Handbook of Procedures 2008

8/14/2019 Handbook of Procedures 2008

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Handbook of Procedures

HANDBOOK OF PROCEDURES

FOR

ISSUE OF TYPE CERTIFICATE/ SUPPLEMENTAL TYPE CERTIFICATE,

APPROVAL OF DESIGN ORGANISATIONS,

APPROVAL OF CHANGES / REPAIRS, ITSOA PROCEDURE

APPROVAL OF FLIGHT CONDITIONS FOR ISSUE OF PERMIT TO FLY, FLIGHT TEST GUIDE,

APPROVAL OF TEST PILOTS

AND

GUIDELINES FOR THE PERSONNEL OF

AIRCRAFT ENGINEERING DIVISION.

AIRCRAFT ENGINEERING DIVISION

OFFICE OF THE DIRECTOR GENERAL OF CIVIL AVIATION

TECHNICAL CENTRE

OPP. SAFDARJUNG AIRPORT

NEW DELHI-110003


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GOVERERNMENT OF INDIA

OFFICE OF THE DIRECTOR GENERAL OF CIVIL AVIATION

TECHNICAL CENTRE

OPP. SAFDARJUNG AIRPORT

NEW DELHI-110003

HANDBOOK OF PROCEDURES

File Number : 5-5/2003-RDDate : 01-08-08.

Subject : HANDBOOK OF PROCEDURES -AED-HDBK, Revision -4.

The objective of this Handbook of Procedure is to establish the general principles

to be followed by DGCA to perform environmental and airworthiness certification of

aeronautical products, parts and appliances, including post certification activities, in

accordance with the applicable CAR and AMC & GM. The Handbook of Procedures,

Revision 3 has been revised in order to harmonise the procedural requirements for

certification of aeronautical products and parts with the procedures followed by

international regulatory authority. A comprehensive revision has been carried out to bring

the Handbook of Procedures in line with CAR 21, issue II, rev. 0 and certification

procedures followed by international civil aviation authorities.

This Handbook of Procedures, AED-HDBK, Revision 4 has been issued for

guidelines of officials of AED for the purpose of issue of type certificates /

supplemental type certificates, design organisation approval, repair/change approval,

continued airworthiness approval, approval of flight conditions to issue permit to fly, flighttests, ITSOA and approval of test pilots.The contents of this Handbook have been taken

from relevant subparts of Civil Aviation Requirements.

sd/-(CHARAN DASS)

Deputy Director General of Civil Aviation.New Delhi.


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RECORD OF REVISIONS/ AMENDMENTS

Amendment

No.

Date

of

Issue

Description Insertion Incorpor

ted by

Rev. 0,Amdt. No. 0

Spt.1999

The handbook covers procedure forissue of type certificate, type approval,

flight test guide, advisory circulars.

R & D

Supp lementa l Type Certificate is

added at page No. 6, paragraph

8.

Editorial c hang e at pag e No. 7

bec ause of am endment at pa ge

No. 6

Amend me nt No. 1/01, Effec : 3-09-

01A NOTE is ad ded at pa ge No. 8

( Sub part II of Pa rt I)

A NOTE is ad de d at pa ge No. 8.

(Part II)

Rev 0

Amd t No. 1

3-09-

01

A NOTE is ad de d at pa ge No. 26

(Part III)

Pages 6,7, 8 and 26. R&D Dte

Rev 0

Amd t No. 2

5-7-02 AC 01 of 2002 is added a t page

No. 38.

Pages 38, 39 and 40 R&D Dte

Requirements for DesignOrganisation Approval in Part IIare amended as per therequirements of CAR 21.

II-1 to II-9 R&D Dte

Guidelines for the officers of R&D

Dte. is inc lude d in Pa rt VI

VI-1 to VI-2 R&D Dte

Rev 0

Amd t No. 3

5-8-04

Numb ering of pa ge s are c hang ed

. Pag es are numb ered ac c ording to

their Part No. and corresponding

pag e No.

R&D Dte

Text revised Page No. I-1 to I-10

Text revised Page No. II-1 to II-10

Text revised Page No. III-1 to III-7

Revision 1, March

, 2005

Text revised Page No. IV-1 to IV-6

R&D Dte

Text revised Page No. I-4, I-6 to I-

10

Text revised Page No. I-12

Revision 2, Dec e

mber,

2005

Text revised Page No. III-1 to III-10

R&D Dte


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RECORD OF REVISIONS/ AMENDMENTS

Amendment /

Revision No.

Date

of

Issue

Description Insertion Inco rpo rate d b

Text revised Page No. I-

3,4,5,9,11,12

Text revised Page No. II-2,6

Revision 3, March

, 2007

Text ad ded Append ix B, C

and D

AED.

1. Pa rt 1 to Pa rt III a re deleted

and new parts are introduced.

Som e pa ragraphs of Pa rt I and III

are retained.

Part I to Part 9Revision No.

4,

1-08-

08

2.Part IV, V and VI a re reta ined

and introd uce d as new pa rts.

Part 10 to Pa rt 12

AED

Note : Erstwhile Research & Development Directorate (R&D Dte.) has been renamed as

Airworthiness Engineering Division (AED) of DGCA.


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CONTENT

PART 1 : TYPE CERTIFICATION PROCEDURE / RESTRICTED TYPECERTIFICATION PROCEDURE (TCP/RTCP)

PART 2 : SUPPLEMENTAL TYPE CERTIFICATION PROCEDURE (STCP)

PART 3 : TYPE CERTIFICATE CHANGE AND REPAIR APPROVAL PROCEDURE

PART 4 : PROCEDURE FOR CONTINUING AIRWORTHINESS OF TYPEDESIGN

PART 5 : DESIGN ORGANISATION APPROVAL PROCEDURE (DOAP)

PART 6 : ALTERNATIVE APPROVAL PROCEDURE FOR DESIGNORGANISATION.

PART 7 : PROCEDURE FOR APPROVAL OF FLIGHT CONDITIONS FOR ISSUEOF PERMIT TO FLY

PART 8 : PROCEDURE FOR VALIDATION / ACCEPTANCE OF TYPECERTIFICATE ISSUED BY FOREIGN AUTHORITY

PART 9 : PROCEDURE FOR ITSO AUTHORISATION

PART 10 : FLIGHT TEST GUIDE

PART 11 : GUIDELINES FOR AED-OFFICERS

PART 12: ADVISORY CIRCULARS- AED


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DIRECTORATE GENERAL OF CIVIL AVIATIONOPP: SAFDARJUNG AIRPORT

NEW DELHI-110003


PART 1

Type Certification Procedure (TCP) / Restricted Type

Certification Procedure (RTCP)


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AED-HDBKType Certification / Restricted Type Certification Procedure PART 1

CONTENT

Subject Page number

1. GENERAL 4

1.1 Introduction 4

1.2 Scope of Procedure 4

1.3 References 4

2 APPLICATION AND ALLOCATION OF TECHNICAL INVESTIGATION TASKS 4

2.1 Acceptance of application 4

2.2 Allocation of technical investigations tasks 5

3 CERTIFICATION TEAM 5

3.1 General 5

3.2 Determination of the Certification Team 5

3.3 Management of Certification Teams 6

4 CERTIFICATION PROCEDURES 6

4.1 General 6

4.2 Phase I - Technical familiarisation and establishment of the initial

Type Certification Basis 7

4.2.1 Technical familiarisation 7

4.2.2 Establishment of the initial Type Certification Basis 7

4.2.3 Recording of the Type Certification Basis 8

4.2.4 Intimation on CRI 84.2.5 Acceptable Airworthiness Design Codes 8

4.3 Phase II Agreement of the Certification Programme 8

4.4 Phase III Compliance determinations 8

4.5 Phase IV- Final Report and issue of a Type Certificate 9

4.5.1 Statement of Compliance 9

4.5.2 Final Certification Report 9

4.5.3 Type Certificate / Restricted Type Certificate 10

4.6 Imported Products 10

4.6.1 General 10

4.6.2 Type Certification under a formal agreement with the State of Design 10

4.6.3 Type Certification under a working arrangement with the State of Design 10

5 INTERFACES WITH OTHER ACTIVITIES 10

5.1 General 10

5.2 Aircraft/Engine/Propeller interactions 11

5.3 Equipment Approval 11

5.4 Design and Production Organisation Approval 11

5.5 Maintenance interactions and MRB 11

5.5.1 Maintenance interactions 11

5.5.2 Maintenance Review Board 11

5.6 Operation interactions 12

5.7 Ap prova l of Test p ilot for Prototyp e a irc raft 12


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Subject Page number

6 ADDITIONAL PROVISIONS 12

6.1 Panel of Experts 12

6.2 Resolution of Disagreements 13

6.3 Reserved 12

6.4 Documentation 12

6.4.1 General 12

6.4.2 Documents associated with Aircraft Type Certification 12

6.4.3 Documents associated with Engine and/or Propeller Type Certification 13

6.4.4 Communication and Publication 14

6.5 Confidentiality of Documents 14

6.6 Human Factor principles 14

6.7 Interior design security consideration 14

7.0 Guidelines for issue of Noise Certificate 14

8.0 Cancellation, Suspension or endorsement on type certificate 15


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0.1 Glossary

Certification Maintenance Requirements (CMR) means the imposition of a maintenance task

arising from the certification process, necessary to satisfy the airworthiness requirements.

