the criteria of Annex G to this regulation, to conductcompliance assurance activities required by regulation 3.2.3; and

(4) sufficient personnel to undertake all engineering activities listed in theapplicants EMP and required under this regulation.

b. The applicant for an EAC may employ Deputy Senior Design Engineers(DSDEs) meeting all the criteria of Annex A to this regulation. Such nominated

persons may perform the following functions:

(1) assignment of authority to competent personnel to undertakeengineering activities listed in the applicants EMP, and

(2) design control functions as defined by Regulation 3.4.

c. The applicant shall establish organisational arrangements to ensure the SDEhas direct access to the Senior Executive required by subparagraph a(1) on anymatter concerning the adequacy of the EMS or its compliance with these regulations.

d. The applicant shall establish a procedure to authorise competent personnel toperform the engineering functions listed in the applicants EMP and required underthis regulation.

e. The personnel authorisation procedure shall ensure that:

(1) the competence of personnel is initially assessed against the scope ofengineering activities to be performed;

(2) the TAR authorises the SDE and any DSDEs in accordance withRegulation 3.6.2;

(3) the SDE or a DSDE authorises DEs and other personnel undertakingengineering activities listed in the applicants EMP;

(4) authorised personnel are provided with written evidence of the scopeand level of their authorisation where:

(i) scope means the limitations on their authorisation in terms oftechnology, equipment or type of design; and


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(ii) level means the type or degree of authority being exercisedand shall include at least the levels of SDE, DSDE (if applicable) andDE.

(5) for a Sponsor AEO, the SDE authorises all Auditor and Lead Auditorpersonnel;

(6) the competence of authorised personnel is maintained; and

(7) the SDE authorises one or more DSDEs or DEs to perform SDEfunctions as limited to paragraphs a(2)(ii) to a(2)(iv) when the SDE is absent.

(i) A DE acting in the capacity of SDE shall not perform personnelauthorisations.

3.3.3. Design Support Networks

(1) Design Support Network (DSN) shall mean those organisations or persons not a partof the applicants organisation that will perform, or assist in the performance of servicesthe applicant intends to provide as an AEO.

Each applicant for the issue of an EAC shall:(1) identify each member of their DSN in their EMP and for each member:

(i) identify the services to be provided,

(ii) define in what instances those services are to be sought, and

(iii) define how those services will be used, including any caveatsor limitations on their use.

Except as otherwise authorised by the TAR, each applicant for an EAC shall includeas part of its DSN:

(2) all OEMs for aircraft and engines managed by the AEO;

(3) all AEOs with design control or CI management responsibility for itemsor parts which form part of, or interface with, CIs to be within the scope of theapplicant;

(4) all COEs who provide relevant support as provided in Regulation 1.3;

(5) STRIDE and other research bodies who provide support throughformal or informal agreements;

(6) statutory or regulatory bodies applicable to the engineering activitiesidentified in the EMP;

(7) where the applicant is a Service organisation, all commercial AEOswhich provide them with support as provided in this regulation;

(8) where the applicant is a commercial organisation:

(9) the sponsor AEO and all other Service AEOs which they intend tosupport as an AEO, and

(10) all sub-contractors who are to supply engineering services in supportof the applicants services as an AEO; and

(11) any other organisations providing information or advice relevant to theapplicants services as an AEO under either formal or informal agreementwith the applicant.

f. Each applicant for the issue of an EAC shall establish procedures to:

b. evaluate and select persons or organisations to act as part oftheir DSN on the basis of:


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c. that persons or organisations ability to perform theengineering activities they are to undertake, and

d. that persons or organisations ability to satisfy therequirements of these regulations;

c. audit commercial AEOs and their subcontractors as applicable,against the requirements of these regulations at intervals of not

more than two years in accordance with Regulation 3.6.3; andd. review the appropriateness of the DSN at intervals of not more

than two years.

3.3.4. Design control system

a. Each applicant for the issue of an EAC which includes in its scope designcontrol responsibilities shall establish a design control system that satisfies therequirements of Regulation 3.4.

3.3.5. CI management system

a. Each applicant for the issue of an EAC which includes in its scope CImanagement responsibilities shall establish a CI management system that satisfiesthe requirements of Regulation 3.5.

3.3.6. Data

a. For the purposes of these regulations:

(1) Type Design data means data that has been defined at Regulation2.2.8.

(2) Design reference data means Type Design data and any other data,including design manuals and handbooks, airworthiness design standards,specifications, technical standards and technological practices, engineeringreports and reference material, and drawings, used as an input to a designactivity as provided by Regulation 3.4.

(3) Design output data means all data produced in developing the designas provided by Regulation 3.4. Following Incorporation Approval of thedesign, design output data is used to update the Type Design data.

b. Each applicant for the issue of an EAC shall:

(1) describe the intellectual property rights associated with all dataaccessed via agreements with organisations external to the SAO including:

(1) the scope and period of all such agreements, and

(2) the rights and responsibilities of all parties in relation toownership, access and maintenance of the data.

c. Each applicant for the issue of an EAC that includes in its scope designcontrol responsibilities shall establish procedures to control design reference data,drawings and reports as required by Regulation 3.4.2.

d. Each applicant for the issue of an EAC that includes in its scope CImanagement responsibilities shall establish a procedure for managing Type Designdata as required by Regulation 3.5.14.

3.3.7. Equipment, tools and facility requirements

a. Each applicant for the issue of an EAC shall:


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(1) identify the equipment, tools and facilities necessary to conduct allactivities proposed to be undertaken as an AEO and required under theseregulations in the EMP;

(2) have access to that equipment, tools and facilities;

(3) establish a procedure to:

(i) control the equipment, tools and facilities;

(ii) ensure the calibration of tools, test equipment and facilities;and

(iii) confirm the suitability, currency and availability of all tools, testequipment and facilities.

3.3.8. Records

a. Each applicant for the issue of an EAC shall establish procedures to identify,collect, index, store, maintain and dispose of the engineering records required by thisregulation; and shall:

(1) while a holder of an EAC, make such records available to the TAR orhis representative upon request; and

(2) for commercial organisations, agree to transfer copies of such recordsto the Government of Malaysia (delegated SAO) upon cessation of thecommercial AEO formal instrument in accordance with terms to be included inthe formal instrument and endorsed by the TAR.

b. Each applicant for the issue of an EAC shall establish procedures to:

(1) record details of the qualification, training, experience andauthorisation of each person who is assigned authority under Regulation3.3.2;

(2) where the applicant is to perform design control as provided inRegulation 3.4:

(i) record all designs and design changes developed by theapplicant, and

(ii) retain all drawings, tests, analyses and reports that show thedesigns and design changes comply with applicable requirements,including airworthiness design standards, as provided in Regulation3.4;

(3) where the applicant is to perform CI management as provided inRegulation

3.5, record CI management information as required by that regulation;

(4) record the date of and person certifying the assessment of designreference data for suitability and applicability as provided in Regulation 3.4.2;

(5) record all calibrations on tools and test equipment and the standardsused as required by Regulation 3.3.7;

(6) record the results of audits of commercial AEOs or subcontractors asappropriate as required by Regulation 3.3.3;

(7) record the results of audits arising from the monitoring program forcommercial AEOs as required by Regulation 2.5.9;

(8) record the results of reviews of DSN appropriateness andeffectiveness as required by Regulation 3.3.3;


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(9) record quality indicators and the results arising from procedures forcorrective and preventive actions, internal audits and management reviews asprovided in Regulation 3.3.9; and

(10) ensure that:

(i) all records are legible and of a permanent nature, and

(ii) for SAO AEOs, except as otherwise authorised by the TAR, all

records are retained for a minimum of two years from the date that thelast example of the CI is permanently withdrawn from SAO service.

c. Each applicant shall establish procedures to ensure where records are to bestored electronically, for the period that such records are required to be retained:

(1) all hardware or software tools required to extract, manipulate and readthe records are also retained; and

(2) a recoverable electronic copy of the record is made and stored atanother secure site.

