AUTHORIZATION OF ALTERATIONS … of Alterations... · State of Design means the State which has jurisdiction over the organization responsible for the type design. 7.2 The ... DOA

AAC-004 Revision: Original March 2013 PAGE 1 of 15

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CAAB Document AAC-004

AUTHORIZATION OF

ALTERATIONS (MODIFICATIONS)

AND MAJOR REPAIRS

CIVIL AVIATION AUTHORITY OF BOTSWANA

AIRWORTHINESS

ADVISORY

CIRCULAR


Intentionally left blank


TABLE OF CONTENTS

Page number

1. Purpose 5

2. Status of this advisory circular 5

3. Effective Date 5

4. Applicability 5

5. Related Regulations 5

6. Related Publications 5

7. Definitions & Acronyms 5

8. Background 7

9. Alterations (Modifications) 7

10. Repairs 7

11. CAAB Policy for Accepting Modifications and Repairs 8

12. Process and Application: Applying for CAAB Authorization 8

13. Retention of Modification and Repair Data and Records 9

APPENDIX 1: APPLICATION FOR ALTERATION OR MAJOR REPAIR AUTHORIZATION 11 APPENDIX 2: INSTRUCTIONS FOR COMPLETING CAAB FORM AIR 129 13




1. PURPOSE This Airworthiness Advisory Circular (AAC) provides information and guidance to CAAB inspectors and to industry, and serves as acceptable means of compliance with Regulation 40 of the Civil Aviation (Airworthiness) Regulations, 2012 which requires all alterations and major repairs to aircraft to be authorized by the Authority before they are carried out.

2. STATUS OF THIS ADVISORY CIRCULAR This Airworthiness Advisory Circular is an original issuance. It repeals Aeronautical Engineering Notice (AEN) No. 05.

3. EFFECTIVE DATE This AAC becomes effective immediately.

4. APPLICABILITY

This AAC is applicable to air operators, maintenance organizations, and other entities seeking authorization to perform an alteration (modification) or a major repair on any type and class of aircraft for which a Type Certificate or equivalent document has been issued.

5. RELATED REGULATIONS

Civil Aviation (Airworthiness) Regulations, 2012: Regulation 40

Civil Aviation (Approved Maintenance Organisations) Regulations, 2012

6. RELATED PUBLICATIONS

ICAO Annex 6 Part 1 – Operation of Aircraft

ICAO Annex 8 – Airworthiness of Aircraft

ICAO Doc 9760 – Airworthiness Manual

7. DEFINITIONS AND ACRONYMS

7.1 The following definitions are used in this circular: Authority means the CAAB, unless otherwise specified. Alteration. The alteration (modification) of an aircraft or aeronautical product in accordance with an approved standard. An alteration (modification) to an aeronautical product means a change to the type design which is not a repair. Guidance for determining whether a particular alteration is major or minor may be found in the Fifth Schedule of the Civil Aviation (Airworthiness) Regulations, 2012.

Major Alteration (modification) means a type design change not listed in the aircraft, aircraft engine or propeller specifications that has an appreciable effect on the mass, balance, structural strength, reliability, operational characteristics, noise, fuel venting, exhaust emission, or other characteristics affecting the airworthiness of the product, and will be embodied in the product according to standard practices. Note: Examples of Major Alterations include FAA STCs, and EASA STCs.

Advisory Circulars (ACs) are intended to provide advice and guidance to illustrate an acceptable means, but not necessarily the only means, of complying with the regulations, or to explain certain regulatory requirements by providing informative, interpretative and explanatory material. Where a regulation contains the words “prescribed by the Authority,” the AC may be considered to prescribe a viable method of compliance, but status of that “prescription” is always “guidance” (never regulation).

Note: For the purpose of this Advisory Circular and the Civil Aviation Regulations, the words “Alteration” and “Modification” are synonymous.

Copies may be obtained from the Government

Printer.

Copies may be obtained from Document Sales

Unit, ICAO, 999 University Street, Montreal,

Quebec, Canada H3C 5H7.


Minor Alteration (modification). An alteration (modification) other than a major alteration. Repair. (i) The restoration of an aeronautical product to an airworthy condition as

defined by the appropriate airworthiness requirements. (ICAO Annex 8);

(ii) The restoration of an aeronautical product to an airworthy condition to ensure that the aircraft continues to comply with the design aspects of the appropriate airworthiness requirements used for the issuance of the type certificate for the respective aircraft type, after it has been damaged or subjected to wear. (ICAO Annex 6 definition).