Certification Review Items (CRI) means a document recording Deviations, Special Conditions, new

Means of Compliance or any other certification issue which requires clarification and interpretation, or

represents a major technical or administrative issue.

Deviation means any deviation from the applicable Certification requirements (CS/ FAR/ CAR-21).

Equivalent Safety Finding : See CAR 21.21(c)(2).

Imported Product means a product originating from a foreign country to be imported into India.

Special Condition : See CAR 21.16B.

Type Design means the Type Design definition (see CAR 21.31) presented by the applicant and for

which compliance is demonstrated with the DGCA Type Certification Basis.

0.2 Abbreviations / Terminology

AED Aircraft Engineering Division

AID Aircraft Inspection Division

AMC Acceptable Means of Compliance

AFM Aircraft Flight Manual

CAR Civil Aviation Requirements

CM Certification Manager

CMR Certification Maintenance Requirements

CRI Certification Review ItemCS Certification Specification (Airworthiness Code)

DOA Design Organisation Approval

DAED Director, Aircraft Engineering Division

DDG Deputy Director General in-charge of AED ( for this document only)

JDG Joint Director General

DG Director General

DGCA Directorate General of Civil Aviation

EASA European Aviation Safety Agency

ESF Equivalent Safety Finding

FAA Federal Aviation Administration

FAR Federal Aviation RegulationITSO Indian Technical Standard Order

ICAO International Civil Aviation Organisation

MoC Means of Compliance

MMEL Master Minimum Equipment List

MRB Maintenance Review Board

OEB Operations Evaluation Board

PCM Project Certification Manager

POA Production Organisation Approval

RTC Restricted Type Certificate

SC Special Condition

TC/RTC Type Certificate

TCP Type Certification Procedure

TCDS Type Certificate Data Sheet


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1 GENERAL

1.1 Introduction

Rule 49 of the A irc ra ft Rules, 1937 em pow ers the DGCA to issue Type Certific a te to

a irc ra ft/ airc ra ft eng ine / prop eller ma nufac tured in Ind ia and a lso to va lida te theType Ce rtific a te issued to the a erona utica l p rod uc ts by foreign a irwo rthiness

autho rities. A Type Ce rtific a te issued by the DGCA imp lies tha t the design o f the type

a irc ra ft to whic h the ce rtifica te refers and of the va riants spe c ified on the d ata

shee t has bee n a pprove d by DGCA. The Airc ra ft Eng ineering Division (AED) of

DGCA is responsible for issue/ va lida tion of Type Certific a te of ae rona utica l

p rod uc ts. This d oc ument has bee n p rep ared for inte rna l use o f offic ials of the AED

to p rovide the m guida nc e for Type Certific at ion of ae rona utica l p rod uc ts. This

do c ument is revised from time to time to provide upd ate d guidanc e to the o ffic ials

of AED on Type Certific a tion of aeronautica l p rod uc ts.

1.2 Scope of Procedure

This p roc ed ure de sc ribes how DGCA internally ha nd les the type certific a tion of

aeronautica l prod uc ts. The issue o f type c ertific ate is pe rforme d in ac c orda nc e w ith

the p rov isions of CAR 21 issued by DGCA, wh ich lays d ow n the req uirem ents for the

a irwo rthiness and environm enta l ce rtifica tion of a irc ra ft a nd relate d p rod uc ts, pa rts

and ap plianc es and the related Acc epta ble Mea ns of Comp lianc e (AMC) and

Guidanc e Ma terial (GM). This p roc ed ure a lso desc ribes how DGCA will hand le the

suspension or revo c a tion o f c ertific a tes acc ording to Airc ra ft Rules and CAR 21. This

p roc ed ure is a lso a pp lica b le fo r issue o f Restric ted Type Ce rtific a te.

1.3 References

Aircraft Rules 1937, CAR 21, Acceptable Means of Compliance (AMC) and

Guida nc e Ma teria l (GM) of CAR 21and ICAO Doc ume nt 9760.

2 APPLICATION AND ALLOCATION OF TECHNICAL INVESTIGATION TASKS

2.1 Acceptance of Application

App lic a tion for a DGCA Type Ce rtific a te is submitted to the DAED and made in

accordance with CAR 21.15. Ap p lic a tion for issue of Type C ertific a te is to b e

sub mitted in the form and forma t as g iven in DGCA Form CA 30 (for a irc ra ft and

rotorc ra ft) of CAR-21 in dup lica te to the Airc ra ft Eng ineering Division of DGCA,

Technic a l Centre, Op p . Sa fda rjung Airport, New Delhi- 110003. The AED

ac knowledg es the rec eipt of ap plic ation form within two we eks following the da te

of receip t by DGCA. The fees as per the Airc ra ft Rule,1937 / CAR 21 should be p a id

after receipt of preliminary acceptance letter from AED.

AED examines the ap p lic a tion. If an inc orrec t or inc om p lete informa tion is

p rovided the DAED intima tes app lica nt as soo n as possible by a letter reg a rd ing


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the om issions and errors. For any tec hnica l issue, the DAED ma y co nsult the

c onc erned AED officers or any other office rs as dee me d nec essa ry.

The DAED tog ether with AED office rs ma kes a first c hec k on eligibility ac cording to

CAR 21 and dete rmines how it will p roc eed w ith p roc essing the app lic at ion. He

c om munica tes the app lic able req uirem ents with a ll relevant informa tion to the

ap plic ant with in fifteen wo rking d ays following the d ate of rec eipt of ap plica tion.

AED officers to b e invo lved in the Ce rtifica tion Projec t, a re a lso identified . The

DAED takes nec essa ry ap p rova l from the DDG b efo re issuing the p reliminary

ac ce pta nce of the propo sal.

Afte r the eligibility of the ap p licant has bee n fully assessed , the DAED intimates

follow ing informa tion to the ap plica nt :

(a) Whethe r the app lic a tion is ac c ep ted or not, if not, the rea son thereto;

(b) The p rojec ted time frame ;

(c ) The p ro jec t file num ber ( xx/xx- yea r-AED)

(d) Preliminary ac c ep tanc e of the propo sal

(d) Fees associated with the application [Check compliance with DGCAs

app lic ab le fees as per Rule 62 of A irc ra ft Rules, 1937 / CAR 21]

After rec eipt of fees the DAED upd a tes the DGCA ap prova ls da tabase with a ll the

relevant information. In case of refusal of an application, the DAED intimates this

dec ision in writing to the a pp licant toge ther with the rea sons thereto.

2.2 Allocation of technical investigations tasks

After eligibility has been fully assessed and once in-principle acceptance is given,

the DDG establishes an appropriate DGCA certification team (see 3.2) consisting of

AED officers and hea ded by the DAED. Office rs from othe r Direc tora tes of DGCA

are also c o-opted a s tea m mem be rs d ep end ing on the co mp lexity of c ertific ation

work. Ge nera lly, the DAED is a lloc a ted with the responsibilities of Pro jec t

Certification Manager (PCM).

3 CERTIFICATION TEAM

3.1 General

The investiga tion proc ess for type c ertific at ion of an ae rona utic a l p rod uc t is

performe d b y a team of spec ialists, led by the DAED. The DAED with his team

rep orts to the DDG .

3.2 Determination of the Certification Team

In order to establish an appropriate certification team, the applicant, if deemed

nec essary by the DDG, orga nises an initia l b riefing fo r gene ra l familia risa tion with

the p rojec t. This b riefing ta kes p lac e a t a c onvenient loc a tion. The a ttend ance a t


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Direc tora tes of DGCA, if dee me d ne c essa ry. If the app lic ant is no t fam iliar w ith the

type c ertific at ion p roc ed ures then the DGCA- Type Certific a tion Proc ed ure is

explained,

Follow ing the g enera l fam ilia risa tion the DDG, dep end ing on the ca teg ory of the

produc t a nd c om plexity of the projec t, ap po ints a c ertific ation tea m led b y a DAED

c onsisting of Dep uty Direc to rs, Sen ior Sc ientific O ffice rs, Sc ient ific Offic ers and Junior

Sc ientific Offic ers of AED. Office rs from othe r Direc tora te of DGCA ma y be

included in the certific ation team d ep end ing on the c omp lexity of certific ation

project.

The c om position and size of certific a tion team s can vary and is dep end ent on the

p rod uc t which is to b e type c ertifica ted . Where the extent of the investiga tion doe s

not justify the need for a team, one person m ay pe rform the investiga tion.

A c ertific a tion te am fo r a Prop eller ma y co nsist of o nly one spec ialist, wherea s a newLarge Transport Airc ra ft, for exam p le, ma y nee d m ore spec ialists c ove ring the

d isc iplines of: Flight Test Pilot, Flight Test Eng ineer, Performa nc e, Struc tures, Power-

plant installation, Fuel systems, Hydro-mechanical systems, Electrical systems, Avionic

syste ms, Transmissions, Elec tron ic Co ntrols & Softw are, Ca b in sa fety, Environmenta l

Co ntrol systems & Ic ing, Noise & Environm enta l prote c tion.