3.3.9. EMS internal evaluation system

a. Each applicant for the issue of an EAC shall establish an internal evaluationsystem to ensure compliance with, and the adequacy of, the EMS proceduresrequired by these regulations.

b. The EMS internal evaluation system shall include:

(1) a definition of the tools and performance indicators to be used tomeasure adequacy of the EMS, such as audit reports, publication reviews,defect reports, incident reports and customer feedback;

(2) a procedure to describe how performance indicators are monitored toidentify existing deficiencies or potential causes of problems in the applicants

EMS;

(3) a procedure for corrective action to ensure that existing deficiencies inthe system are corrected;

(4) a procedure for preventive action to ensure that potential causes ofdeficiencies that have been identified within the system are remedied;

(5) an internal audit program to audit the applicants organisation forconformity with its EMS; and

(6) management review procedures to ensure the continuing suitabilityand effectiveness of the EMS in satisfying the requirements of this regulation.

c. The EMS internal evaluation system shall ensure that the EMS is understood,implemented and maintained at all levels of the organisation.

d. The procedure for corrective action shall specify how:

(1) existing deficiencies are to be corrected,

(2) corrective action is to be followed up to ensure the action is effective,and

(3) management will review the effectiveness of any corrective actiontaken.

e. The procedure for preventive action shall specify how:

(1) potential deficiencies are to be remedied,(2) preventive action is to be followed up to ensure the action is effective,and


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(3) management will review the effectiveness of any preventive actiontaken.

f. The EMS internal audit program shall:

(1) specify the frequency and location of the audits taking into account thenature of the activity to be audited,

(2) ensure audits are performed by trained auditing personnel who are

independent of those having direct responsibility for the activity being audited,

(3) ensure the results of audits are reported to the personnel responsiblefor the activity being audited and the manager responsible for internal audits,

(4) require preventive or corrective action to be taken by the personnelresponsible for the activity being audited if problems are found by the audit,and

(5) ensure follow up audits to review the effectiveness of any preventiveor corrective action taken.

g. The procedure for management review shall:

(1) specify the frequency of management reviews of the EMS taking intoaccount the need for the continuing effectiveness of the system; and

(2) ensure the results of the review are evaluated and recorded.

3.3.10. Documentation control

a. Each applicant for the issue of an EAC shall establish procedures to maintainadequate control of all documentation that has any bearing on activities detailed inthe applicants EMP, ensuring that:

(1) documentation is reviewed and approved by competent andauthorised personnel before issue,

(2) current issues of relevant documentation are available to personnelwho require access to such documentation for the provision of theengineering activities in the applicants EMP,

(3) obsolete documentation is promptly removed from all points of issue,and

(4) changes to documentation are reviewed and approved by competentand authorized personnel prior to issue.

3.4. DESIGN CONTROL

3.4.1. Design control system

a. For the purposes of this regulation, design shall mean the design of a product(component or item), a design change or design service performed for another AEO.

b. Each applicant for the issue of an EAC shall establish a design control systemto:

(1) control and verify designs to ensure that specified requirements aremet, and

(2) ensure that all design decisions are documented and recorded.

c. The design control system shall include procedures to ensure that:

(1) data is controlled as provided in Regulation 3.4.2;


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(2) appropriate development plans are prepared for each design projectand those plans:

(i) describe or reference all design activities, including Judgementof Significance, design development, Design Review and DesignApproval;

(ii) assign responsibility for their implementation to competent,

authorised individuals equipped with adequate resources;

(iii) are approved by the person who is to approve the design, priorto commencement of the design project; and

(iv) are updated as necessary as the design evolves;

(3) organisational and technical interfaces between different groups aredefined and the necessary information is documented, transmitted andregularly reviewed;

(4) a Judgement of Significance is performed for every design activity,including substitutions, modifications and deviations in accordance withregulation 3.5;

(5) design specifications, including applicable statutory or regulatoryrequirements, are reviewed to ensure:

(i) all requirements and methods of verification are adequatelydefined and documented;

(ii) airworthiness standards as defined in Regulation 2 areadequately specified; and

(iii) incomplete, ambiguous or conflicting requirements areresolved with the sponsor AEO or DAR as appropriate;

(6) design output:

(i) is documented and expressed in terms that can be verifiedagainst specified requirements;

(ii) meets the design input requirements;

(iii) contains or makes reference to Design Acceptance criteria;

(iv) identifies those characteristics of the design crucial to the safeand proper functioning of the product including requirements foroperation, storage, handling, maintenance and disposal; and

(v) is subject to review by authorised persons as provided inRegulation 3.4.4 prior to release;

(7) design verification:

(i) measures meet specified requirements; and

(ii) measures and results are recorded;

(8) Design Approvals are issued as provided in Regulation 3.4.3;

(9) design activities are performed only by authorised personnel asprovided in Regulation 3.3.2; and

(10) for commercial applicants, each design activity to be performed onbehalf of the applicants organisation by a subcontractor:

(i) is identified in the applicants EMP as provided in Regulation

3.2.8; and

(ii) complies with the systems and procedures in the applicantsEMP and with the specified requirements for the design activity.


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3.4.2. Data Control

a. Each applicant for the issue of an EAC shall have access to design referencedata, as defined by Regulation 3.3.6.

(1) Each applicant for the issue of an EAC shall establish procedures to control

design reference data, as defined in Regulation 3.3.6, to ensure that:

(i) current issues of relevant design reference data are availableto all personnel involved in design activities;

(ii) design reference data is assessed for suitability andapplicability by a competent and authorised person prior to use;

(iii) obsolete design reference data is promptly removed from allpoints of issue or use; and

(iv) changes to design reference data are reviewed and approvedby competent and authorized personnel prior to issue; and

(1) Each applicant for the issue of an EAC shall establish procedures to:

(i) produce, check and control drawings; and(ii) produce, check and control reports showing compliance with

specified design requirements.

