Airworthiness Process Manual Preparation Instructions

Effective Date: 15 July 2020

Version in effect: 3 (Revised December 2023)

Reference: TAM Part 1, Chapter 4

OPI / Telephone: DTAES 4-5 / 819-939-4757

1. Purpose

1.1. This Technical Airworthiness Authority (TAA) Advisory provides guidance on the requirements that an organization seeking TAA accreditation must follow in developing, and obtaining TAA’s approval of, an Airworthiness Process Manual (APM).

1.2. For the purpose of this advisory, unless otherwise indicated, the term APM refers to one, or a combination, of the following manuals:

1. Engineering Process Manual (EPM);
2. Maintenance Process Manual (MPM); and
3. Materiel Support Process Manual (MSPM).

2. Applicability

2.1. This advisory is applicable to contracted organizations seeking TAA accreditation as an Acceptable Engineering, Maintenance or Materiel Support Organization.

3. Related Material

3.1. Definitions

1. Technical Airworthiness Functions – A mandatory airworthiness certification performed by an Authorized Individual on behalf of the TAA, as required by the applicable airworthiness rules and standards, in the conduct of airworthiness-related activities. Technical airworthiness functions and their corresponding organization types are listed in the following table:

2. Airworthiness-related Tasks – An airworthiness-related task is work that may affect airworthiness, performed on, or in support of, an approved type design or aeronautical product. The Technical Airworthiness Program requires that airworthiness-related tasks be performed by authorized personnel and in accordance with approved procedures. The following table illustrates some examples of airworthiness tasks by type of organization that typically performs them.

3. See the Technical Airworthiness Manual (TAM) (reference 3.2.a) Glossary for all other applicable definitions.

3.2  Regulatory References

1. C-05-005-001/AG-001 – Technical Airworthiness Manual (TAM)
2. TAA Advisory 2019-02 – Indirect Recognition of Acceptable Maintenance Organizations
3. TAA Advisory 2013-04 – Assignment of Technical Airworthiness Authority – Airworthiness Management Roles
4. TAA Advisory 2007-01 – Electronic Record Keeping Systems and Electronic Signatures
5. TAA Advisory 2007-02 – Technical Publication Management
6. TAA Advisory 2006-02 – Tool Management Program
7. TAA Advisory 2015-01 – Basic Airworthiness Exam Requirements for Maintenance Release Authority Candidates within a TAA-Accredited Organization
8. TAA Advisory 2010-01 – Ground De/Anti-Ice Operations
9. TAA Advisory 2006-01 – Calibration Management Program for Measuring Test Equipment
10. TAA Advisory 2017-03 – Human Factors Training
11. TAA Advisory 2006-03 – Engine Ground Run-up Authorization
12. TAA Advisory 2008-01 – Receiving Inspection for Parts Procured from Canadian Forces Supply System by Civilian Support organizations
13. TAA Advisory 2019-03 – Design Change Categorization – Major or Minor
14. TAA Advisory 2011-02 – Special Purpose Flight Permit
15. TAA Advisory 2011-03 – Experimental Flight Permit
16. TAA Advisory 2019-01 – Aircraft Mechanical Systems Integrity Program
17. TAA Advisory 2016-02 – Engine Structural Integrity Monitoring Requirements
18. TAA Advisory 2018-01 – Integrity Monitoring Requirements for Aircraft Electrical Wiring Interconnection Systems (EWIS)
19. TAA Advisory 2017-04 – Contract Requirements for Airworthiness Related In-Service Support Services
20. AF9000 Procedure TAA01.003– Annual Airworthiness Review Board (ARB), of the Business Management System Manual of AEPM Processes (MAP) of the Department of National Defence (DND)’s Division of Aerospace Equipment Program Management (DGAEPM) (available internally, within DND, on the MAP Online intranet site)

4. Discussion

4.1 The APM is an accredited organization’s primary means of documenting its compliance with the Technical Airworthiness Manual (TAM) rules and standards. The APM describes the policies (i.e., the ‘what’) that govern the organization’s performance of airworthiness-related activities, and it defines the scope and depth of technical airworthiness authority that the TAA assigns to the organization. In addition, core procedures and/or work instructions (i.e., the ‘how’) should also be referenced within the applicable section of the APM.