3.3 Management of Certification Teams

The AED-officers throug h mo nitoring , c oo rd ination and ma nagem ent of DAED, a im

to ensure eq ua l trea tment o f app lic ants ac ross c ertific a tion projec ts. To ac c om plishthis, the DDG orga nises reg ular c o-ord ination me etings w ith DAED, in order to

ac hieve the administra tive and tec hnic a l sta ndard isa tion ac ross c ertifica tion

p rojec ts. Tec hnic a l training is p rovided in a reg ular ba sis to the o fficers of AED with-in

and outside the c ountry to up -da te the knowledg e o n Type Certific ation.

4 CERTIFICATION PROCEDURES

4.1 General

Onc e a n a pp lica tion is ac ce pte d and a c ertifica tion tea m is estab lished , the DGCA-type certification process can be divided in to following phases.

Phase I Tec hnic a l Familiarisa tion a nd e sta b lishment of the Type Ce rtifica tion Basis

The ob jec tive of t his phase is to p rovide tec hnic a l informa tion the definition, and the

agreem ent o n the initia l DGCA Type Certific a tion b asis of the p rojec t to t he te am

spec ialists of AED.

Phase II Agreeme nt of the Certific a tion Prog ramm e


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The ob jec tive of this phase is to de fine and a gree on p rop osed mea ns of

c omp lianc e a nd with ea c h p aragraph of the Certifica tion Basis and ide ntific ation of

the tea m involvem ent with different certifica tion prog ram for ea c h subjec t.

Phase III Com plianc e d eterminations

The o b jec tive o f this phase is to de mo nstra te the c om p lianc e w ith the Ce rtific a tion

Basis and ac c ep tanc e of the c om plianc e de mo nstration.

Phase IV- Final Report a nd issue of a Type C ertifica te

The ob jec tive of this pha se is to esta b lish and justify the c om p lianc e d em onstration

with respe c t to d esign requirem ents, type investiga tion and , based on a pprova l of

the fina l rep ort by the DDG , the issue o f the DGCA-Type Ce rtific a te.

4.2 Phase I - Tec hnic al fam iliarisation and e stab lishment o f the initia l Typ eCertifica tion Basis.

4.2.1 Tec hnic al fam iliarisation

The DGCA ce rtific a tion tea m ge ts fa milia rised tho roug h tec hnica l b riefings from the

app licant ab out the p rod uc t in order to fully understand the design, inc luding newly

used technologies and any unique or unconventional features or intended

unconventional usage of the p rod uc t. This tec hnica l informa tion a bout d esign

features, which cannot be addressed by the usual applicable certification

spec ifica tion, ma y be inc lud ed a s Spec ial Co nd itions in DGCA- Type Certific a tion

Basis.

4.2.2 Estab lishment of the initial Typ e Certifica tion Basis

Sup ported by the ce rtifica tion team, the DAED d ra fts the initia l Type Certific a tion

Basis wh ich c onsists of a pp lic ab le airwo rthiness c od e like certifica tion spec ifica tions

(CS) / Fed eral Avia tion Reg ulation (FAR), env ironm enta l p rotec tion req uirem ents

and m ay inc lude , if ap p lic able, exemp tions / limitat ion.

Spec ial Co nd itions, when prop erly justified , ma y a lso form pa rt of the Type

Certifica tion Basis. The a pp licant ma y also e lec t to c om p ly to a la ter amend me nt of

the a pp lic ab le c ertific a tion spec ific a tions which w ill then b ec om e p art of the Type

Ce rtific a tion Basis. New Spec ial Cond itions, if c onsidered as important b y the DDG ,

will nee d to unde rgo a c onsulta tion process with the a pp lic ant.

The DDG a pprove s the initial Type Ce rtific a tion Basis and any cha nges to it based

on the exam ination by the office rs of c ertifica tion tea m. The initial Type C ertific a tion

Basis ma y need to b e c hange d d uring the c ourse of the c ertific at ion p roc ess due to

new applied technologies, introduction of design changes, discovery of unsafe

c ond itions or c om p lianc e d em onstra tion results.


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4.2.3 Rec ording of the Typ e Certifica tion Basis

The DGCA Type Certifica tion Basis is rec orded by the DAED in a Ce rtifica tion Review

Item (CRI) do c ume nt. Any Deviation/ Limitat ion, Spec ial Cond ition , Equivalent Sa fety

Finding or useful interpretations and alternative means of compliance and

Exem pt ions a re presente d in deta il in a CRI doc ume nt and bec om e pa rt of the

Type Certific a tion Basis.

4.2.4 Intim ation on CRI

The PCM intima tes the ap plic ant about CRI a fter examina tion of the do cume nt

4.2.5 Acceptable Airworthiness Design Codes

a . Ac c ording to CAR 21.17(a ), app lic ab le FAA/ EASA d esign c od es for

ae rona utica l produc ts a re to be p rop osed b y the ap plic ant.

b . The a mend ment numbe r of the selec ted de sign c od e should be as

app lic able on the da te o f TC a pp lic a tion. How ever, be fore the issue of TC for

the product if any amendment to the design code is carried out due to

sa fety/ sec urity rea sons, tha t am end me nt will a lso bec om e effec tive for the

ce rtifica tion o f the p rod uct,

c . Suitab le environme nta l (emission and noise) p rotec tion req uirem ents in line

with CAR 21.18(a)&(b). Also, subpart I of CAR 21 prescribes procedure for

issue of Noise c ertific a te ,

d . If the a eronautica l prod uc t is an a irc ra ft, then eng ine/ p rop eller certific a tion

basis in line w ith CAR 21.17(a ) should be indic a ted b y the app lic ant,

e. In ac c orda nc e with CAR 21.16B, DGCA m ay imp ose spec ial c ond ition(s) in

the certification basis if it is considered that the selected airworthiness

requirement do not contain adequate safety standards for the product, or

the p rod uc t has nove l/ unusua l design fea tures, etc .

4.3 Phase II Agreement of the Certification Programme

The c ertifica tion team disc uss and a gree with the ap p lic ant on the ce rtific a tionprogramme which:

(a) defines the prop osed me ans of co mp liance with the type certifica tion basis;

and

(b) describes all the activities and certification teams involvement with respect to

compliance demonstrations, test witnessing, compliance tracking, compliance

records, conformity statements, time schedule for achieving compliance, etc. All

do c uments req uired to show c omp lianc e w ith the a pp lic ab le requireme nts and their

sc hed uled d a te o f submission to AED is identified in the C ertifica tion Prog ramme for

each subject. When defining the certification teams involvement, the applicants

Design Organisation Approval (DOA) privileges under CAR 21.A263 (b) is considered.


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Whether all com plianc e d oc uments are to be ac c ep ted , without further verific ation

or not, by the certific ation tea m is ag reed up on with the app lic ant ac c ording to

the sc hed uled leve l of involvem ent.

The PCM gives his c onc urrenc e w ith the agreed c ertific at ion p rog ramm e in writing.

4.4 Phase III Com plianc e Determina tions

The ta sk of show ing c om plianc e with the c ertifica tion b asis is the responsibility of the

ap plic ant. The a pp lic ant :

(a) defines the DGCA Type Design

(b) submits a procedure to cover equipment qualification

(c) sub mits a sta teme nt of c onfo rmity for c ertific a tion tests

(d) submits the required certification documents (including compliance reports,

manuals, etc.);

(e) concludes each compliance report with a Declaration of Compliance with the

applicable requirements.

The ac c ep tanc e o f the com p liance de mo nstra tions is the respo nsibility of the

c ertifica tion te am .

4.5 Phase IV- Final Rep ort and issue of a Typ e Certifica te

4.5.1 Statem ent of Comp lianc e

On completion of the certification programme the applicant shall provide a

dec la ra tion of comp lianc e (see C AR 21.20 (b)) tha t the type d esign of the produc t

to b e typ e c ertific a ted c om p lies with the Type Ce rtific a tion Basis. The te am

me mb ers of the Certifica tion team issue a sta teme nt ( internal note) to DAED(

Project Ce rtifica tion Ma nag er) with the ap plic ant s c omp lianc e de claration with

respect to the discipline involved. On acceptance of all necessary statements by

c ertific a tion te am, the DAED issues a c om p lianc e sta tem ent to the DDG, throug h

an internal note, confirming that the type design of the product complies with the

Type Ce rtific a tion Basis. The request of ap p lic ant for any exem ption is exam ined b y

DAED. Sa fety co nsidera tion must be ta ken in to acc ount while grant ing suc h

exemptions.

4.5.2 Final Certification Report

The DAED in con junc tion with the Ce rtific a tion Tea m, submits a rep ort to DDG,

which inc ludes type de sign of the prod uc t, the type investigat ion proc ess,

significant sub jec ts investiga ted , deta ils of tha t investiga tion, p roc ess follow ed and

the c onc lusions reg a rd ing c om p lianc e w ith the Type Certific a tion Basis. The DAED

submits this final report to the DDG for approval through an internal note.


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4.5.3 Typ e Certificate / Restric ted Typ e Certificate

After ap p rova l of fina l rep ort, the DDG intima tes the Direc tor General (DG) by an

internal note about successful closure of the technical investigation process. After

ta king consent of the DG, the DAED p rep ares TC/ RTC and Type Ce rtifica te Data

Sheets (TCDS) to b e signe d b y the JDG or DG and ensures tha t all nec essa ry steps

for c losure of c ertific a tion issues a re pe rformed. A Type Certific a te Data Shee t

bec om es a pa rt of the DGCA- TC/ RTC.