3.4.3. Issue of Design Approval Certificates

a. The procedure for issue of a Design Approval certificate required byRegulation 3.4.1 shall ensure:

(1) Design Approval certificates are granted by an authorised person onlyif satisfied that:

(i) the design was developed in accordance with the systems andprocedures detailed in the applicants EMP and as required by thisregulation,

(ii) the design complies with specified requirements,

(iii) compliance of the design with specified requirements has beenadequately verified,

(iv) the design output documentation provides a true and accuraterecord of the design and is properly indexed, traceable, and protectedin accordance with Regulation 3.3.8,

(v) adequate Instructions for Continuing Airworthiness have been

provided, and

(vi) that the design outputs comprising the design have beenreviewed in accordance with Regulation 3.4.4;

(2) each design certificate lists or references:

(i) the specifications, standards and other requirements to whichthe design was developed,

(ii) a comprehensive index of design documentation, and

(iii) where relevant, a complete index of Instructions for ContinuingAirworthiness for the design;

(3) except as provided in paragraph (5), only the SDE or a DSDE shallapprove any design judged as Significant under Regulation 3.4.5; an


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(4) a DE shall only approve designs judged as Significant when the SDEor a DSDE has specifically authorised that DE to approve designs of thatclass.

(i) The SDE or a DSDE shall review the Design Approval decisionas soon as practicable.

3.4.4. Design Review

a. The procedure for Design Review required by Regulation 3.4.1 shall ensure:

(1) certification of design output as a reviewer is granted by an authorisedperson only if satisfied that:

(i) the design assumptions, design reference data, designconditions and the method and tools employed in developing thedesign output are assessed as appropriate and valid,

(ii) any calculations or analyses conducted in developing thedesign output are assessed as having being properly conducted andcorrect, and

(iii) the design stage output meets any design stage inputrequirements;

(2) for designs judged as Significant, design output review shall beconducted by authorised DEs;

(3) for design judged as Non-significant, design output is reviewed bycompetent authorized persons;

(4) where more than one engineering discipline is involved in a designstage, the design stage output is reviewed by properly authorised personsfrom each discipline represented;

(5) persons reviewing a design output have not participated in thedevelopment of that design output; and

(6) for designs judged as Significant where design stage outputs weredeveloped by persons authorised at a level below DE, a second level ofreview is conducted by the SDE or a DSDE who shall be satisfied that:

(i) the persons performing the design and Design Review werecompetent for the task, and

(ii) the design assumptions, design reference data, designconditions and the method and tools employed in developing thedesign output were appropriate and valid.

3.4.5. Judgement of Significance

a. The procedure for judging Significance required by Regulation 3.4.1 shallensure:

(1) except as provided under sub-paragraph a (2), the Judgement ofSignificance of a design activity is only made by an authorised DE;

(2) where the decision process is well defined and the exercise ofprofessional engineering judgement is not required, the Judgement ofSignificance is made only by a properly authorised person;

(3) designs are judged as either Significant or Non-significant dependingon the risk to aircraft airworthiness of partial performance or failure of thedesign;


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(4) designs are judged as Non-significant only when an authorised personis satisfied that the risk to aircraft airworthiness of partial performance orfailure of the design is low enough not to justify the additional engineeringrigour and expertise that is mandated for designs judged as Significant;

(5) the risk to airworthiness of partial performance or failure of a design isassessed as a function of both:

(i) the consequence of partial performance or failure of thedesign; and

(ii) the probability of partial performance or failure occurring;

(6) the consequence of partial performance or failure is assessed as highif:

(i) the design requires a structural repair to primary or secondarystructure beyond approved limits,

(ii) the design impacts upon structural integrity, flight handling,performance or operating limitations, or

(iii) failure or partial performance of the design would directly resultin the loss of a vital system for which there is either no redundancy orwould adversely impact upon personnel safety.

(7) the probability of the partial performance or failure of a design isassessed as high if the design requires comprehensive engineeringjustification, assessment and verification.

3.4.6. Design Acceptance

a. Each applicant for the issue of an EAC which is to include provision ofsupport to a DAR for Design Acceptance responsibilities shall establish DesignAcceptance procedures satisfying the requirements for Design Acceptance asprovided in Regulation 2.

3.5. CI MANAGEMENT


a. Each applicant for the issue of an EAC which includes in its scope CImanagement responsibilities as defined in this regulation shall establish a CImanagement system to control and verify configurations to ensure that specified

requirements are met.

(1) For the purposes of this regulation, all communication and interactionbetween a commercial AEO and operational authorities is to be conductedthrough the Sponsor AEO, except for those instances where the SponsorAEO directs otherwise.

3.5.2. Technical Information Review

a. For the purposes of this regulation:

(2) Technical Information (TI) means all information relevant to the

continuing airworthiness and technical integrity of a CI,(3) Technical Airworthiness Alert Information (TAAI) means any TIrelating to unsafe conditions in an aircraft type, or changes to Type Design


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which will affect the safety of an aircraft type, and TI and TAAI originatesfrom:

(i) the single State Airworthiness Authority (including authoriseddelegates),

(ii) the TAR,

(iii) Technical Airworthiness Directives (TADs) issued by the TAR

under regulation 1.1.5,

(iv) other AEOs,

(v) maintenance and operational units,

(vi) NAAs (including MCAR and foreign NAAs),

(vii) Aircraft and aircraft-related equipment OEMs,

(viii) other military or civilian operators, or

(ix) any other source identified in the applicants EMP.

b. Each applicant for the issue of an EAC applicable to this regulation shall

establish a Technical Information Review (TIR) system to monitor technical issuesaffecting the CI and initiate actionneeded to ensure that adequate levels ofperformance and safety are maintained.

c. All sources of TI to be collected and registered shall be identified in theapplicants EMP.

d. Any formal agreements covering provision of TI shall be identified in the EMPas part of the applicants DSN.

e. The TIR system shall include:

(2) arrangements for the collection of TI;

(3) a procedure to assign authority to personnel to undertake TIRactivities as required by Regulation 3.3.2;

(4) a procedure to ensure that:

all TI is registered,

all issues of serially-issued TI are received,

all TI is evaluated for applicability and action required in atimely manner by a competent and authorised person,

all TI applicability and action required decisions are recordedin, and traceable to, the TI registration,

in determining action required at paragraph (3)(iv), TI identifiedas TAAI is actioned in accordance with paragraph (x),

TI relating to aircraft operating procedures and limitations is re-transmitted to appropriate operational authorities in a timely manner,

any required follow up design change action is initiated andany required performance or safety improvement is incorporated in thespecification for the change,

new and potential sources of TI are evaluated for futurecollection and inclusion in the list of TI identified in the EMP,

all TI and records of evaluation decisions are treated as

engineering records as required by Regulation 3.3.8, for TAAI:the DAR and appropriate operational authority arenotified of the issue at the earliest opportunity,


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relevant TAAI is exchanged in a timely manner,

necessary instructions are issued to assure adequatesafety of operations:

in a timely manner,

subject to Design Acceptance requirements,and

in consultation with the appropriatemaintenance and operational authorities to minimiseoperational impact of the action taken,

where a decision is taken not to comply with TAAI found to be fully orpartially applicable to the CI being managed, the TIR process is not

finalised until:

receipt of a Design Acceptance certificate, as provided inRegulation 2, from the relevant DAR, and

the DAR has notified the TAR of the decision.

f. Procedures developed by the applicant as required by paragraphs e.(3)(vi)and e.(3)(x) shall be endorsed by the relevant Operational Airworthiness Authority(OAA).