4.2 The APM is normally published as a stand-alone document. In some cases, however, it may be more practical to publish it as a section of another document, such as an organization’s procedures manual. This is acceptable, provided that the following conditions are satisfied:

1. the section constituting the APM is clearly indicated or segregated, and meets the requirements of reference 3.2.a; and
2. the section constituting the APM, including its amendments, are submitted to the TAA for approval.

4.3 In some cases, an applicant may wish to combine into a single manual the APM contents relevant for more than one type of accredited organizations. For the example, an applicant might create a single APM that documents compliance to the rules and standards of the TAM for an ADO and an ATO, or an ATO and an AMO. While blending of APMs is possible, it is not recommended when the two paired organizations have different airworthiness managers (e.g., the Senior Design Engineer (SDE) for the ATO is different from the Senior Maintenance Manager (SMM) for the AMO). This creates additional administrative overhead, as some common parts of the APM will have to be signed off by both managers, while others would only require the signature of the applicable manager.

4.4 The APM may be published in electronic or hard copy format. It is expected that the APM will be integrated into the organization’s quality system and, as such, be written in a way that meets all of the organization’s internal quality requirements, including the requirement to perform periodic audits of the APM and the associated governing procedures.

4.5 In accordance with reference 3.2.a, each organization seeking accreditation shall develop, and submit for TAA’s approval, an APM which must follow all the requirements of this advisory. Additional guidance on developing an APM is provided in Annex A to this advisory. In general, an APM should include the following sections, further described in paragraphs 4.5.1 through 4.5.8:

1. Introduction (see paragraph 4.5.1);
2. Organization Description (see paragraph 4.5.2);
3. Support Arrangements (see paragraph 4.5.3);
4. Personnel Authorization Control (see paragraph 4.5.4);
5. Airworthiness Control System (see paragraph 4.5.5);
6. Airworthiness Documentation System (see paragraph 4.5.6);
7. Safety Programs (see paragraph 4.5.7); and
8. Quality Management System (see paragraph 4.5.8).

4.5.1 Introduction. An introduction section should include:

1. An “Approval” page, which is normally at the beginning of the APM and includes the following:
   1. Revision and change identification,
   2. Date of revision or change, and
   3. As applicable, the name, function and signature of the person who prepared, reviewed, and approved the revision or change within the organization.
2. A “History of changes” page that includes columns for the following:
   1. Revision or change number;
   2. Date of revision or change; and
   3. Summary of the content and/or reason for the revision or change.
3. A list of effective pages, which is a means of describing what changes occurred in a particular revision, by marking each page within the APM that was affected by change, and/or describing the change in the “Reason for revision” section, with appropriate page change markers.
4. The letter of approval/accreditation from the TAA. Typically, an organization is initially provisionally accredited by letter. This letter may include the initial approval of the APM and is inserted in the APM. The organization’s provisional accreditation letter remains in the APM until it is superseded by a full accreditation letter. For all subsequent changes to the APM, the changes are submitted to the TAA for approval and, for each release, a new TAA approval letter is provided. There is no requirement to embed the change approval letters in the APM, as well. Instead, they should be referenced on the “Approval” or “History of change” page.
5. A list of Abbreviations, Acronyms and Symbols that provides explanations for all abbreviations and acronyms used in the document.
6. A Table of Contents. Table of Contents samples for an EPM, MPM and MSPM are provided at Annex B, Annex C and Annex D, respectively.
7. References. It is recommended that any procedures referenced in the APM be listed in an “Applicable References” section, in addition to being referenced from within each applicable section of the APM.
8. Incorporation by reference. Within the “Applicable References” section, there should be a segregated list of documents called “Incorporation by reference”. This list will include all documents incorporated by reference that contain policy information, which would normally be included in an APM (as stipulated in reference 3.2.a). The following guidance is provided with regards to the “Incorporation by reference” list:
   1. Information incorporated by reference is considered part of the APM and is subject to TAA review and approval during the organization’s accreditation process.
   2. During the initial review and approval of the APM, the TAA will normally stipulate what documentation or procedures are to be incorporated by reference. While the goal is to limit the number of documents incorporated by reference, when deemed necessary, the TAA will highlight the requirement on the initial APM approval letter.
   3. Subsequent changes to these referenced documents are not subject to TAA approval, unless otherwise specified in the formal letter mentioned above, prior to publishing the ‘incorporated by reference’ procedure by the organization, provided that:
      1. the revised information is not linked to a proposed change to the APM;
      2. the revised information has been reviewed and approved by the person responsible for the airworthiness-related activities within the organization, to ensure that the revised information remains in compliance with the APM and the TAM requirements; and
      3. a copy of the revised information is submitted to the TAA for review and information.
   4. Incorporation by reference may be used for references to detailed information, or information subject to frequent change in another controlled document, such as a procedures manual, work instruction and/or scope capabilities list. Even when documents are incorporated by reference, the APM must still include policy information describing the content and purpose of each document that was incorporated by reference.