4.6 Imported Products

4.6.1 General

For type certification of aeronautical products originating from an applicant whose

principa l p lac e o f business is loc a ted o utside the te rritory of Ind ia, p roc ed ures other

than those described above may apply depending on the content of bilateralagreem ents or wo rking a rrange me nts.

4.6.2 Type Certification unde r a forma l ag reement w ith the State of Design

In c ase o f a Bila te ra l Avia tion Safety Ag ree me nt (BASA) includ ing the assoc iate d

imp lem enting proc ed ures (IP), this agreem ent ma y supplem ent, c hange or

supersede the above certification procedures. In this case, the DGCA certification

may be called validation and it is assumed that the imported product meets the

same level of co nfidenc e, a level of sa fety equivalent with an Ind ian prod uc t and

c omp arab le with a produc t de signed and manufac tured in India.

4.6.3 Type Certific ation unde r a working a rrange me nt with the State of Design

In c ase of a wo rking arrang eme nt be twee n DGCA and the co mp etent c ivil

avia tion autho rity of the exporting c ountry, the a bo ve c ertific a tion proced ures shall

app ly. How ever, based o n the working arrange me nt, the DAED ma y use the

foreign c ertifica tion system , if tha t has dem onstra ted the same leve l of indep end ent

c hec king function and c omp lianc e d emo nstration functions and c orrespo nd to

DGCA c ertifica tion basis defined und er 4.2.2 of this pa rt.

5 INTERFACE WITH OTHER ACTIVITIES

5.1 General

Co -ord ination is req uired with a number of othe r ac tivities. These a c tivities include:

(a) Aircraft/Engine/Propeller interactions

(b) Equipme nt ap proval

(c) Design Orga nisa tion Ap prova l


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(e) Maintenance interactions and MRB Process

(f) Operations interactions

(g) Ap prova l of test p ilots

5.2 Aircraft/ Engine/ Prope ller interac tions

The app lic ant fo r an a irc ra ft TC is responsible fo r insta lla tion o f eng ine/ p rop eller on

the a irc ra ft and ha s to show c om p liance with insta lla tion req uirem ents tha t ap p ly

to, over and above, those required for separate type certification of

eng ine/ prop eller. The e ngine/ p rop eller manufac turer is expec ted to supp ort the

a irc ra ft ma nufac turer in this p roc ess. The DGCA a irc ra ft ce rtific a tion tea m exam ines

interfac es betw een the relevant certific a tion spec ifica tions/ a irwo rthiness cod es.

5.3 Equip me nt App roval

For the approval of equipment that is not to be certified as part of the product,ob ta ining an ITSO(India n Tec hnica l Sta nd ard Order) Autho risa tion is the responsibility

of the eq uipm ent manufa c turer. The ITSO Authorisa tion is the rec og nition by DGCA

that the equipment meets predefined qualification and performance criteria.

How eve r, the TC a pp lica nt is responsible for all interface a spec ts betwe en

equipment approval and product certification including showing of compliance of

the eq uipm ent insta lled on h is p rod uc t w ith the Type Ce rtifica tion Basis. Ap prova l of

the equipme nt will be trea ted a s a sep ara te process for which ap prop ria te

procedures apply.

How eve r, for the e quipm ent for wh ich ITSO autho riza tion has not be en issued ,

DGCA ac c ep ts the eq uipment ma nufa c tured und er FAA TSO / ETSO

authorisation.

5.4 Design a nd Prod uc tion Organisation App roval

The DAED ensures app rop riate c om munica tion with the responsible DOA/ POA team

lea der in order to exc hang e a ny find ings by the TC team w hich ma y affec t the

c ontinuous valid ity of the organiza tional ap p rova ls of the app lica nt.

5.5 Ma intenanc e interac tions and MRB process

5.5.1 Maintenance interactions

In accordance with CAR-21.61 instructions for continued airworthiness shall be

furnished by the app lic ant. These instructions norma lly c om prises of the approved

a irwo rthiness limitation sec tion c onta ining Certifica tion M a intena nce Req uirem ents

(CMRs). Airwo rthiness limita tions and CMRs a re reviewed by the c ertific a tion team

to ensure c om p lianc e w ith the Type Ce rtific a tion Basis.

5.5.2 Maintenance Review Board (MRB) process


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MRB is intend ed to p rovide an introd uc tion to the m aintena nc e review boa rd (MRB)

process used during the development of an initial maintenance program for newly

c ertifica ted a irc ra ft s initial minimum ma intena nc e req uirem ents. The p rimary

purpose of the MRB process is to assist the design organization and the operator to

establish an initial approved maintenance program for a new aircraft and the

DGCA in approv ing tha t p rog ram. The MRB rep ort bec om es the basis for the first

issue of an op erato r s initial ma intena nc e program . Relaxations ma y be necessa ry

to a dd ress op erational or environm enta l c ond itions app lica b le to tha t op erator.

Throug h op erators experienc e a nd with reg ula tory app rova l, add itional cha nge s to

the maintenance program may be made by the operator in order to maintain a

sa fe and effic ient ma intena nc e p rog ram. The AED and the Airwo rthiness

Direc torate of DGCA and aviat ion industry a re involved in the p roc ess of

de velop ing an initial ma intenanc e program for a newly type c ertific ate d aircraft

The DDG e nsures app rop riate rep resenta tion on the MRB from the c ertific a tionteam.

5.6 Operation interac tions

If the ap p lica nt req uests to e sta b lish an operat ions eva luation b oa rd (OEB) the DDG

informs the JDG / DG for set ting up of an OEB. The JDG c onstitute s an OEB with

appropriate representation covering AED, AID, Flight Inspection Directorate,

Direc torate of Training and Lic ensing and any other Direc torate of DGCA as

dee me d nec essa ry. The DDG ensures app rop riate rep resenta tion o n the OEB from

the c ertifica tion tea m.

5.7 Ap prova l of Test pilo t for Prototyp e a ircraft

The p roc ed ure for app rova l of test pilot for p roto type a irc ra ft is la id d ow n in

Ad visory Circular num ber AC 01 of 2001. This Advisory Circula r is a va ilab le in Pa rt

12 of the Handboo k of Proc ed ures.

6 ADDITIONAL PROVISIONS

6.1 Com mittees for Spe c ial Certifica tion work

In ce rta in a rea s of type c ertific at ion w ork such as certifica tion of elec tronic

eq uipments, avionic s, softw are and system s with unusua l design fea tures and ha ving

new tec hnologies, DGCA doe s not have the experts to c a rry out c ertifica tion

wo rk. In suc h c ases DGCA c onstitute com mittee of experts from the releva nt fields

and applic ab le to the w ork unde r c onsideration. The experts for such c om mittees

a re taken from rep uted Government orga nisa tion / pub lic sec tor undertakings/

ret ired DGCA officers. DGCA enters into som e wo rking arrangem ent w ith the

c om mittee me mb ers. These com mittees a re cha ired b y the DAED / DDG and the

c om mittee wo rks ac c ording to the princ ip le of type c ertific at ion p roc ed ures of AED.


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6.2 Resolution of d isagreem ents

The Ce rtific a tion Tea m is the p rimary dec ision m aker in the p roc ess und er the

sup ervision of its PCM. The C ertific a tion Tea m should ha ve the a b ility and pow er to

take the first decisions to the largest possible extent. If the certificate

holde r/ app lica nt doe s not ag ree with the Certific a tion Tea m s dec ision, the

responsible DAED (PCM) will try to find a m utua lly ac c ep ta b le solution. If an

agreement still cannot be reached, the matter would be brought to the DDG to

take a dec ision thereto.

If further deliberation is nec essa ry then the final de c ision w ould be m ade b y the DG.

The a pp licant is informe d a bout the final dec ision.

6.3 Reserved

6.4 Documentation

6.4.1 General

Som e d oc ume nta tion, ma nua ls or sec tions of manua ls req uire forma l DGCA

approva l. The DAED on beha lf of DGCA, forma lly ap p rove s the doc ume nta tion

identified below once these are reviewed and agreed by the appropriate

c ertifica tion te am spec ialists.

6.4.2 Docum ents assoc iated with A irc raft Typ e Certifica tion

a) Aircraft Flight Manual

The Airc ra ft Flight Ma nua l (AFM) is review ed a nd should be ag ree d by the

c ertifica tion tea m. The te am dete rmines whe ther the limitations, ope rat iona l

p roc ed ures and performance c onta ined in the AFM p rovide s for sa fe op erations

and a re c om pa tible w ith the DGC A Type Design, and the DGCA Type Certifica tion

Basis.

b) Airworthiness Limitations Items and Certifica tion Ma intenanc e Req uirem ents

The d oc uments c onta ining A irwo rthiness Limitations and C ertifica tion Ma intena nc e

Req uirem ents a rising from the c ertific a tion p roc ess a re reviewe d and agreed by the

DGCA c ertifica tion te am .

6.4.3 Doc uments assoc iated with Engine and / or Prop eller Type Certification

The Airworthiness Limita tions sec tions, if g iven in one of the follow ing doc uments,

req uire forma l approva l:

(a) Engine and / or Prop eller Insta lla tion Drawing and Ma nual


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(b) Eng ine and / or Prop eller Op erat ing Instruction Manua l

(c) Engine a nd/ or Ma intenanc e a nd Ove rhaul Manual

6.4.4 Communication and Publication

Signific ant d ec isions a ffec ting the result of the certific a tion proc ed ure a re

c om munica ted by DDG to the app licant in writing. These dec isions a re relate d to

issuing, modification, limitation, suspension or revocation of certificates and are

c om munica ted to those co ncerned. The DDG takes nec essary ac tion , in orde r to

ma ke the relevant informa tion c irc ula ted .