Major Repair. A major repair is usually considered a repair that is not covered by the Structural Repair Manual (SRM) or acceptable standard techniques such as FAR 43. Minor Repair. Any repair that does not fall under the major repair category, meaning the repair has a negligible effect on the airworthiness of the affected product.

State of Design means the State which has jurisdiction over the organization responsible for the type design.

7.2 The following acronyms are used in this circular

ACAS Airborne Collision Avoidance System CAAB Civil Aviation Authority of Botswana CASA Civil Aviation Safety Agency (Australia) DOA Design Organization Approval EASA European Aviation Safety Agency FAA Federal Aviation Administration (United States of America) ICA Instructions for Continued Airworthiness ICAO International Civil Aviation Organization MRC Maintenance Release Certificate SB Service Bulletin SRM Structural Repair Manual STC Supplemental Type Certificate TCCA Transport Canada Civil Aviation

NOTE: Information on major repairs may be found in the Fifth Schedule of the Civil Aviation (Airworthiness)

Regulations, 2012.


8. BACKGROUND 8.1 The design of major alterations (modifications) or repairs to aircraft should not be

attempted as there is no design approval system within the state of Botswana.

8.2 Alterations (modifications) may be accepted by the CAAB when they originate from and have been approved within the State of Design of the product.

8.3 Supplemental Type Certificates (STCs) may be accepted when they are approved by an authority acceptable to the CAAB (e.g. FAA, EASA, TCCA, CASA). For this reason participation in, or review of, the alteration or repair design by qualified representatives of the organization responsible for the type design is recommended.

8.4 In the case of Botswana registered aircraft, no alteration or major repair should be embodied in the aircraft or aeronautical product without CAAB authorization as per Regulation 40 of the Civil Aviation (Airworthiness) Regulations, 2012. The CAAB will only accept and authorize an alteration or major repair upon submission of evidence showing that the proposed modification or major repair has been approved by the State of Design for the aircraft type in question.

9. ALTERATIONS (MODIFICATIONS)

9.1 Alterations are intended to change a function, operation, limitation, performance,

and/or characteristic of the physical or functional element(s) of an existing aircraft, engine, and/or propeller for the purpose of achieving a desired feature, role or capability for the affected aeronautical product. All alterations to Botswana registered aircraft should be accepted and authorized by the CAAB when they are shown to be appropriate for the aircraft (Variant and Serial Number).

9.2 The alteration should also be shown to be compatible with other alterations and STCs installed on the aircraft. For example, an alteration installing an ACAS system should be compatible with an appropriate Mode S transponder alteration or STC.

9.3 The limitations statement on the alteration or STC certificate should be assessed before the alteration/STC is embodied on the aircraft.

9.4 CAAB acceptance of the alteration will be predicated on approval of the alteration by the State of Design or type certification.

10. REPAIRS

10.1 An aeronautical product (aircraft, engine, propeller, component) will experience

accidental damage, wear and tear, environmental deterioration, fatigue, malfunction, and failure during its operational life. Repair is a corrective action intended to restore the product back to its approved type design and, is regarded primarily as a maintenance function. Accomplishing a repair on a product may involve such actions as performing maintenance or servicing procedures, replacing a defective part with a like serviceable unit or with an approved substitute part, or designing and incorporating a repair scheme. Generally, the documents encompassing the instructions for continued airworthiness (ICA) such as, but not limited to, maintenance manuals, servicing instructions, overhaul manuals, and repair manuals contain adequate maintenance procedures that are recognized by Contracting States as either approved or acceptable for purposes of accomplishing repairs to aeronautical products.


10.2 In situations where a repair design is needed, it should be approved by the State of Design and accepted by the CAAB as a way of ensuring that the product will continue to comply with the design aspects of the airworthiness standards used for the type certification of that product.

11. CAAB POLICY FOR ACCEPTING ALTERATIONS (MODIFICATIONS) AND REPAIRS

11.1 The CAAB will only accept and authorize alterations (modifications) and repairs that

have been approved by: (a) State of Design or type certification;

(b) Aircraft manufacturer;

(c) Holder of a Design Organization Approval (DOA) issued by the State of Design or Type Certification.