3.5.3. Maintenance Engineering Analysis

a. Each applicant for the issue of an EAC applicable to this regulation shallestablish a Maintenance Engineering Analysis (MEA) system to validate theInstructions for Continuing Airworthiness (ICA) of the aircraft and aircraft equipment.

b. The MEA system shall include:

(1) an MEA plan (MEAP);

(2) procedures to validate the ICA that identify those maintenancerequirements essential to the airworthiness of aircraft and associated CIs;

(3) procedures for the collection and analysis of data used to validate theICA that identify those maintenance requirements essential to theairworthiness of CIs;

(4) procedures to ensure that all maintenance requirements essential tothe airworthiness of aircraft and associated CIs are reviewed regularly and asa result of TIR; and

(5) procedures to ensure that only competent and authorised personnel

review those maintenance requirements essential to the airworthiness ofaircraft and associated CIs.

c. The MEAP shall include:

(1) a list of ICA that identify those maintenance requirements essential tothe airworthiness of aircraft and associated CIs;

(2) the identification of data and data sources used to validate the ICAthat identify those maintenance requirements essential to the airworthiness ofaircraft and associated CIs;

(3) a list of all Certification Maintenance Requirements (CMRs) or areference to the applicable document containing the list of CMRs;

(4) the range and depth of review activities undertaken to validate the ICAthat identify those maintenance requirements essential to the airworthiness ofaircraft and associated CIs;


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(5) the methods used to ensure the applicability and effectiveness ofthose preventive maintenance tasks and intervals essential to airworthinessof aircraft and associated CIs;

(6) procedures for the implementation and update of the MEAP; and

(7) a list or reference to an appropriate document containing a list ofthose personnel authorized to review those maintenance requirements

essential to the airworthiness of aircraft and associated CIs.d. The procedures for the implementation and update of the MEAP shall ensurethat:

(1) the MEAP is approved by the SDE prior to the Service Release of anaircraft type in accordance with Regulation 2.4;

(2) the MEAP is updated at an interval of no more than two years; and

(3) all updates to the MEAP are approved by the SDE prior to theirincorporation.

3.5.4. Aircraft Structural Integrity Management

a. Each applicant responsible for the CI management of an aircraft shallestablish and maintain an Aircraft Structural Integrity (ASI) management system toassist the TAR in assuring continued airworthiness of the aircraft structure.

b. The ASI management system shall include:

(1) an Aircraft Structural Integrity Management Plan (ASIMP);

(2) procedures to maintain ASI; and

(3) procedures to support continuing assessment of ASI.

c. The ASI management system shall ensure that:

(1) for a new aircraft type or major design change, the ASIMP is issued bythe TAR prior to the Design Acceptance of the aircraft type or design changein accordance with Regulation 2.2.3; and

(2) all updates to the ASIMP are approved by the TAR prior to theirincorporation and implementation;

(3) the TAR is notified of any deficiencies identified in the ASIMP;

(4) the ASIMP is reviewed at least on an annual basis;

(5) the ASIMP specifies the authoritative source or sources for structuralinspection programs, structural life limits, and component retirement times;

(6) ASI projects are managed as directed by the TAR; and

(7) structural components from crashed or retired aircraft are madeavailable for tear down.

d. The procedures to maintain ASI shall:

(1) ensure all structural repairs and modifications conform to the relevantCertification Structural Design Standard (CSDSTD);

(2) implement Fatigue Management in accordance with the ASIMP,including authorised structural inspection programs and structural life limits;

(3) ensure the authorised structural inspection program intervals,

structural life limits, and component retirement times are not exceededwithout TAR approval;


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(4) ensure that any amendments to the authorised structural inspectionprogram intervals, structural life limits, and component retirement times arenotified to the TAR; and

(5) implement Environmental Degradation Management in accordancewith the ASIMP.

e. The procedures to support continuing assessment of ASI shall:

(1) implement usage monitoring in accordance with the ASIMP;

(2) ensure collection of condition data records in accordance with theASIMP;

(3) maintain records of defects, inspections, repairs and modifications toprimary structure;

(4) maintain the integrity of usage monitoring and Operational LoadsMonitoring systems installed on the applicants aircraft, as documented in theASIMP; and

(5) ensure ageing aircraft audits are carried out, under the guidance ofthe TAR, when the aircraft reaches its mid life point or after 15 years inservice whichever is sooner, unless otherwise authorised by the TAR.

3.5.5. Engine Structural Integrity Management

a. Each applicant responsible for the CI management of an aircraft gas turbineengine shall establish an Engine Structural Integrity Management (ESIM) system toassure the continued airworthiness of that engine.

b. The ESIM system shall ensure that:

(1) an Engine Structural Integrity (ESI) Manager is appointed;

(2) critical parts are identified for each engine;

(3) life limits, inspection and usage monitoring requirements are identifiedfor each critical part based upon the advice of:

(i) the OEM; or (in the absence of such advice)

(ii) a recognised NAA or foreign military force in accordance withregulation 2.2.7; or

(iii) the TAR;

(4) a system for engine usage monitoring is in place to ensure that engineoperating data is recorded to enable management against the limits identifiedat subparagraph (3);

(5) the requirements identified at subparagraphs (3) and (4) are assessedfor applicability to the SAO configuration, role and environment; and

(6) a system for engine condition monitoring is in place and includesadequate review to ensure effectiveness.

c. The ESIM system shall be documented by an Engine Structural IntegrityManagement Plan (ESIMP).

d. The ESIMP shall be reviewed at an interval of not more than two years.

e. The ESIM system shall be implemented by procedures that are sponsored bythe applicant.

f. TAR approval is to be sought prior to:

(1) deviation or modification to the life limits and requirements establishedat subparagraph b(3) above; or


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(2) issue of a new or amended ESIMP.

3.5.6. Modifications

a. Each applicant for the issue of an EAC with applicability under this regulationshall establish procedures to ensure:

(1) except for those configuration changes to be managed assubstitutions or deviations, all configuration changes to a CI are managed asmodifications;

(2) where modifications to a subordinate CI requires a complementarychange to the configuration of a higher CI; or introduces an appreciablechange to the characteristics, interchangeability, performance or interfaces(human or technical) of the higher CI; the complementary changes to higherCIs are managed as modifications;

(3) instructions for the incorporation of modifications are issued to userorganisations in the form of a modification order prepared in accordance withthe requirements at Annex F;

(4) the following implementing instructions are issued to userorganisations;

(i) modification order,

(ii) related amendments to continuing airworthiness instructions,and

(iii) related amendments to flight manual and other operatinginstructions;

(5) approval of the implementing instructions is granted only if anauthorised person is satisfied that the implementing documents;

(i) accurately reflect the approved design, and

(ii) provide adequately validated instructions for incorporation andserviceability testing, maintenance and operation of the modified CI orCIs;

(6) implementing instructions are not issued to user organisations beforethe granting of Incorporation Approval;

(7) there is no change to the substance of the implementing instructionsfollowing Incorporation Approval;

(8) arrangements are established with user organisations to ensureaircraft are not released for flight before granting of Service Release in

accordance with Regulation 3.5.13;

(9) arrangements are established with user organisations to ensuremodified products of items are not inducted for maintenance before the issueof related amendments to continuing airworthiness instructions;

(10) no amendments to modification orders are issued which would:

(i) change the substance of the modification, and

(ii) change any aspect of the modification that will result in adifference in configuration between items modified under the differentversions of the modification order; and

(11) modification orders are issued in a sequential series established foreach CI for inclusion in a separate controlled technical manual for each CIissued to users as part of continuing airworthiness instructions.