Notes:
1. Incorporation by reference may not be used when a company’s Intellectual Property (IP) policy prevents the company from releasing the referenced information to the TAA for review. In this case, the relevant airworthiness policy and processes need to be adequately defined within the APM.
2. An example of a document that is normally incorporated by reference is a “capabilities list”, which defines the scope of maintenance in an approved maintenance organization. If this list is not included in an annex of the MPM, it is expected that an external document be maintained, to keep the TAA informed on the addition of new capabilities that may impact the scope of airworthiness authority for the organization.

9. Approval, amendment, and distribution. The APM approval process should be sufficiently described in the APM and is expected to meet the requirements of reference 3.2.a. The following guidance is provided with regards to the approval, amendment and distribution of the APM:
   1. The manual (both initial release and amendments) must be submitted to the TAA for approval prior to its distribution by the organization, with a covering letter signed by the individual who is responsible for the airworthiness management role within the organization, highlighting the reasons for the changes, as applicable.
   2. It is recommended that the organization develop a system for classifying APM changes (as major or minor). This will allow the organization to approve and publish minor changes without TAA approval. Changes are considered minor when they:
      1. are editorial in nature;
      2. do not change the manner in which the process is conducted; and
      3. remain compliant with the TAM.
   3. If, at any point in the classification process, there is doubt as to whether the change is minor or major, the TAM may be consulted for guidance. Unlike the process for major changes, there is no need to produce a covering letter for minor changes. However, a copy of the published change shall be provided to the TAA for information. Process manuals and proposed amendments may be forwarded to DTAES 4 through the following channels:
      1. By Mail/Courier, at: Directorate of Technical Airworthiness and Engineering Support 4
         National Defence Headquarters
         Major-General George R. Pearkes Bldg.
         101 Colonel By Drive
         Ottawa ON K1A 0K2
      2. Electronically (in the case of Process manuals and proposed amendments), provided they are in a format mutually agreed with the TAA. Normally, the TAA expects the document to be delivered in a text-based format (i.e., MS Word) to allow for review and comment. DTAES 4-5 staff contact information is available on the DTAES intranet.

10. Publication. An organization shall amend and publish each copy of its APM within 30 days from obtaining TAA approval for an amendment.
11. Statement of Commitment. The statement of commitment is normally provided by the Company’s senior manager or Accountable Executive (AE). There is no requirement to affix a signature to the statement of commitment within the APM. However, it needs to be specifically detailed, including the position of the individual. The AE or Senior Manager shall commit to:
    1. providing the resources required for the effective performance of the airworthiness-related activities of the Accredited Organization;
    2. granting staff within the Accredited Organization the power to effectively perform the authorized airworthiness management roles and technical airworthiness functions on behalf of the TAA;
    3. ensuring that personnel within the Accredited Organization remain knowledgeable and skilled with respect to their technical airworthiness responsibilities;
    4. granting access to the TAA staff to perform oversight activities to assess compliance with the APM; and
    5. acknowledging that non-compliance with the TAM may result in loss of acceptability of the organization.
12. Statement of Acknowledgement by the Airworthiness Manager. The Senior Design Engineer (SDE), Senior Maintenance Manager (SMM) or Senior Materiel Support Manager (SMSM) is required to acknowledge their airworthiness responsibilities upon assignment of authority. 