11.2 Examples of acceptable certifications include :

(i) EASA STC (ii) FAA STC (iii) CASA STC (iv) TCCA STC (v) ATR SB (vi) BAE Systems SB (vii) Boeing SB (viii) FAA Form 337 (ix) FAA Form 8110-3 (x) FAA Form 8100-9 (xi) EASA 21J DOA approval of minor change/repair (xii) EASA Minor Change approval

12. PROCESS AND APPLICATION: APPLYING FOR CAAB AUTHORIZATION

12.1 An application for authorization to perform an alteration or major repair on a

Botswana registered aircraft should be made in CAAB Form AIR 129 and submitted

to the Authority together with the required fee.

12.2 The completed application form should be accompanied by documentation and/or substantiating data of the alteration or repair design, including, where applicable:

(a) Airworthiness Directives, Service Bulletins, Supplemental Type Certificates,

or equivalent documents;

(b) Permission from the STC holder authorizing the applicant to use the STC for the aircraft in question;

(c) All supporting data from the State of Design ;

(d) Detailed description of the proposed modification or major;

(e) A master drawing list detailing the individual drawings and specifications which define the modification;

(f) Drawings and instructions necessary for the installation of the alteration/repair;

NOTE: STC holder permission must identify the authorized entity and the concerned aircraft by

Make and Model, Serial Number, and Nationality & Registration Marks.


(g) Submission of approved Maintenance Program amendment, if applicable;

(h) A record of the change in mass and moment arm when the modification or repair is installed in the aeronautical product;

(i) A record of the change in electrical load when the modification or repair is installed in the aircraft;

(j) Supplements to:

(1) The approved flight manual (2) Maintenance instructions (3) Instructions for continuing airworthiness (4) Repair instructions (5) Wiring diagrams (6) Illustrated Parts Catalogue

(k) Test procedures, to ensure that the alteration is correctly embodied and that

the installation functions as intended.

(l) Flight test requirements: Performance and handling test requirements/flight test of radios, if necessary;

(m) Any other factors affecting safety or airworthiness.

12.3 The application package shall be evaluated by the CAAB for completeness and acceptance. Incomplete applications will not be processed further but will be returned to the applicant. Detailed evaluation of the application will continue only when the submission has been found acceptable by the Authority.

12.4 When the application has been thoroughly evaluated and found to meet the applicable regulations and requirements, the CAAB will grant authorization to proceed with the modification or repair. The Authority will indicate authorization by placing a signature, stamp, and Authorization Number in the relevant section of the application form. The form will be handed to the applicant and will constitute authorization to start the alteration or repair work.

12.5 In the event the CAAB Inspector requires to inspect the alteration or repair work before the aircraft is released to service, applicant will be informed and will be expected to facilitate the inspection.

12.6 Once the alteration or repair work is completed, and the aircraft has been approved for return to service, the applicant should complete Sections 8 through 10 of the authorization form (i.e. CAAB Form AIR 129 at paragraph 12.4) and provide a copy to the Authority within 48 hours.

13. RETENTION OF ALTERATION AND REPAIR DATA AND RECORDS

1.1 Regulation 31 of the Civil Aviation (Approved Maintenance Organizations)

Regulations requires maintenance organizations to record details of all work carried out, and to provide the operator with a copy of each Maintenance Release Certificate (MRC), together with a copy of any specific maintenance data used for repairs and modifications carried out.

1.2 Likewise, operators are required to retain records identifying any alteration/modification or repair incorporated on the aircraft, together with records of design approval and return-to-service approval. Retention of the records is required so that the alteration/modification and repair status of the aircraft may be readily established at any time. This may be necessary if an airworthiness


deficiency is detected with an alteration/modification or repair requiring corrective measures or inspections and to ensure compatibility when making additional design changes to the aircraft.

1.3 Other regulatory requirements relating to alterations and repairs shall be complied with.

End of Advisory Circular


APPENDIX 1

APPLICATION FOR ALTERATION OR MAJOR REPAIR AUTHORIZATION (CAAB FORM AIR 129)

INSTRUCTIONS

1. Use this form CAAB Form AIR 129 to apply for authorization to perform an alteration (modification) or major repair on an aircraft or aeronautical product in accordance with Regulation 40 of the Civil Aviation (Airworthiness) Regulations, 2012.