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b. Each applicant for the issue of an EAC with applicability under this regulationshall establish trial modification procedures to ensure:

(1) approval for a trial modification is granted by the IncorporationApproval authority for the CI;

(2) arrangements are established with user units to quarantine CIssubject to trial modification activity for the purposes of the trial;

(3) design output data as defined at Regulation 3.3.6, including testprocedures and reporting requirements:

(i) is subject to limited Service Release for the purposes of thetrial as provided by regulation 3.5.13, and

(ii) is issued under cover of implementation instructions whichensure implementation is properly controlled, sequenced andcoordinated;

(4) configuration items are returned to an approved configuration beforebeing released from the trial;

(5) trial modifications are subject to Incorporation Approval and ServiceRelease before being released for flight trials; and

(6) the following implementing documents are prepared and reviewed bycompetent and authorised persons for issue by STI or other authoritativeinstruction:

(i) draft modification orders,

(ii) additional ICA of the modified aircraft and its modified CIs,

(iii) additional operating limitations and operating instructions to beimposed for the purposes of the flight trial, and

(iv) demodification plans and instructions.

c. Each applicant for the issue of an EAC with applicability under this regulationshall establish procedures to ensure:

(1) modification implementation instructions and associated approvals,and records of trial modification approval, Incorporation Approval and ServiceRelease are treated as engineering records as provided in Regulation 3.3.8;

(2) modification records are traceable to the related Design Approval andDesign Acceptance records as provided in Regulation 3.4 and Regulation 2;and

(3) modification installation, excepting trial modifications under paragraphb, are undertaken by either an AEO or AMO as required by Regulation 3.5.20.

3.5.7. Substitutions


(1) configuration changes are managed as substitutions where:

(i) a new part is to be authorised for use in a CI as an alternativeto, or replacement for, a currently approved part, and

(ii) the configuration change has no other effect on thefunctionality, interface characteristics or logistics support requirements

of the affected CI or CIs;


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(2) implementing instructions to be issued for the substitution provideauthoritative direction for amendment of those continuing airworthinessinstructions which provide authority-to-fit for the affected CI or CIs;

(3) approval of the implementing instructions is granted only if anauthorised person is satisfied that they accurately reflect the approveddesign;

(4) implementing instructions are not issued to user organisations beforethe granting of Incorporation Approval;

(5) there is no change to the substance of draft implementing instructionsfollowing Incorporation Approval;

(6) substitution implementation instructions and associated approvals,and records of Incorporation Approvals are treated as engineering records asprovided in Regulation 3.3.8; and

(7) substitution records are traceable to the related Design Approval andDesign Acceptance records as provided in Regulations 3.4 and 2.

3.5.8. Deviations


(1) configuration changes to CIs are managed as deviations where; byreason of accidental damage, production error, deterioration or unavailabilityof material or parts, or any other occurrence; authority to deviate from thecurrent approved type design is required for a limited number of products of aCI;

implementing instructions provide authoritative direction for recordingof continuing airworthiness requirements or other logistics

management requirement introduced by the deviation;

approval of implementing documents is granted only if an authorisedperson is satisfied that they;

accurately reflect the approved design, and

provide adequately validated instructions for repair or rework ifrequired, serviceability testing, maintenance and operation of theaffected CI or CIs;

implementing instructions are not issued to user organisations beforethe granting of Incorporation Approval;

there is no change to the substance of implementing instructionsfollowing Incorporation Approval;

deviation implementation instructions and associated approvals, andrecords of Incorporation Approvals are treated as engineering records

as provided in Regulation 3.3.8; and

deviation records are traceable to the related Design Approval andDesign Acceptance records as provided in Regulations 3.4 and 2.

3.5.9. Aircraft stores clearance and certification

a. For the purposes of these regulations:

(1) an aircraft store shall be considered as any device, excluding aircargo, intended for internal or external carriage and mounted on aircraftsuspension and release equipment, whether or not the item is intended to be


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separated in flight from the aircraft. Stores include missiles, rockets, bombs,mines, torpedos, gun ammunition, grenades, pyrotechnic devices,sonobuoys, signal underwater sound devices, fuel and spray tanks,dispensers, pods (refuelling, thrust augmentation, gun, electroniccountermeasures, etc), targets, chaff and flares from countermeasuresdispensing systems, and suspension equipment (racks and pylons).

(2) stores suspension equipment shall be considered as all aircraft

devices such as racks, adaptors, missile launchers, internal guns,countermeasure dispensers and pylons, used for carriage, employment andjettison of aircraft stores.

(3) aircraft guns and countermeasure dispensers for flares and chaff shallbe considered to be stores suspension equipment.

b. An aircraft/stores configuration refers to an aerospace platform, incorporatinga stores management system(s), combined with specific stores suspensionequipment and aircraft store(s) loaded on the aircraft in a specific pattern. Anaircraft/stores configuration also includes any downloads from that specific patternresulting from the release of the store(s) in an authorised employment or jettisonsequence(s).

c. Each applicant for the issue of an EAC with applicability under this regulationwhich is to have management responsibility for an

aircraft type shall establish procedures to ensure that for all routine in serviceoperations, for planned contingency operations, or for Air Operations authorizedOperational Test & Evaluation (OT&E) / trials:

(1) all new aircraft/stores configurations, changes to an aircraft/storesconfiguration or changes to operating limitations are managed as anaircraft/stores certification as provided in this regulation;

(2) any design change to the aircraft including items of stores suspension

equipment or aircraft store which is judged to be significant in accordancewith Annex C with respect to any permissible aircraft/stores configuration istreated as a change to the affected aircraft/stores configuration;

(3) the following implementing instructions for all aircraft/storesconfiguration(s) being certified are issued to user organisations as required toimplement the approved design:

(i) flight manual amendments to authorise the aircraft/storesconfigurations, carriage, employment and jettison operating limitationsfor the authorised releases sequence(s),

(ii) other operating instructions as required by the operationalauthority including aircraft performance, pre/post-flight and inflight

weapon delivery/tactical manuals,

(iii) amendments to aircraft continuing airworthiness instructions,

(iv) stores loading/unloading and ground handling instructionsincluding aircraft weapon delivery system functional checkoutprocedures;

(4) approval of the implementing instructions is granted only if anauthorised ASC-qualified person is satisfied that the implementinginstructions accurately reflect the approved design being certified;

(5) implementing instructions for an aircraft/stores configuration beingcertified are not issued unless Incorporation Approval has been granted asprovided in Regulation 3.5.12, and on the basis that Design Acceptance bythe SAO as provided in Regulation 2 has ensured:


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(i) the aircraft store design has been design approved on behalfof the SAO and certified as flight worthy within defined limits, StoresCompatibility Engineering Package, implementing instructions issuedfor stores maintenance, preparation and disposal; and, for storescontaining EO, a Safety and Suitability for Service has also beenissued by the relevant COE or Air Armament desk officer in respectiveSAO officer,

(ii) the design of the aircraft and stores suspension equipmentinstallations and Stores Management System as documented in theAircraft Compatibility Engineering Data Package has been designaccepted by the SAO,