6.5 Confide ntiality of Doc ume nts

All documents and information related to the certification procedure, submitted by

Certific ate holder/a pp licant, a re kep t in a sa fe plac e. If the ap p lica nts c hoo se tosubmit the data required to support applications in electronic format , these data

a re a lso p rote c ted and kept sa fely.

6.6 Human fac tors princip les:

The d esign of the a irc ra ft, systems, instruments and e quipment and p erforma nc e

sc hed uled sha ll ob serve Human Fac tors princip les. Guidanc e ma teria l on Human

Fac tors p rincip les can b e fo und in the Huma n Fac to rs Tra ining Ma nua l (Doc 9683)

and in the Human Fac to rs guidelines for Air Tra ffic M ana gem ent (ATM) Systems (Doc

9758).

6.7 Interior design sec urity c onsideration :

For the d esign of a n a irp lane, c onside ra tion sha ll be g iven to d esign fea tures tha t will

deter easy concealment of weapons, explosives or other dangerous objects on

boa rd a irc ra ft and tha t w ill fac ilitate sea rc h p roc ed ures for suc h ob jec ts.

7.0 Guide lines for issue of noise certificate for aircraft d esigned and

ma nufac tured in India:

7.1 The b asis for noise c ertifica tion of the a irc ra ft de signed a nd d eve loped in Ind ia

sha ll be in ac c orda nce with com p lianc e with CAR 21.18 and ICAO Annex 16,

Volume I.

7.2 The noise ce rtifica tion for the a irc ra ft designed and ma nufa c tured in Ind ia w ill

be issued by DGCA (AED). Ap p lic a tion rec eived for issuanc e of a noise

c ertific a te is assessed which inc lude s:

(a) A sta tem ent of conformity issued b y the authorized person who ho ldsrespo nsib le position in ma nufac turing organiza tion a nd c ounte rsigne d by a DGCA


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offic ia l show ing c om p lianc e to the requirem ents of Annex 16 Volume I as ame nded

from time to time.

(b) The noise informa tion which is d ete rmined in ac corda nc e with the

app licab le noise req uirem ents. This informa tion sha ll be included in the flight

ma nual, whe n a flight ma nual is req uired by the app lica b le a irwo rthiness

c od e for the pa rticular a irc ra ft.

7.3 The basis o f no ise c ertific a tion includes the Type Ce rtific a te Data Shee t

(TCDS) and the Airp lane Flight Ma nua l of the pa rticula r a irc ra ft g iving

follow ing d eta ils:

a ) Informa tion to be inc lud ed in the Type C ertific a te Data Shee t (TCDS):

Ma nufac turer and m anufac turers designa tion of airc ra ft.

Engine ma nufacturer, type and mo de l.

Prop eller Ma nufac turer, type and mo del for prop eller-d riven a eroplane s.

Ma ximum ta ke-off ma ss in kilog rams

Maximum landing mass, in kilograms, for certificates issued under Chapters 2,

3, 4, 5 and 12 of Annex 16 Volume I.

Add itiona l mod ific ations inco rpo rate d for the p urpo se of c omp lianc e with the

app lic ab le noise c ertific at ion Sta ndards.

Reference of the Chapterand Sec tionof the Annex 16 Volume I, ac c ording to

which the a irc ra ft wa s c ertific a ted and c orrespond ing noise leve ls.

b ) Informa tion to be include d in the Airp lane Flight Ma nual (AFM)

Informa tion a s included in the TCDS

Ma nufac turer s Seria l Numb er of the a irc ra ft

The he ight above the runway at which thrust/ pow er is red uc ed follow ing full

thrust/ pow er ta ke-off.

Note: A note shall be ad de d stating that the thrust/ po we r cutb ac k height relates

to the noise certification procedures and is not intended for use in normal

operation.

8.0Cancellation, Suspension or endorsement on type certificate.

Aircraft rule 49 D empowers DGCA that, if at any time, the DGCA is satisfied that

there is a reasonable doubt to indicate that the safety of the aircraft is imperilled


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because of an unsafe condition in the aircraft, helicopter, engine, component or

item of equipment of that aircraft/ helicopter, he may cancel, suspend or endorse

the c ertifica te issued o r va lida ted for the a irc ra ft, helic op ter, com pone nt or item of

equipment of the aircraft/ helicopter or may require the incorporation of any

mo d ific a tion as a cond ition of the Type Certific a te rema ining in forc e.

In addition, in dete rmining c om p lia nc e with the design aspe c ts of the ap propriate

airworthiness requirements for an aircraft, DGCA shall take whatever other steps

deemed necessary to ensure that the design approval is withheld if the aircraft is

known or suspe cte d to ha ve d a ng erous fea tures not sp ec ifica lly gua rd ed ag ainst

by those requirements.


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NEW DELHI-110003


PART 2

Supplemental Type Certification Procedure (STCP)


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Supplemental Type Certification Procedure AED-HDBK

PART 2

CONTENT

Subject Page no.

1 GENERAL 2

1.1 Introduction 2

1.2 Scope of Procedure 21.3 Abbreviations / Terminology 2

1.4 References 3

2 APPLICATION AND ALLOCATION OF TECHNICAL INVESTIGATION TASKS 3

2.1 Acceptance of Application 3

2.2 ALLOCATION OF TECHNICAL INVESTIGATIONS TASKS 42.2.1 Reserved 4

2.2.2 Reserved 4

3 CERTIFICATION TEAM 4

3.1 General 4

3.2 Determination of the Certification Team 5

3.3 Management of Certification Teams 5

4 CERTIFICATION PROCEDURES 54.1 Principles 5

4.2 Classification of Changes 6

4.3 Phase I - Technical familiarisation and establishment of the STC Basis 74.3.1 Technical familiarisation 7

4.3.2 Establishment of the initial Supplemental Type Certification Basis 7

4.3.3 Recording of the Supplemental Type Certification Basis 7

4.3.4 Intimation of CRI 8

4.3.5 Acceptable Airworthiness codes 8

4.4 Phase II - Agreement of the Certification Programme 8

4.5 Phase III Compliance Determinations 9

4.6 Phase IV- Final Report and issue of a Type Certificate 9

4.6.1 Statement of Compliance 94.6.2 Final Certification Report 9

4.6.3 Issuance of the Supplemental Type Certificate 10

4.6.4 STC for a product with FAA/EASA Type design 10

4.7 Changes to a Supplemental Type Certificate 10

4.8 STC application from a foreigncountry 104.8.1 General 10

4.8.2 Supplemental Type Certification under a formal bilateral agreement with the State of Change Design 10

4.8.3 Supplemental Type Certification under a working arrangement with the State of Change Design 11

5 INTERFACE WITH OTHER ACTIVITIES 11

5.1 General 11

5.2 Aircraft/Engine/Propeller interactions 11

5.3 Equipment Approval 11

5.4 Design and Production Organisation Approval 12

5.5 Maintenance interactions 12

5.6 Operation interactions 12

6 ADDITIONAL PROVISIONS 12

6.1 Panel of Experts 12

6.2 Resolution of Disagreements 13

6.3 Reserved 13

6.4 Suspension, limitation and revocation of a certificate 13

6.5 Documentation 136.5.1 General 13

6.5.2 Documents associated with Aircraft Type Certification 13

6.5.3 Communication and Publication 14

6.6 Confidentiality of Documents 14


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PART 2

1 GENERAL

1.1 Introduction

This part of the handbook establishes the procedure for the approval of major

changes to the type design under supplemental type certificate procedures( STCP),and establishes the rights and obligations of the applicants for, and holders of, those

certificates. Any natural or legal person (organisation) that has demonstrated, or is

in the process of demonstrating, its capability under CAR 21.112B shall be eligible as

an applicant for a supplemental type-certificate under the conditions laid down in this

procedure.

1.2 Scope of Procedure

This procedure describes the process how DGCA handles the supplemental

type certification of aeronautical products and how it issues Supplemental TypeCertificates (STC). STC is issued for approval of a major change to an approved

type design which is classified in accordance with CAR 21.91 and the designer of

the major change is usually not the Type Certificate holder.

The supplemental type certification is performed in accordance with the provisions of

CAR 21, Subpart E which lays down the requirements for the airworthiness and

environmental certification of aircraft and related products, parts and appliances and

the related Acceptable Means of Compliance (AMC) and Guidance Material (GM).

This procedure also includes the performance of supplemental type certification of

major changes designed by an organization out side India and describes how DGCA

handles the suspension, limitation or revocation of STCs according to the Aircraft

Rules,1937 and CAR -21.