2. Print or type all entries. Complete Sections 1 through 7 before submitting application. The CAAB will indicate authorization in section 8. Sections 9 through 11 should be completed before returning aircraft to service. [See AAC-004 Appendix 2 for guidance on completing this form]

1. AIRCRAFT Make Model

Serial Number Nationality and Registration Mark

2. OWNER

Name [As shown on certificate of registration] Address [As shown on certificate of registration]

3. UNIT IDENTIFICATION 4. TYPE

Unit Make Model Serial Number Repair Alteration

Airframe --------------- (As described in item 1 above) --------------- ☐ ☐

Powerplant ☐ ☐

Propeller ☐ ☐

Appliance Type

☐ ☐ Manufacture

5. BRIEF DESCRIPTION OF ALTERATION (MODIFICATION) OR MAJOR REPAIR

6. APPROVAL/REFERENCE NUMBER [State reference number of STC, SB or other approved document, and approving authority]

7. APPLICANT’S A. Full Name and Address B. Signature C. Date

DETAILS

8. FOR CAAB USE ONLY

A. Authorization Number: B / MA / B. Date of Authorization

C. Airworthiness Inspector Signature D. CAAB Office and Stamp

9. CONFORMITY STATEMENT

A. Organisation Name & Address B. Kind of Licence/Organisation C. Certificate/Licence Number

☐ Licensed (AME) ☐ A ☐ P or ☐ A/P

[For an AMO include the appropriate ratings issued for the major repair or alteration] ☐ Aviation Repair Specialist

☐ Approved Maintenance Organisation

☐ Manufacturer D. I certify that the repair and/or alteration made to the unit(s) identified in item 3 above and described on the reverse or

attachments hereto have been made in accordance with the requirements of Civil Aviation (Airworthiness) Regulations and that the information furnished herein is true and correct to the best of my knowledge.

E. Date F. Signature of Authorized Individual


NOTICE Weight and balance or operating limitation changes shall be entered in the appropriate aircraft record. An alteration must be compatible with all previous alterations to assure continued conformity with the applicable airworthiness requirements.

10. DETAILED DESCRIPTION OF WORK ACCOMPLISHED

[If more space is required, attach additional sheets. Identify with aircraft nationality and registration mark and date work completed.]

Nationality and Registration Mark Date

☐ Additional Sheets are Attached

11. APPROVAL FOR RETURN TO SERVICE

A. Pursuant to the authority given persons specified below, the unit(s) identified in item 3 was inspected in the manner prescribed by the Civil Aviation Authority of Botswana and is:

☐ APPROVED

☐ REJECTED

B. BY: ☐ Maintenance Organization ☐ Holder of CAAB Inspection Authorization

☐ Manufacturer ☐ Other (Specify)

C. Date of Approval or Rejection D. Certificate or Designation Number E. Signature of Authorized Individual


APPENDIX 2 – Instructions for Completing an Application for Alteration or Major Repair Authorization

Item 1 – Aircraft. Information to complete the “make,” “model,” and “serial number” blocks will be found on the aircraft manufacturer’s identification plate. The “Nationality and Registration Mark” is the same as shown on Certificate of Aircraft Registration. Item 2 – Owner. Enter the aircraft owner’s complete name and address as shown on the Certificate of Aircraft Registration. Item 3 – Unit identification. The information blocks under item 3 are used to identify the airframe, powerplant, propeller, or appliance repaired or altered. It is only necessary to complete the blocks for the unit repaired or altered. Item 4 – Type. Enter a checkmark in the appropriate column to indicate if the unit was repaired or altered. Item 5 – Brief Description of Alteration (Modification) or Major Repair. Enter a brief description or summary of the alteration/repair work to be performed. (Example 1: Replacement of Collins Autopilot/weather radar TR-12E with King Autopilot. Example 2: Repair of 10 inch wide dent at (specify location on aircraft) following a bird strike). Item 6– Approval/Reference Number. State the reference/approval number(s) of the STC, SB, or other document showing approval of the alteration or major repair scheme, together with the approving authority (e.g. FAA, EASA, etc.). Item 7 – Applicant’s Details. Enter the applicant’s complete name and address. The applicant should also sign the document and insert the current date. Item 8 – For CAAB use only. Authorization will be indicated Item 8 when the Authority determines that the proposed alteration or major repair has been approved by the State responsible for the type design, and the application meets other requirements of the Civil Aviation Regulations. Item 9 – Conformity Statement.