(iii) an aircraft/stores compatibility clearance has been approvedby the relevant COE as provided in Regulation 1 certifying that eachelement of the aircraft/stores configuration is physically,aerodynamically, structurally, electrically, electromagnetically andfunctionally compatible within the specified flight envelope such thatthe:

(a) aircraft store can be prepared, handled, loaded,delivered and unloaded by qualified personnel,

(b) identified aircraft/stores configuration(s) are suitable forrelevant ground operations and for carriage within

specified flight operating envelope(s),

(c) identified aircraft/stores configurations can, ifapplicable, be employed and jettisoned safely and reliablywithin specified flight operating envelope(s), and

(d) minimum safe release heights and safety templates forall stores are established for necessary delivery profiles and

jettison envelopes;(6) arrangements are established with user organisations to ensure thataircraft/stores configurations are not released for flight before the granting ofa Service Release in respect of the aircraft/stores compatibility clearance asprovided in Regulation 3.5.13; and

(7) there is no change to implementing instructions following IncorporationApproval.

d. Each applicant for the issue of an EAC with applicability under this regulationshall establish Air Operation Group OT&E / trial procedures to ensure:

(1) approval for a trial is granted by the Incorporation Approval authority

for theaircraft type or delegate and the relevant operational authority;

(2) arrangements are established with user units to provide the necessaryaircraft and other resources needed for the trial;

(3) design output data as defined at Regulation 3.3.6, including testprocedures and reporting requirements:

(i) is subject to limited release for the purposes of the trial asprovided by Regulation 3.5.13;



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(4) the following implementing documents are prepared and reviewed bycompetent and authorised persons for issue by STI or other authoritativeinstruction:

(i) validated instructions for handling and loading of the aircraft,

(ii) additional ICA of the aircraft involved in the trials (includingpost-trial inspection or servicing), and

(iii) additional operating limitations and operating instructions to beimposed for the purposes of the flight trial;

(5) trial aircraft/stores configurations are subject to Incorporation Approvaland Service Release before being released for flight trials; and

(6) aircraft are returned to an approved configuration before beingreleased from the trial.

e. Each applicant for the issue of an EAC with applicability under this regulationwhich is to have management responsibility for an aircraft type, aircraft stores orclearances shall establish procedures to ensure that:

(1) implementing instructions and associated approvals, IncorporationApproval and Service Release are treated as engineering records as providedin Regulation 3.3.8; and

(2) records are traceable to the related Design Approval and DesignAcceptance records as provided in Regulation 3.4 and Regulation 2.

3.5.10. Aerial delivery clearances

a. Except as provided in paragraph b, for the purposes of these regulationsAerial Delivery Equipment (ADE) means equipment employed on transport or rotarywing aircraft in the aerial delivery of material; including slings, platforms, containers,parachutes, rigging materials, cloths, cords, tapes, threads and webbing.

b. For the purposes of this regulation ADE does not include equipmentemployed in the aerial delivery of personnel.

c. Each applicant for the issue of an EAC with applicability under this regulationwhich is to have management responsibility for an aircraft type shall establishprocedures to ensure:

(1) all new air transport, air drop or external lift loads, changes to thoseloads or change to operating limitations for those loads are managed as aerialdelivery clearances;

(2) the aerial delivery COE as provided in Regulation 1 is notified of any

change to the following to determine whether the change affects extant aerialdelivery clearances:

(i) ADE, or

(ii) the aircraft or role equipment stated in Annex D;

(3) the following implementing instructions for an aerial delivery clearanceare issued to user organisations as required to implement the approveddesign:

(i) flight manual amendments as required to authorise aerialdelivery loads, carriage and employment procedures, jettisonrequirements and other operating limitations,

(ii) other operating instructions as required by the operationalauthority,


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(iii) amendments to aircraft continuing airworthiness instructions,and

(iv) instructions for handling and rigging of loads.

(4) approval of the implementing instructions is granted only if anauthorised person is satisfied that the implementing instructions

accurately reflect the approved design for the aerial delivery load;

(5) implementing instructions for a aerial delivery clearance are not issuedunless Incorporation Approval has been granted as provided in Regulation3.5.12, and on the basis that Design Acceptance of the aerial deliveryclearance has ensured:

(i) the ADE or role equipment design to be employed in the aerialdelivery activity has been certified as suitable for its intended use bythe COE as provided in Regulation 1 and design accepted by the SAOas provided in Regulation 2, and

(ii) the COE has certified the aerial delivery load design assuitable for its intended use as provided in Regulation 1, and the aerial

delivery load has been design accepted by the SAO as provided inRegulation 2;

(6) arrangements are established with user organisations to ensure thataerial delivery loads are not released for flight before the granting of a ServiceRelease in respect of the aerial delivery clearance as provided in Regulation3.5.13;

(7) there is no change to the implementing instructions followingIncorporation Approval;

(8) aerial delivery clearance implementing instructions and associatedapprovals, Incorporation Approval and Service Release are treated as

engineering records as provided in Regulation 3.3.8; and(9) aerial delivery clearance records are traceable to the related DesignApproval and Design Acceptance records as provided in Regulation 3.4 andRegulation 2.

d. Each applicant for the issue of an EAC with applicability under this sub-regulation shall establish aerial delivery trial procedures to ensure:

(1) approval for an aerial delivery trial is granted by the IncorporationApproval authority for the aircraft type or delegate and the relevantoperational authority;

(2) arrangements are established with user units to provide the necessary

aircraft and other resources needed for the trial;(3) design output data, including test procedures and reportingrequirements:

(i) is subject to limited release for the purposes of the trial asprovided by Regulation 3.5.15, and


(4) the following implementing documents are

prepared and reviewed by competent and authorised persons for issue by STIor other authoritative instruction:

(i) draft instructions for handling and rigging of loads,


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(ii) additional ICA of the aircraft involved in the trials, and

(iii) additional operating limitations and operating instructions to beimposed for the purposes of the flight trial;

(5) trial loads are subject to Incorporation Approval and Service Releasebefore being released for flight trials; and

(6) aircraft are returned to an approved configuration before being

released from the trial.

3.5.11. Special Technical Instructions (STIs)

a. Each applicant for the issue of an EAC, with applicability under thisregulation, shall establish a Special Technical Instruction (STI) management systemfor issue of those design change and continuing airworthiness instructions whoseurgency cannot be satisfied by other types of implementing instructions.

b. Each applicant for the issue of an EAC, with applicability under this regulationshall establish procedures to ensure:

(1) every STI undergoes STI release before issue to user organisations;(2) STI release is granted only by an authorised person if satisfied that:

(i) the content of the STI meets the requirements of Annex E;

(ii) the STI accurately reflects the approved design; and

(iii) every design change implemented by the STI has been givenIncorporation Approval;

(3) STIs are sequentially numbered within their Series, and released innumerical order;

(4) no amendments to an STI are released which would:

(i) decrease the applicability of an STI; or

(ii) change any engineering aspect of the STI which will result in adifference in configuration or engineering standard between CIshaving different versions of the STI incorporated;

(5) amended STIs shall be clearly identified with an amendment number;

(6) the method of dispatch ensures that information in the STI remainslegible and unambiguous;

(7) arrangements are established with user units to ensure userorganisations acknowledge receipt of the STI;

(8) the STI sponsor is advised when an STI can be cancelled due to allactions being complete;

(9) all design changes implemented by STI, except for those with noenduring effect once the STI is cancelled, are to be recorded in eithermodification orders, deviations, substitutions or other publicationamendments;

(10) STIs, acknowledgments and STI responses are treated asengineering records as provided in Regulation 3.3.8;

(11) STIs are traceable to any related Design Approval and DesignAcceptance records as provided in Regulation 3.4;

(12) at least the first page of every hardcopy STI is bordered by red andwhite Warning Page hatching in accordance with TAMM section 3;


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(13) STI registers are maintained to record the title, number and status ofeach STI released in their Series;

(14) The status of released STIs is promulgated at six monthly intervals foreach STI Series status of either active or cancelled; and

(15) STI distribution lists are maintained and annually reviewed.