4.5.2 Organization Description. The APM must include a description of the accredited organization, including:

1. legal name of the company and its location;
2. contact information and mailing address of the company;
3. the company’s scope and depth of technical airworthiness authority, which should be sufficiently well-defined and detailed to provide a clear understanding of the airworthiness responsibilities and activities of the organization;

4. a description of the facilities/offices, including location, size and capabilities (including shops for off-aircraft maintenance, if applicable), required to execute the airworthiness related activities, commensurate with the scope and depth of authority defined in the contract;

5. a description or illustration of the accredited organization’s internal lines of responsibility and communication to the designated TCH Organization. The organizational structure should describe the duties and responsibilities of the key management positions within the organization, including satellite locations, if applicable. To provide clarity, an organizational chart depicting the accredited organization should be provided. It is not recommended to include the name(s) of the individual(s) in the APM, as changes to personnel would require an APM amendment.

4.5.3 Support Arrangements. Where the organization is supported by other organizations (support arrangements), the APM must describe the policy on how to enter into, and manage, support arrangements, including:

1. a description of the process of entering support arrangements with service providers, including evaluation (i.e., sight visits, surveys, Transport Canada Civil Aviation (TCCA)’s current scope and rating, etc.) against defined selection criteria;
2. a description of the process set in place for the specification of tasks to be performed, for the exchange of applicable technical data and for acceptance of the completed work. The applicable technical data for the work to be performed may include drawings, specifications, standards and publications, such as the relevant portions of maintenance manuals, the accredited organization’s APM and associated procedure manuals;
3. a description of the process set in place for service provider performance monitoring, ongoing oversight and associated frequency; and
4. a listing of the supporting organizations, with a summary of the aeronautical products and associated components involved, the work normally performed and, if applicable, each organization's scope and depth of assigned technical airworthiness authority. For organizations providing engineering support, it is important to describe the organization (i.e., Original Equipment Manufacturer (OEM), recognized, accredited or engineering specialist) and the type of information being provided (i.e., certified design change, specialist advice on specific field of expertise (flight dynamic, loads, stress, human factor, etc.). Any prime or key support organizations should be identified in the APM, including their scope and depth of airworthiness authority.

4.5.4 Personnel Authorization Control

4.5.4.1 The APM should provide a description of the system that the accredited organization uses to authorize personnel to perform applicable airworthiness management roles, which includes the granting, acceptance and revoking of technical airworthiness functions and airworthiness-related tasks. The personnel authorization system should include:

1. A controlled and documented process for the development, training and authorization of personnel. When individuals are authorized to perform airworthiness tasks or functions, there should be a means for these individuals to accept the authorization and corresponding responsibilities;
2. A system to track and record personnel qualifications, experience and authorizations, including tracking of expiration dates, such as an Aircraft Maintenance Engineer (AME) license or run-up qualifications; and
3. A system to monitor the performance of airworthiness management roles, technical airworthiness functions and airworthiness-related tasks, and to periodically review personnel authorizations.

4.5.4.2 The APM must include a description of the eligibility criteria (knowledge, skills and experience), responsibilities and authorizations of key position(s), as applicable, within the organization. The APM does not have to include a list of names of individuals performing airworthiness functions, but one must be made readily available to the TAA upon request. The APM should define:

1. Management Roles: The responsibilities of the individual within the organization who is designated directly by the TAA to perform airworthiness management roles (i.e., SDE, SMM, or SMSM). Listing the manager’s eligibility criteria for the position within the APM is considered optional, since the Senior Manager is assigned authority directly by the TAA, measured against a predefined eligibility matrix detailed at reference 3.2.a and reference 3.2.c;
2. Persons Responsible for Assignment of Authority (PRAA): The position title, responsibilities, authorizations and defined eligibility criteria of the position(s) responsible for the granting authorities within the organization. In an AMO, this is typically the PRAA. In an ADO/ATO, granting of authority is a responsibility of the SDE. For AMSO, this may be the responsibility of the SMSM, or a SMSM delegate.
3. Airworthiness Functions: The position title, responsibilities, authorizations and defined eligibility criteria of the positions(s) within the organization that will be authorized to perform Airworthiness Functions, including:
   1. Maintenance Release Authority (MRA);
      1. Shop Certification Authority (SCA); and
      2. Aircraft Certification Authority (ACA).
   2. Aircraft Release Authority (ARA);
   3. Findings of Compliance;
   4. Airworthiness approval;
   5. Granting of Flight Authority;
   6. Technical Airworthiness Clearance (TAC); and
   7. Manufacturing Product Conformance.
4. Remote Certification Authority (RCA): The process and defined responsibilities for authorizing a RCA.
5. Airworthiness-Related Tasks: The position title, responsibilities, authorizations and defined eligibility criteria of the positions(s) within the organization that will perform technical airworthiness-related tasks that may affect airworthiness, performed on, or in support of, an approved type design or aeronautical product. A few examples of airworthiness-related tasks are maintenance, elementary tasks, planning, log control, engineering support, field service, receiving inspections, etc.