“A” – Agency’s name and address. Enter name of the AME, AMO or manufacturer accomplishing the repair or alteration. AMEs should enter their name and permanent mailing address. Manufacturers and AMOs should enter the name and address under which they do business.

“B” – Kind of Licence/Organisation. Check the appropriate box to indicate the type of person or organisation who performed the work.

“C” – Certificate/licence number. AMEs should enter their AME licence number in this block. AMOs should enter their AMO certificate number and the rating or ratings under which the work was performed. Manufacturers should enter their type production or Supplemental Type Certificate (STC) number. Manufacturers of Technical Standard Orders (TSO) appliances altering these appliances should enter the TSO number of the appliance altered.

“D” – Compliance Statement. This space is used to certify that the repair or alteration was made in accordance with the Civil Aviation (Airworthiness) Regulations. When work was performed or supervised by licensed AME not employed by a manufacturer or AMO, they should enter the date the repair or alteration was completed and sign their full name. AMOs are permitted to authorise persons in their employ to date and sign this conformity statement.


A signature in item 9, “Conformity Statement,” is a certification by the person performing the work that it was accomplished in accordance with applicable CAAB and CAAB-approved data. The certification is only applicable to that work described under item 8, “Description of Work Accomplished.” This signature does not indicate CAAB approval of the work described under item 8 for return to service.

Item 10 – Detailed Description of Work Accomplished. Applicant must provide a clear, concise, and legible statement describing the work accomplished in item 10 on the reverse side of the form. It is important that the location of the repair or alteration, relative to the aircraft or component, be described. The approved data used as the basis for approving the major repair or alteration for the return to service should be identified and described in this area.

(1) For example, if a repair was made to a buckled spar, the description and entered in this part might begin by stating, “Removed wing from aircraft and removed skin from outer 6 feet. Repaired buckled spar 49 inches from the tip in accordance with . . . . “ and continue with a description of the repair. The description should refer to applicable regulations and approved data used to substantiate the airworthiness of the repair or alteration. If the repair or alteration is subject to being covered by skin or other structures, statement should be made certifying that a pre-cover inspection was made and that covered areas were found satisfactory.

(2) Data used as a basis for the approving major repairs or alterations for return to service shall be approved prior to its use for that purpose and includes: Airworthiness Directives, Advisory Circulars under certain circumstances, TSO parts manufacturing approval, Approved Manufacturer’s instructions, kits and service handbooks, type certificates data sheets, and aircraft specifications. Supporting data such as stress analyses, test reports, sketches or photographs should be submitted on the form. These supporting data will be returned to the applicant by the Authority.

(3) If additional space is needed to describe the repair or alteration, attach sheets bearing the aircraft nationality and registration mark and the date work was completed.

(4) Showing weight and balance computations under this item is not required; however, it may be done. In all cases where weight and balance of the aircraft are affected, the changes should be entered in the aircraft weight and balance records with the date, signature, and reference to the work performed on the CAAB Form AIR 129 that required the changes.

Item 11 – Approval for Return to Service. Botswana Civil Aviation (Airworthiness) Regulations establish the conditions under which major repairs and alterations to airframes, powerplants, propellers, and/or appliances may be approved for return to service. This portion of the form is used to indicate approval or rejection of the repair or alteration of the unit involved and to identify the person or agency making the airworthiness inspection. Check the “approved” or “rejected” box to indicate the finding. Additionally, check the appropriate box to indicate who made the finding. Use the box labelled “other” to indicate a finding by a person other than those listed. Enter the date the finding was made. The authorised person who made the finding should sign the form and enter the appropriate certificate or designation number. Note: CAAB Form AIR 129 is not authorized for use on other than Botswana-registered aircraft. If a foreign civil aviation authority requests the form, as a record of work performed, it may be provided.



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AUTHORIZATION OF ALTERATIONS … of Alterations... · State of Design means the State which has jurisdiction over the organization responsible for the type design. 7.2 The ... DOA