1.3 Abbreviations / Terminology

AED Aircraft Engineering Division

AID Aircraft Inspection Division

AMC Acceptable Means of Compliance

AFM Aircraft Flight Manual

CAR Civil Aviation RequirementsCM Certification Manager

CMR Certification Maintenance Requirements

CRI Certification Review Item

CS Certification Specification (Airworthiness Code)

DOA Design Organisation Approval

DAED Director, Aircraft Engineering Division

DDG Deputy Director General in-charge of AED ( for the purpose of

this document only)

DG Director General

DGCA Directorate General of Civil AviationEA Exporting Authority


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PART 2

EASA European Aviation Safety Agency

ESF Equivalent Safety Finding

FAA Federal Aviation Administration

FAR Federal Aviation Regulation

GM Guidance Material

ITSO Indian Technical Standard OrderICAO International Civil Aviation Organisation

JDG Joint Director General

MMEL Master Minimum Equipment List

MRB Maintenance Review Board

OEB Operations Evaluation Board

PCM Project Certification Manager

POA Production Organisation Approval

SC Special Condition

STC Supplemental Type Certificate

TC Type CertificateTCP Type Certification Procedure

1.4 References

a) Aircraft Rules, 1937.

b) CAR-21 , AMC and GM.

2. APPLICATION AND ALLOCATION OF TECHNICAL INVESTIGATION TASKS

General technical investigation procedures are described in this paragraph. Theseprocedures specify the interfaces between various groups of AED of DGCA and

the Design Organisations.

2.1 Acceptance of Application

Applications for a DGCA Supplemental Type Certificate is sent to the DAED in

DGCA form CA 33 prescribed in CAR 21 and made in accordance with CAR

21.113. The fees should be paid by applicant to DGCA after receipt of preliminary

acceptance letter from AED.

If any incorrect or incomplete information is provided, the DAED informs the

applicant as soon as possible mentioning the omissions and errors. After receipt of

correct and complete application, the DAED immediately assigns a project / file

number, for example, xx- xx/ year- AED, to the application with preliminary approval

number and date. DAED ensures that all relevant data in the applications/approval

database are updated. For any technical issue, the DAED consults with the DDG.

After receiving the correct and complete application, the DAED, acknowledges the

receipt of the application as soon as possible. The DAED, in consultation with the

DDG, makes eligibility checks according to CAR-21 and determines how the

application will be processed and what are the applicable requirements within one

month of receipt of complete application.


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PART 2

When eligibility has been fully assessed the applicant receives a letter of acceptance

of the proposal from AED. The DAED updates the DGCA approvals database with

all the relevant information and inform the following to the applicant in writing, with a

copy to regional office if applicable:

(a) whether the application is accepted or not. If not, the reason there to,

(b) project / file number (e.g.: xx / xx- year-AED )

(c) the DGCA certification team that will perform the technical investigation. If it has

not been decided yet, the DAED will intimate the applicant the projected time

frame. This intimation follows as soon as possible, after the selection of the DGCA-

certification team.

(d) the fees payable in accordance with the applicable fees & charges laid down in

the Aircraft Rules, 1937 and CAR 21.

After receipt of fees DAED updates the database of AED and the process of STCstarts.

In order to streamline the process and to be time-efficient, any of the above

communication steps can be merged as soon as the necessary information is

available.

In case of refusal of an application, the DAED intimates his decision in writing to

the applicant together with the reasons thereto instead of a letter of acceptance.

2.2 Allocation of technical investigations tasks

After eligibility has been fully assessed and once in-principle acceptance is given, the

DDG constitutes an appropriate DGCA certification team (see 3.2) of AED officers

headed by the DAED. Officers from other Directorates of DGCA are also co-

opted as team members depending on the complexity of certification work. The

DAED is allocated with the responsibilities of Project Certification Manager

(PCM).

2.2.1 Reserved

2.2.2 Reserved

3 CERTIFICATION TEAM

3.1 General

The DGCA certification process for a Supplemental Type Certification of a change to

an approved type design is performed by a team of specialists, led by the

DAED(PCM). The DAED reports to the DDG on progress of the work.

3.2 Determination of the Certification Team


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PART 2

The objective of this phase is to provide technical information about the project to the

team specialists to enable the definition of the project and the agreement on the

DGCA Supplemental Type Certification Basis.

Phase II Agreement of the Certification Programme

The objective of this phase is to agree on the proposed means of compliance with

the Certification Basis and the identification of the team involvement.

Phase III Compliance determinations

The objective of this phase is to agree on demonstration of compliance with the

Certification Basis and acceptance of the compliance demonstration.

Phase IV- Final Report and issue of a Supplemental Type Certificate

The objective of this phase is to establish and justify the compliance demonstration

with respect to design requirements, type investigation and, based on approval of

the final report by the DDG , the issue of the DGCA-Supplemental Type Certificate..

4.2 Classification of Changes

Changes to an approved type design which will result in STCs are divided into two

categories:

Significant: A significant change is a product-level major change and results from

either an accumulation of changes or an isolated extensive change of the product

which makes the product distinct from others. It is classified in accordance with CAR

21.101(b)(1) (i) and/or (ii).

Non-significant: A non-significant change is a product-level major change

classified in accordance with CAR 21.91 that does not come with the criteria that

defines a significant change (see CAR 21.101(b)).

The classification of significant and non-significant changes shall be made byDGCA in one of the following two ways:

(a) by agreeing to appropriate controls and procedures that enable the applicant to

make a declaration that a change is non-significant. An appropriate declaration by

the applicant to DGCA may be acceptable for this purpose. In all cases, the DGCA

retains the option to be involved and decide.

(b) by accepting the determination of significance of a major change, based on the

applicants submission.

4.3 Phase I - Technical familiarisation and establishment of the STC Basis


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PART 2

4.3.1 Technical familiarisation

For significant changes the certification team needs to receive thorough technical

briefings from the applicant about the product in order to fully understand the design,

including new used technologies and any unique or unconventional features or

intended unconventional usage of the product. Those technical information aboutdesign features, which can not be addressed by the usual applicable certification

specification/ airworthiness standard/design code, and might affect the establishment

of the DGCA Type Supplemental Certification Basis are included as Special

Conditions.

For non-significant changes the technical briefings from the applicant are examined

accordingly.

4.3.2 Establishment of the initial Supplemental Type Certification Basis

For non-significant changes, the certification basis is the original Type Certification

basis of the applicable product, except when the applicant elects to comply with a

later amendment.

For significant changes, the DAED(PCM), supported by his certification team, drafts

the initial Supplemental Type Certification Basis which consists of applicable

certification specifications /airworthiness code/ design codes at the date of

application and includes, if applicable, deviations/ limitations and environmental

protection requirements.

Special Conditions, where properly justified, may also form part of the Supplemental

Type Certification Basis. The applicant may also elect to comply with a later

amendment of the applicable certification specifications which will then become part

of the Supplemental Type Certification Basis.

New Special Conditions, if considered important by the DDG shall be stipulated. The

DDG approves the initial Supplemental Type Certification Basis and any changes to

it, based on the draft prepared by the DAED.

The initial Supplemental Type Certification Basis may need to be changed along the

course of the certification process due to new applied technologies, introduction of

design changes, discovery of unsafe conditions or compliance demonstration results.

The process for such changes is the same as for the establishment of the initial

certification basis.

4.3.3 Recording of the Supplemental Type Certification Basis

If the DGCA Supplemental Type Certification Basis is different from the original

DGCA Type Certification basis of the applicable product, then the DAED records it in

a document called Certification Review Item (CRI).


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PART 2

In such cases, each Special Condition, Exemption, Equivalent Safety Findings or

useful interpretation and alternative means of compliance are presented in detail in

a separate CRI.

4.3.4 Intimation on CRI

The PCM intimates the applicant about CRI after examination of the document

4.3.5 Acceptable Airworthiness Design Codes

a. According to CAR 21.17(a), applicable FAA/ EASA design codesfor aeronautical products are to be proposed by the applicant.

b. Suitable environmental (emission and noise) protectionrequirements in line with CAR 21.18(a)&(b). Also, subpart I of CAR21 prescribes procedure for issue of Noise certificate, if

applicable.

c. In accordance with CAR 21.16B, DGCA may impose specialcondition(s) in the certification basis if it is considered that theselected airworthiness requirement do not contain adequatesafety standards for the product, or the product has novel/unusual design features, usage etc.

4.4 Phase II - Agreement of the Certification Programme

Based on the proposal of applicant, the certification team discusses and agrees

with the applicants certification programme which:

(a) defines the proposed means of compliance with the supplemental type

certification basis ; and

(b) describes all the activities and team involvement with respect to compliance

demonstrations, test witnessing, compliance tracking, compliance records, conformity

statements, time schedule for achieving compliance, etc.

All documents required for showing compliance with the applicable requirements and

their scheduled date of availability are identified by the applicant in the CertificationProgramme for each subject.

While defining the certification teams involvement, the applicants Design

Organisation Approval (DOA) privileges under CAR 21.A263 (b) is considered.

Whether all compliance documents are to be accepted, without any further

verification or not, by the certification team should be agreed upon with the

applicant according to the scheduled level of involvement.

The DAED approves the agreed certification programme and intimates the applicant

in writing.


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4.5 Phase III Compliance Determinations

The task of showing compliance with the certification basis is the responsibility of the

applicant. The applicant :

(a) defines the DGCA -Type Design(b) submits a procedure to cover equipment qualification;

(c) submits a statement of conformity for certification tests;

(d) submits the required certification documents (including compliance reports,

manuals, etc.);

(e) concludes each compliance report with a Declaration of Compliance with the

applicable requirements.

The acceptance of the compliance demonstrations is the responsibility of the DAED,

supported by his certification team.