4.5.4.3 Ongoing Training Program. A description of the ongoing training program to meet the initial, recurring and additional training requirements of the organization and its satellite locations, if applicable. An effective ongoing training program is the primary means by which the commitment made by the head of the company is fulfilled. The training program will ensure that individuals in airworthiness management roles, performing airworthiness functions and/or airworthiness-related tasks are provided:

1. Initial training, to ensure individuals in airworthiness management roles and those performing airworthiness activities are aware of the airworthiness roles, responsibilities, functions and tasks they will perform. This will include the airworthiness control system and airworthiness documentation system used within the organization. This training is expected to cover the organizations APM and Quality Program, and provide a basic understanding of the DND/CAF Airworthiness Program.
2. Recurring training to ensure personnel remain competent in the performance of a function or task that does not occur frequently, or when the complexity and/or criticality requires it. It can also be used to make personnel aware of any changes within the organization or mandatory briefings/training. The APM should specify those qualifications and authorizations that have special recency or re-qualification requirements. For example, an AMO MPM should clearly state the requirements for maintaining or regaining qualifications, such as run-ups, aircraft weighing, welding, NDT, NDT operators, human factor training, flight safety, etc.
3. Additional Training Requirements may be imposed due to changes in the organization’s scope and/or airworthiness-related processes or procedures. Additional training will also be required when identified by an individual in an airworthiness management role to address quality findings or flight safety incidents.

4.5.4.4 Revoking of Authorizations. The organization must have a system to track authorizations that have been revoked. In the case of authorizations controlled by stamps and/or electronic signatures, a description that explains their control will also be required. Generally, authorizations are revoked upon termination of employment, or when a senior manager (SDE, SMM or SMSM) deems appropriate to do so. Additionally, reference 3.2.a, Part 1, Chapter 4, Section 2, Annex C defines specific requirements for revoking authorizations within an AMO.

4.5.5 Airworthiness Control System

4.5.5.1 The airworthiness control system consists of the processes necessary to ensure that the technical airworthiness functions and airworthiness-related tasks involved in technical support, maintenance, materiel support and/or design support are performed in compliance with the organization’s TAA-approved APM.

4.5.5.2 An airworthiness function is a mandatory airworthiness certification performed by an Authorized Individual on behalf of the TAA, as required by the applicable airworthiness rules and standards, in the conduct of airworthiness-related activities. Depending on the type of organization, airworthiness functions may include:

1. design change control, including assessment of airworthiness significance, airworthiness approval and Technical Airworthiness Clearance (TAC), and granting flight authority, in accordance with reference 3.2.a;
2. manufacturing control, including a conformity inspection system to ensure the conformance of the product to the approved type design, in accordance with reference 3.2.a;
3. maintenance control, including maintenance scheduling, deferral of defects and control of maintenance release, aircraft release, and aircraft empty weight and balance, as specified at reference 3.2.a;
4. airworthiness risk management, in accordance with reference 3.2.a, Part 5, Chapter 1;
5. monitoring of approved type design and/or in-service aeronautical products for airworthiness degradations, in accordance with reference 3.2.a; and/or
6. other processes necessary for the type of organization or the method of operation, such as inventory control, contract initiation and award, control of suppliers and sub-contractors, including evaluation, selection and performance recording.

4.5.5.3 An airworthiness-related task is work that may affect airworthiness, performed on, or in support of, an approved type design or aeronautical product. The Technical Airworthiness Program requires that airworthiness-related tasks be performed by authorized personnel and in accordance with approved procedures. Examples include:

1. engineering and technical support, monitoring airworthiness related activities, performing technical investigations, maintaining configuration control and documentation of aeronautical products;
2. configuration management, including configuration identification, configuration control, configuration status accounting and configuration audit of the approved type design and in-service aeronautical products, in accordance with reference 3.2.a;
3. manufacturing, fabricating, inspecting and assembling parts;
4. maintenance, inspecting component, troubleshooting system, repairing part and installing replacement part;
5. materiel support, including purchasing, receiving and storage control, in accordance with reference 3.2.a; and
6. designing, developing detail design, performing structural analysis, testing prototype and approving drawing.