3.5.12. Incorporation Approval


(1) Incorporation Approvals are granted only by the Senior Executiverequired by regulation 3.3.2 of the AEO as applicable, or a nominatedrepresentative of the Senior Executive within the limits and in accordance withthe requirements of a written delegation;

(2) a record is maintained of the current and past nominatedrepresentatives within the AEO with authority to grant IncorporationApprovals;

(3) Incorporation Approvals are granted only if the Senior Executive or anominated representative has determined that:

(i) A Design Acceptance certificate has been issued for thedesign;

(ii) draft implementing instructions for the change have beenapproved by an authorized person as provided in Regulation 3.3.2;

(iii) operational endorsement of implementing instructions hasbeen granted for any design change which affects functionalperformance or other operational characteristics of an aircraft; and

(iv) where a proposed design change will have an affect onfunctionality, interface or logistics support requirements of higher levelitems, or requires a complimentary change to higher level items,Incorporation Approval has been endorsed by persons with authorityfor Incorporation Approvals for the higher level items; and

(4) for safety related changes, where the condition at subparagraph (3) (i)has been met, any decisions not to provide Incorporation Approval, or to notcomply with recommended incorporation timeframes, is endorsed by:

(i) the SDE, and:

(ii) for design changes, the applicable DAR.

3.5.13. Service Release for minor changes to Type Design

a. Each applicant for the issue of an EAC with applicability under this regulationwho is to exercise CI management responsibility for an aircraft type shall establishprocedures to ensure:

(1) Service Release of modified aircraft, aircraft/stores configurations andaerial delivery clearances is granted only by the AEOs Senior Executiverequired by Regulation 3.3.2, or a nominated representative of the SeniorExecutive within the limits and in accordance with the requirements of awritten delegation;

(2) a record is maintained of the current and past nominatedrepresentatives with authority to grant Service Release;


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(3) Service Release is only granted if the Senior Executive or nominatedrepresentative has determined that:

(i) the modification, aircraft/stores configuration or aerial deliveryclearance has previously been granted Incorporation Approval asrequired by regulation 3.5.12; and

(ii) all implementing instructions for the modification, aircraft/stores

configuration or aerial delivery clearance have been issued to userorganisations.

3.5.14. Management of type design data

a. Each applicant for the issue of an EAC shall establish a system formanagement of Type Design data as defined at Regulation 3.3.6. for each CImanaged by the AEO, to ensure only current and relevant data is used for designactivities.

b. The system for management of Type Design data shall include:

(1) interface arrangements, agreed with members of the DSN anddocumented in the applicants EMP, to ensure proper identification andcontrol of all Type Design data;

(2) a procedure to ensure design output data produced in support of adesign change to the CI is identified as Type Design data following thegranting of Incorporation Approval for the change;

(3) a procedure for identification of Type Design data to ensure thatsuperseded data is cross referenced to superseding data to ensure that onlycurrent data is used in design activities; and

(4) a procedure for update of the relevant Type Record as provided inRegulation 2 following issue of an STC for a major design change.

3.5.15. Instructions for Continuing Airworthiness (ICA)

a. Each applicant for the issue of an EAC with applicability under this regulationshall establish procedures to:

(1) authorise and control the issue, distribution, use and amendmentstatus of ICA;

(2) ensure at least one set of ICA, and any changes to those instructions,is provided to any organisation required by any regulation to comply withthose instructions;

(3) ensure ICA or amendments to those instructions are not issued:

(i) before granting of Incorporation Approval for any relateddesign changes as provided in Regulation 3.5.12; and

(ii) before granting of technical approval for other changes;

(4) ensure technical approval of ICA or amendments to those instructionsis granted only if an authorised person is satisfied that:

(i) the instructions are suitable for their intended purpose,technically sound and have been adequately validated;

(ii) any design change being implemented has been properly

approved and accepted as provided in Regulation 3.4;(iii) the instructions or amendment accurately reflects the designchange being implemented;


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(5) ensure records of technical approvals for ICA are treated asengineering records as provided in Regulation 3.3.8; and

(6) ensure changes to ICA are traceable to related Design Approval andDesign Acceptance records as provided in Regulation 3.4 and Regulation 2.

3.5.16. Flight manuals and aircraft operating instructions

a. Each applicant for the issue of an EAC with applicability under this regulationwho is to exercise CI management responsibility for an aircraft type shall establish aflight manual control system that includes:

(1) documented arrangements established with relevant operationalauthorities to ensure that amendments to flight manuals and aircraft operatinginstructions that affect operating instructions or limitations are not issuedbefore technical endorsement from the AEO; and

(2) procedures to ensure:

(i) technical endorsement of amendments to flight manuals orother operating instructions is granted only if an authorised person issatisfied that:

(a) any design change being implemented has beenproperly approved and accepted as provided in Regulation 3.4and Regulation 2;

(b) the amendment accurately reflects the design changebeing implemented;

(ii) records of technical endorsements for amendments to flightmanuals and aircraft operating instructions are treated as engineeringrecords as provided in Regulation 3.3.8;

(iii) amendments to flight manuals and aircraft operatinginstructions are traceable to any related Design Approval and DesignAcceptance records as provided in Regulation 3.4 and Regulation 2.

3.5.17. Weight and balance

a. Each applicant for the issue of an EAC which includes the CI management ofan aircraft shall establish a documented weight and balance tracking system; and

b. The weight and balance tracking system shall ensure that aircraft undermanagement remain within authorised weight and balance design limits.

3.5.18. Non destructive testing

a. Each applicant for the issue of an engineering authority certificate withapplicability under this regulation which is to have management responsibility for anaircraft type shall establish procedures to ensure:

(1) all proposed Non Destruction Testing (NDT) procedures are subject toDesign Approval by the TAR prior to their incorporation in a Modification,Deviation or STI unless:

(i) the NDT procedure has originated from an AEO explicitlyassigned EA to approve such designs; or

(ii) the NDT procedure has originated from an OEM forming partof the applicants DSN.


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3.5.19. Production


(1) Production means the manufacture and assembly of new CIs andrelated aeronautical product, or complete aircraft.