4.6 Phase IV- Final Report and issue of Supplemental Type Certificate

4.6.1 Statement of Compliance

On completion of the certification programme the applicant provides a declaration of

compliance (see CAR 21.114) that the type design of the changed product which is

to be certificated complies with the Supplemental Type Certification Basis.

The Team members submit their observation to the DAED with the applicants

compliance declaration of the discipline involved.

On acceptance of all necessary statements of satisfaction by the certification team,

the DAED issues a compliance statement to the DDG confirming that the type

design of the changed product complies with the Supplemental Type Certification

Basis.

4.6.2 Final Certification Report

For significant changes, the DAED, in conjunction with his team, submits a report,

which covers the Type Design on which the type investigation process is based,

significant subjects investigated, details of that investigation, process followed and

conclusions regarding compliance with the Supplemental Type Certification Basis.

The DAED submits the final report in the form of an internal note to the DDG for

approval.

For non-significant changes also DAED submits an internal note to DDG for

approval. After approval of DDG, DAED takes necessary action for formal closure

of the technical investigation.

4.6.3 Issuance of the Supplemental Type Certificate


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After approval of final report, the DDG intimates the Director General (DG) through

an internal note about successful closure of the technical investigation process. The

DAED then prepares the STC and Type Certificate Data Sheets (if applicable) to

be signed by the JDG or DG., and ensures all necessary steps to close the project.

A Type Certificate Data Sheet becomes a part of the DGCA- STC.

4.6.4 STC for a product with FAA/EASA Type design

For issue of a DGCA-STC for a product with FAA/EASA Type design, the applicant

should inform the TC holder, manufacturer and Civil Aviation Authority of the state

of design under intimation to AED, DGCA. The procedure laid down in this handbook

is applicable for such products.

4.7 Changes to a Supplemental Type Certificate

In accordance with CAR 21.117(a), the procedure for approval of minor changes topart of a product covered by a STC shall follow CAR 21, Subpart D and the

Handbook of Procedures for TC changes.

In accordance with CAR 21.117(b), the approval of major changes to the part of a

product covered by a STC shall be carried out within the framework of this STC

procedure following CAR 21, Subpart E and approved as a separate STC.

In accordance with CAR 21.117(c), the approval of major changes to the part of a

product covered by a STC submitted by the STC holder itself may be approved

following this procedure as changes to the existing STC.

4.8 STC application from a foreign country

4.8.1 General

For supplemental type certification of changes originating from applicants whose

principal place of business is located outside the territory of India, procedures other

than those described above may apply depending on the content of bilateral

agreements or working arrangements.

When an application has been made within the framework of a bilateral agreement,

the DGCA may accept classification of changes by the foreign applicant. In this case

the DDG confirms that the application is in accordance with bilateral agreements.

Certification procedure shall be as per the provisions of bilateral agreement.

4.8.2 Supplemental Type Certification under a formal bilateral agreement with

the State of Change Design

In case of a formal recognition agreement between the aviation authority of State of

change design and DGCA including the associated implementing procedures, the

implementation procedures for change of product supersede the abovesupplemental type certification procedures.


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In this case, the DGCA certification may be called validation and it is assumed that

the major change designed by a foreign applicant meets the same level of

confidence and a level of safety equivalent to that required for comparison with a

major change product , designed and manufactured within India.

4.8.3 Supplemental Type Certification under a working arrangement with the

State of Change Design

In case of a working arrangement between DGCA and the civil aviation authority of

state of change design, above supplemental type certification procedures is

applicable. However, based on the working arrangement, the DAED may use the

foreign certification system, which has demonstrated the same level of independent

checking function, and compliance determination functions and correspond to the

DGCA certification basis prescribed in 4.3.2 of this part.

5 INTERFACE WITH OTHER ACTIVITIES

5.1 General

Co-ordination is required with a number of other activities. These activities include:

(a) Aircraft/Engine/Propeller interactions

(b) Equipment approval

(c) Design Organisation approval

(d) Production Organisation approval(e) Maintenance interactions

(f) Operations interactions

5.2 Aircraft/Engine/Propeller interactions

In cases where the change covers alternative engine or propeller for the aircraft,

then the STC applicant is responsible for installation of engine/propeller on the

aircraft and has to show compliance with installation requirements that apply to, over

and above, those required for a separate type certification of engine/propeller. The

engine/propeller manufacturer is expected to support the STC applicant in this

process.

The certification team examines the potential interfaces between the relevant

certification specifications/ airworthiness code and ensures proper interface

communication.

5.3 Equipment Approval

For approval of new or alternative equipment that is not to be certified as part of the

product, obtaining Indian Technical Standard Order (ITSO) Authorisation is

responsibility of the equipment manufacturer. ITSO Authorisation is the recognition

by DGCA that the equipment meets predefined qualification and performance criteria.


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However, the STC applicant is responsible for all interface aspects between

equipment approval and product certification including showing of compliance of the

equipment installed on his product with the Supplemental Type Certification Basis.

However, for the equipment for which ITSO authorization has not been issued,

DGCA accepts the equipment manufactured under FAA TSO / ETSO

authorisation.

5.4 Design and Production Organisation Approval

The DAEAD ensures appropriate communication with the responsible DOA/POA

team leader in order to exchange any findings by the STC team which may affect the

continuous validity of the organisational approvals of the applicant.

5.5 Maintenance interactions

As required by CAR-21.120 and in accordance with the provisions of the applicable

design airworthiness codes, specifications and instructions for continued

airworthiness are furnished by the applicant. Certification Maintenance

Requirements (CMRs) and Airworthiness Limitations arising there, are reviewed by

the certification team to ensure compliance with the Supplemental Type Certification

Basis.

5.6 Operation interactions

If the applicant requests to establish an operations evaluation board (OEB), the DDGproposes for setting up of an OEB to JDG/DG. The JDG/DG would constitute an

OEB with appropriate representation covering AED, AID, Flight Inspection

Directorate, Directorate of Training and Licensing and any other Directorate of

DGCA, as deemed necessary. The DDG ensures appropriate representation on the

OEB from the certification team.

6 ADDITIONAL PROVISIONS

6.1 Panel of Experts

6.1 Committees for Special Certification work

In certain areas of supplemental type certification work such as certification of

electronic equipment, avionics, software and systems with unusual design features

and having new technologies, DGCA does not have the technical experts to carry

out certification work. In such cases, DGCA constitutes committee of experts from

the relevant fields and applicable to the work under consideration. The experts for

such committees are taken from reputed Government organisation / public sector

undertakings/ retired DGCA officers / industry. DGCA enters in to a working

arrangement with the external committee members. These committee is chaired by

DAED/ DDG and the committees work according to the principle of supplemental


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type certification procedure of AED. DAED is responsible for the entire

certification work.

6.2 Resolution of Disagreements

The Certification Team is the primary decision maker in the process under thesupervision of the DAED(PCM). The Certification Team should have the ability and

power to take the first decisions to the largest possible extent. If the Certificate

holder/applicant does not agree with the Certification Teams decision, the

responsible DAED (PCM) will try to find a mutually acceptable solution. If an

agreement still cannot be reached, the matter will be brought to DDG to take a

decision thereto.

If further deliberation is necessary, then the final decision will be made by the DG.

The applicant is informed about the final decision.

6.3 Reserved

6.4 Suspension, limitation and revocation of a certificate

Based on sound justification provided by the DDG , the JDG / DG may decide to limit,

suspend or revoke a STC as per the Aircraft Rules, 1937 and CAR 21.

When a certificate or a subsequent approval to a certificate is suspended, limited or

revoked, on behalf of JDG/ DG, the DDG intimates the holder of the STC of his

decision and the reasons thereto.

6.5 Documentation

6.5.1 General

Some documentation, manuals or sections of manuals require formal DGCA

approval. The relevant documents, which are found acceptable by the DAED, are

referenced in STC, including number and revision status, and deemed to be

approved as integral part of the DGCA- STC.

6.5.2 Documents associated with Aircraft Type Certification

(a) Aircraft Flight Manual

If the change leading to a STC affects the Aircraft Flight Manual (AFM), an AFM

amendment is reviewed and agreed by the certification team.

In such cases, the team determines whether the limitations, operational procedures

and performance contained in the AFM amendment provides for safe operations and

are in accordance with the original Type Design, and the DGCA Supplemental

Type Certification Basis.


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(b)Airworthiness Limitations Items and Certification Maintenance

Requirements

The documents containing Airworthiness Limitations and Certification Maintenance

Requirements arising from the certification process are reviewed and agreed by the

DGCA certification team.

6.5.3 Communication and Publication

Significant decisions affecting the result of the certification procedure are

communicated by DDG to the applicant in writing. These decisions are related to

issuing, modification, limitation, suspension or revocation of certificates are

communicated to those concerned. The DDG makes provisions, in order to make

the relevant information circulated.

6.5 Confidentiality of Documents

All documents and information received are retained by DGCA which are related to

the certification procedure and originates from the Supplemental Certificate

holder/applicant or a third party. If the applicant choose to submit data required to

support applications in electronic format , then also , these data are protected and

kept safely.