4.5.6 Airworthiness Documentation Control

4.5.6.1 The APM must provide a description of the airworthiness documentation control system used to manage and control the airworthiness-related information, technical record, or data and publications used and generated by the organization, in accordance with reference 3.2.a. This includes a brief description of the data management responsibilities and the processes for the production, acquisition, maintenance, identification, change control, release, distribution, traceability, filing, storage, safe keeping, accessibility, retrievability, retention and disposal of documents.

4.5.6.2 If electronic media is used, a description of the means used to meet the requirements of reference 3.2.a must be provided. Means of compliance for the implementation of Electronic Record Keepings Systems and Electronic Signatures are defined at reference 3.2.d.

4.5.6.3 For the management of technical publications, see reference 3.2.e.

4.5.6.4 The technical data required by an organization depend on the airworthiness-related activities or other services provided within the scope and depth of authority assigned during accreditation. They may include:

1. Information and documents, such as drawings and specifications required to describe the approved type design;
2. The information and data required to prove compliance with the certification basis;
3. The information contained in the Type Record for an approved type design;
4. The information necessary to define the approved maintenance program;
5. Approved publications; and
6. Any associated references and specifications used to substantiate a decision that affects the airworthiness of an aeronautical product.

4.5.6.5 When a TCH organization has their WSSN managing the initial type record and design changes, it is acceptable for the type record to be maintained by an OEM, provided there are provisions for full access to the data by the TCH organization and the TAA, upon request. In this case, the APM would need to describe how the TCH organization accesses the type record data.

4.5.7 Safety Programs

4.5.7.1 The APM requires a brief description of the airworthiness-related safety program(s) of the organization, including details where a safety program is used to satisfy reference 3.2.a requirements.

4.5.7.2 The safety programs implemented by an organization for reasons other than airworthiness may satisfy specific airworthiness-related requirements specified at reference 3.2.a, Part 3, Chapter 4. For example, the occurrence reporting requirements for a General Safety Program or Flight Safety Program may partially satisfy the aeronautical product monitoring requirements.

4.5.7.3 The following are examples of safety programs:

1. Flight Safety Program. A flight safety program that meets DND’s flight safety requirements for contract organizations is required. This program will be evaluated and monitored by DFS;
2. Air Weapons Safety Program (if applicable);
3. Tool Control Program. Maintenance and Manufacturing organizations are expected to have a tool control system that meets reference 3.2.f;
4. Foreign Object Damage (FOD). Maintenance and Manufacturing organizations are expected to have a FOD program;
5. Workplace Hazardous Materials Information System (WHMIS); and
6. Raising Service Difficulty Reports (SDRs) and safety management systems (SMS).

4.5.8 Quality Management System (QMS)

4.5.8.1  Reference 3.2.a requires that an APM include a description of a quality management system and processes. It must detail the standard on which the quality management system is based, stipulate the registrar chosen, including the registration scope assigned to the organization, and must meet the requirements found at reference 3.2.a, Part 1, Chapter 6, Section 2.

4.5.8.2 The APM must include a description of the review/audit requirements and schedule for the APM, and all associated quality management system processes and procedures, including those applicable to the satellite operations, to provide assurance that continued compliance with the airworthiness rules and standards is maintained throughout the organization. An organization’s QMS would describe topics, such as:

1. audit schedule and internal approval process;
2. how applicable sections of the APM and core procedures are incorporated within the audit schedule;
3. how audit frequencies are defined for the applicable scope selected;
4. how audits are conducted and documented;
5. types of observations raised by the organization (i.e., Opportunity for Improvement (OFI), observations and non-compliances) and associated time frame to develop a corrective action plan (CAP) and containment, when applicable;
6. extension policies and documentation raised, when a CAP cannot be produced as originally agreed upon by the quality auditor;
7. CAP approval process;
8. how follow-up activities are conducted and documented, when deemed necessary;
9. how each observation is closed, including the overall audit report; and
10. frequency and subjects discussed at the management review meeting for assessing the health of the organization’s QMS.