(2) Materials and parts are sub-elements of aeronautical product.

b. Each applicant for the issue of an EAC responsible for production shallestablish and maintain a production control and management system.

c. The production control and management system shall include:

(1) a procedure for assessing and authorising all production personnel,together with clear criteria for workmanship;

(2) procedures for the control of all production equipment, includingperiodic inspection, maintenance and calibration;

(3) procedures defining the manner of production, including control overdesign changes, data, and material substitutions in accordance withregulations 3.3.6, 3.4, 3.5.7, and 3.5.8 as applicable;

(4) the use of a suitable facility, production environment, tools andequipment to the extent that they affect product quality;

(5) a procedure controlling the prevention, detection and removal offoreign objects;

(6) a documented production inspection system that provides for:

(i) appropriate identification and inspection of incoming materialsand parts;

(ii) appropriate storage and protection of materials;

(iii) inspection of aeronautical product at points during theproduction process to determine conformance with design datarequirements;

(iv) segregation and identification of

rejected materials and parts in a manner that precludes incorporationin production items; and

(v) accountability for all product during manufacture and assemblyactivities;

(7) the establishment and maintenance of a Materials Review Board(MRB) and materials review procedures which ensure that:

(i) any materials and parts that are rejected because ofdepartures from design data or specifications are considered by theMRB prior to use on production items;

(ii) materials and parts determined by the MRB to be serviceableafter rework or repair are identified and re-inspected; and

(iii) records of MRB action are maintained for a minimum of twoyears after the action was taken; and

(8) provision of a certificate at the end of the production process certifyingthat the CI or aircraft conforms with all specified requirements, except asnoted.

3.5.20. Modification Installation



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(1) Modification Installation means the incorporation of changes to anexisting Type Design

following Incorporation Approval, with the exception of trial modifications.

(2) Significant aircraft maintenance activity means modification installationactivity:

(i) performed concurrently with aircraft deeper maintenance or

Intermediate Line Maintenance;

(ii) requiring substantial dismantling of primary structure orsystems to incorporate; or

(iii) involving an extended period of maintenance by theorganisation to support an SFP or limited aircraft operations.

b. Modification installation for an existing Type Design is only to be carried outby an organization holding a valid Maintenance Authority Certificate (MAC) for theapplicable scope and level of work where any significant aircraft maintenanceactivities are expected to occur.

c. Modification installation for an existing Type Design that does not requiresignificant aircraft maintenance activity may be carried out either by an organisationholding a valid MAC for the applicable scope and level of work, or the EAC holderthat developed the modification, providing the scope of engineering activitiesaddresses the following TAMM section 4:

(1) A nominated individual is responsible for the conduct of all workconducted on State aircraft or equipment, to the equivalent of Regulation4.5.3 (Senior Maintenance Manager).

(2) Documented processes are in place for assessing and authorisingpersonnel as competent to carry out the modification installation inaccordance with Regulations 4.5.6 (Maintenance Inspector/Supervisor) and

4.5.7 (Authorised Tradespersons).(3) Suitable systems are in place for the management of human factorsaffecting modification installation in accordance with Regulation 4.5.10(Human Factors in Maintenance).

(4) A suitable facility and working environment have been provided for themodification installation in accordance with Regulation 4.6.1 (AMO Facilities).

(5) Modification installation procedures meet the requirements ofRegulation 5.1.4 (Maintenance Procedures).

(6) Procedures ensure that all work undertaken on State aircraft iscertified in accordance with Regulation 5.1.5 (Maintenance Certification).

(7) Procedures ensure that all work undertaken on State aircraft isproperly documented in accordance with the applicable requirements ofRegulation 5.2 (Maintenance Records and Documentation).

(8) Appropriate Independent Inspections are undertaken as required byRegulation 5.1.6 (Independent Maintenance Inspections).

(9) Procedures are in place for the control of foreign objects during theconduct of modification installation in accordance with Regulation 5.1.8(Foreign Object Control).

(10) Procedures are in place to ensure that all applicable safetyprecautions for the aircraft type are identified and observed in accordancewith Regulation 5.1.9 (Safety).


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(11) Accurate weight and balance information is maintained for eachaircraft subject to modification, in accordance with Regulation 5.1.17 (Weightand Balance).

(12) Reporting and investigation of defects, unairworthy condition, andmaintenance incidents occurring during the conduct of the modificationinstallation are managed as required by Regulation 5.3 (Reporting andInvestigation Requirements).

(13) Procedures are in place to ensure that any deviations as defined byRegulation 3.5.8 to document proposed changes to the modificationinstallation are raised and recorded in accordance with Regulation 5.4(Deviations).

(14) All tools and support equipment required to undertake modificationinstallation are managed to the applicable requirements of Regulation 5.5.1(Tools and Support Equipment).

(15) All aeronautical product required for the conduct of the modificationinstallation is managed to the applicable requirements of Regulation 5.5.4(Aeronautical Product).

(16) A certificate is provided at the end of the production process certifyingthat the product conforms with all specified requirements, except as notedthereon.

3.6. OPERATING REQUIREMENTS

3.6.1. Continued compliance

a. The AEO shall:

(1) comply with all procedures and systems referenced in its EMP;

(2) make applicable procedures available to personnel who require thoseprocedures to carry out their duties;

(3) continue to meet the standards and comply with the requirementsprescribed in Regulations 3.4 to 3.6 for certification under this regulation; and

(4) notify the TAR within 48 hours of any circumstance that could affectthe ability of the Service AEO to meet those requirements.

3.6.2. Changes to an AEOs organisation

a. The AEO shall ensure that its EMP is amended so as to remain a current

description of the organisation.

b. The AEO shall ensure any amendment to its EMP:

(1) meets the applicable requirements of this regulation; and

(2) complies with the amendment procedures contained in its EMP.

c. The AEO shall provide a copy of each amendment to its EMP:

(1) for a Service AEO, to the TAR; or

(2) for a commercial AEO, to the Sponsor AEO.

d. Where the AEO proposes to make a change to any of the following, priorwritten notification to, and acceptance by the TAR is required:


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(1) the SDE and any DSDEs; or

(2) the design or CI management activities the holder undertakes.

e. The TAR is to be advised in writing immediately after:

(1) any change to the Senior Executive, or

(2) the cancellation, suspension, or completion of the formal instrument

as required by regulation 3.2.7.b.f. The TAR may prescribe conditions under which an AEO may operate duringor following any of the changes specified in paragraph d.

g. An AEO shall comply with the conditions prescribed under paragraph f.

h. Where any change referred to in this regulation requires a change to thecertificate (including the LEA), the AEO shall apply to the TAR for issue of areplacement certificate.

i. When the TAR issues a replacement certificate, the certificate it replaces isrevoked.

j. The AEO shall make such amendments to its EMP as the TAR may considernecessary in the interests of safety.

3.6.3. Inspections and audits

a. The AEO shall allow the TAR to carry out such inspections and audits of theorganisations design offices, facilities, documents, and records as the TARconsiders necessary in the interests of aviation safety.

b. The AEO shall conduct any internal inspections and audits of theorganisations design offices, facilities documents, and records as directed by theTAR that the TAR considers necessary in the interests of aviation safety.

c. The AEO shall provide the TAR all information that the TAR considersrelevant to the inspection or audit conducted in accordance with paragraph a.

d. Except as otherwise authorised by the TAR, each AEO shall be required toundergo an external audit at an interval not to exceed two years and as specified bythe applicable compliance assurance program as required by regulation 3.2.3.c.

(1) The audit team shall inclu

Documents

Section 2 Regulation 3