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Effective from: 01 08 2008 AED HDBK



NEW DELHI-110003

Handbook of ProceduresPART 3

TYPE CERTIFICATE CHANGE AND REPAIRAPPROVAL PROCEDURE


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Procedure for Type certificate Change AED-HDBKand Repair Approval PART 3

CONTENTS

Subject page number

1.0 Purpose 2

2.0 Scope 2

3.0 Reference 2

4.0 Basic Principles 2

5.0 Procedure 3

5.1 Flow charts 4

6.0 Descriptions of Repairs and Changes/Modification 8

7.0 Guidelines for Change/Repair approval and Responsibilities 14


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1.0 Purpose :

This procedure defines the Type certificate change and repair approval process as

well as the approval process for stand-alone or minor changes related to revision of

flight manual.

2.0 Scope ;

This procedure applies to approval of Type certificate changes, Flight Manualchanges and repair design data approval when the applicant is the TC holder. Thisprocedure is also applicable for minor changes to TC, when the applicant is not theTC holder. In accordance with CAR 21.117(a), this procedure is also applicable toapproval of minor changes to the part of the product covered by a STC. Inaccordance with CAR 21.117(b) and (c), This procedure is not applicable to major

changes to part of a product covered by a STC irrespective of the applicantwhether the STC holder himself or any applicant. Further, this procedure is notapplicable to RTC and ITSO authorisation holder.

3.0 Documents referred

1. CAR 212. AMC and GM of CAR 21

3. ICAO Doc 9760.

4.0 Basic Principles

a) Changes :

According to CAR 21.91 changes in type design are classified as major or minor.A change which does not have any appreciable effect on mass, balance,structure, strength, reliability, operational characteristics, noise, fuel venting, exhaustemission or any other characteristics effecting the airworthiness of the product iscalled minor change. The minor changes are not significant change. The changeswhich are not minor are called major.

b) Repair :

The approval of design data of repairs follows the same principles as for theapproval of changes. However, in this case the requirements of CAR 21.101 doesnot apply. Qualification, production and release of repair parts shall followrespective provisions of CAR 21.

c) Flight Manual Changes :

Changes of Flight Manual (FM) with out a technical change of aircraft is called

Stand-alone FM change. AED approves such changes.


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Approval of a change to FM or its supplements in relation to a major technicalchange or STC is included in the technical design change. The design changeapproval would automatically approve the FM changes.

5.0 Procedure :

The structure of the procedure reflects the classification of changes and repair asmajor and minor. The procedure for major change and minor changes are describedseparately using two flow charts. The minor changes, minor repairs and standalone FM change are grouped in one flow chart.


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5.1 Flow Charts Ma jor chang e ap prova l proc essCP Certification Programm e

CRI c ertific at ion Review Items

ESF Equiva lent Safety Find ings

FR Fina l Report

I. a. w In ac corda nce with

PCM Projec t Certification Ma nag

RCM Respo nsible Ce rtifica tion Ma

RP Respo nsib le Party

RTM Responsible Tea m Memb er

S of S Sta teme nt of satisfac tion

TC Type Ce rtific a te

TCDS Type Ce rtifica te Data Sheet

Sta rt

Review the application whether

the change is significant orsubstantial & Organise technical

familiarization meeting with the

applicant-if necessary (PCM)

ESF Equiva lent Safety Find ings

FR Fina l Report

I. a. w In ac corda nce with

PCM Projec t Certification Ma nagRCM Respo nsible Ce rtifica tion Ma


RTM Responsible Tea m Memb er

S of S Sta teme nt of satisfac tion

TC Type Ce rtific a te

TCDS Type Ce rtifica te Data Sheet

Is the change

substantial?

(PCM)

Formulate programmes,

and detailed justification

(PCM)

Inform the a pp lica nt

that an ap plica tion

for a new TC is

Archive application &

correspondence

(PCM) Is

the changesi nif icant?

End

Involve Ce rtifica tion Tea m

memb ers & the ap plica nt

to estab lish TC b asis

app licab le at the da te of

ap plica tion+ spec ial

co ndition if nec essar

Initial TC b asis app lies

(21.101(d)) + spe c ial

condition (if necessary)

i.a.w. 21.16 (PCM )

Review , disc uss & ag ree o n

the Certification Program

RTM

If necessary-amend the

Certification Program

ac cording to theagreement

Acc eptance of the

Certification Program

Is the tea m

involved in

c om lia nc e

Issue compliance

dec laration (ap plica nt)

CP

Collec t a nd/ or verify

co mp lianc e findings i.a.w.

the Certification Program

Acceptance of

co mplianc e doc uments &

state ment of satisfac tion

Compliance

CRICRI revision

SC or ESF

YesNO

Yes

Yes No

No


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A

Verify com pletion of all ac tion/

issuance of final report-if applicable

Is TCDS c ha ng e is

nec essary?

Draft t he up da ted TCDS &

forward it to the PCM (ap plicant)

Draft TCDS

Document revision

Yes No

End

Sub mit fina l report/ TCDS as

ap plica ble (PCM)

Issue Tec hnica l note -ba sed on

ap plica nt s & RTM s sta tem ents-PCM

Forwa rd Tec hnica l note toDDG

Receive & sign draft

certificate/ approval

necessar DDG

PCM Forwa rds the TCDS to

web co ntact manager for

pub lica tion on DGCA web site

Forward all project relate d

do cum ents & reco rds to the

Archive all projec t relate d

doc uments & records

FR & TC a nd / or TCDS

Draft TCDS


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Majo r repair app rova l process

Review & d iscuss Certifica tion

Pro ramme- if necessar (PCM)

Is the tea m

involved in

compliance

Collect and/or verify compliance

findings i.a.w. the C ertific ation Program

CP

Yes No

Verify com pletion of a ll ac tions

Issue c omp lianc e d ec laration

Issue Tec hnica l note ba sed

on a pp lica nts & RTM s

sta tem ents if a lic ab le

Forwa rd Tec hnica l no te to DDG


certifica te/ ap proval (DDG)



res onsible office

Archive all projec t relate d


Document revisions

Draft TCDS

Note

Acc eptance of compliance

doc ume nts & internal note -RTM

Esta b lish the TC b asis (PCM)

Review the a pp lica tion &

organise technical

familiarisation meeting with

the a licant-if necessar

Sta rtCP Certifica tion Programm e

ESF Equiva lent Sa fety Find ings


RTM Responsible Tea m Me mb e


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Minor change/ repair & AFM stand-alone c hanges

Review the a pp lica tion & the

ro osed doc umentation PCM

Verify co mp letion o f all ac tions

if necessary (PCM)

Define a ction items and

involvem ent -if nec essa ry (PCM)

Issue Tec hnica l Note b ased on

comp liance doc umentation &

RTM s sta tem ents if a pplica b le

Forwa rd Tec hnica l Note (PCM)


certificate/ approval

nec essa ry (DDG)



res onsible office r PCM

Archive all project related


Action list

Action list

TN+RTMs

Sta rt

End


RTM Responsible Tea m Me m

TN Tec hnic a l Note


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6.0 Desc ription o f Rep air/ Mod ifica tion

6.1 INTRODUCTION : There a re two type of rep a irs, viz., (a) M a jor rep a ir, and (b)

Minor rep a ir. In the follow ing pages, a ll releva nt deta ils in respec t of ma jor and

minor rep a irs a nd guidanc e ma teria l of the same ha ve be en de sc ribed .

6.2 REPAIRS :

6.2.1 Major repairs :

The DGCA should advise the industry ma intena nc e pe rsonnel and a irc ra ft ow ners

and operators regarding the classification of major/ minor repairs. Major repairs are

c lassified into two c a teg ories:

a . those w hic h co nform to da ta p reviously ap proved by the DGCA; and

b. those w hic h require a dd itiona l evaluation b y the DGCA.

Those in ca teg ory (b) must b e investigated to the extent nec essa ry to d ete rmine

tha t they me et the req uirem ents of the ap p lic ab le DGCA reg ula tions.

Typic a l ma jor rep a irs a re listed below :

a ) Airframe ma jor rep a irs. Rep a irs to the follow ing pa rts of an airframe a nd

repairs of the following types, involving the strengthening, reinforcing,

splicing and manufacturing of primary structural members or their

replacement is by fabrication such as riveting, bonding or welding, area irframe ma jor rep a irs:

1) box bea ms;

2) honeycom b p ane ls;

3) mono c oq ue o r sem i-monoc oq ue w ings or co ntrol surfac es;

4) wings skins, stringers or c ho rd m embers;

5) spars;

6) p ressure bulkhea ds, do ors, hatches and w indows;

7) spars flanges;

8) mem bers of truss-type b ea m;

9) thin shee t we bs of b ea ms;

10) kee l and chine mem bers of b oa t hulls, or floa ts;11) c orruga ted shee t c om pression me mb ers which ac t a s ma teria l of wings

or ta il surfac es;

12) wing ma in ribs and c om pression mem bers;

13) eng ine p ylons;

14) eng ine mounts;

15) fuselage longerons;

16) members of the side truss, ho rizonta l truss or bulkheads;

17) ma in shee t sup port brac es and b rac kets;

18) land ing g ea r b rac e struts;

19) axles;

20) wheels;21) skis and ski pedestals;


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22) pa rts of the c ontrol system suc h a s c ontrol c o lumns, pe da ls, sha fts,

b rac kets or ho rns;

23) rep a irs involving the sub stitution of ma te rial;

24) the repa ir of p ortions of skin shee ts by ma king add itiona l sea m;

25) the sp lic ing of skin sheets;

26) t