Technical Airworthiness Clearance of Surveillance Systems

Effective Date: 6 May 2021

Reference: C-05-005-001/AG-001 – Technical Airworthiness Manual, Part 2, Chapter 3, and Part 3, Chapter 2

OPI/Telephone: DTAES 6-4 / 819-939-4714

1. Purpose

1.1 This Technical Airworthiness Authority (TAA) Advisory provides guidance for obtaining airworthiness approval and Technical Airworthiness Clearance (TAC) of civil and military surveillance systems installed on Department of National Defence (DND)/Canadian Armed Forces (CAF) aircraft.

1.2 Specifically, this document provides advisory material for demonstrating compliance with the certification requirements applicable to:

1. civil Mode A, C and S transponders, Automatic Dependent Surveillance Broadcast (ADS-B) Out systems, and ADS-B In surveillance systems, in accordance with Parts 2 and 3 of the Technical Airworthiness Manual (TAM) (regulatory reference 3.2.1.a);
2. Military Identification Friend or Foe (IFF) Mode 1, 2, 3 and 5 systems, in accordance with Parts 2 and 3 of the TAM; and
3. obtaining a Technical Airworthiness Clearance (TAC) of a civil and/or military surveillance system.

2. Applicability

2.1 This advisory applies to all DND/CAF personnel, as well as their support contractors, who are seeking to obtain an airworthiness approval and TAC for the installation of surveillance systems on DND/CAF aircraft.

2.2 This advisory addresses Canadian, United States and European requirements. Unless otherwise specifically stated, systems determined to be compliant with these requirements are suitable for worldwide operational use.

2.3 This guidance may be adapted for use in performing the Type Design Examination (TDE) of a surveillance capability that has been previously approved by a TAA-recognized airworthiness authority.

2.5 Throughout this document, the term ‘Applicant’ is used to refer to the organization applying for the design approval of a surveillance system. For a new DND/CAF aircraft fleet, this is normally the Systems Engineering Manager (SEM) in a Project Management Office (PMO). For design changes to existing DND/CAF aircraft, the applicant is the Weapon System Management (WSM) organization.

3. Related Material

3.1 Definitions. With the exception of 3.1.b, the terminology adopted in this document originates in the Glossary of the TAM (regulatory reference 3.2.1.a).

1. Aircraft. An aeroplane, helicopter or other machine capable of flight.
2. Surveillance System. For the purposes of this advisory, a surveillance system is:
   1. a civil Mode A, C and/or S transponder system;
   2. an ADS-B Out system;
   3. an ADS-B In system; or
   4. a Military IFF Mode 1, 2, 3, and 5 system.
3. Unmanned Aircraft (UA). An aircraft that is designed to operate with no human pilot on board and which does not carry personnel. Moreover, an UA is:
   1. capable of sustained flight by aerodynamic means;
   2. remotely piloted, or automatically flies a pre-programmed flight profile;
   3. reusable; and
   4. not classified as a guided weapon or similar one shot device designed for the delivery of munitions.

3.2 References

3.2.1 Regulatory References

1. C-05-005-001/AG-001 – Technical Airworthiness Manual (TAM)
2. C-05-005-001/AG-002 – Airworthiness Design Standards Manual (ADSM)
3. A-GA-005-000/AG-001 – DND/CF Airworthiness Programme
4. B-GA-104-000/FP-001 – Operational Airworthiness Manual (OAM), Chapter 3, section 312

3.2.2 Non-Regulatory References

1. North Atlantic Treaty Organization (NATO) Identification Friend or Foe (IFF) Mode 5 National Origin (NO) Codes – AC/322(CP/2)N(2019)0016-COR1 (INV) (available internally, within DND, at AEPM RDIMS #2010539)
2. United States Department of Defense (U.S. DoD) Air Traffic Control Radar Beacon System, Identification Friend or Foe, Mark XII/XIIA Systems (AIMS) Program Office (PO), AIMS 03-1000B, Technical Standard for the ATCRBS/IFF/MARK XIIA Electronic Identification System and Military Implementation of Mode S, Amendment 1, 1 July 2015
3. NATO Standardization Agreement (STANAG) 4193, Edition 3 – Technical Characteristics of IFF MK XA and MK XII Interrogators and Transponders
4. European Commission, Commission Implementing Regulation (EU) No. 1207/2011, Brussels: Official Journal of the European Union, 2011, as amended by EU 2020/587, 2020
5. Transport Canada Civil Aviation (TCCA) Advisory Circular (AC) 700-004, Airborne Collision Avoidance System Advisory Material
6. TAA Advisory 2006-04 – Installation of Miscellaneous Non-Required Equipment
7. European Union Aviation Safety Agency (EASA) European Decision 2019/011/R, Certification Specifications (Book 1) and Acceptable Means of Compliance (Book 2) for Airborne Communication, Navigation and Surveillance Issue 2 (CS-ACNS), 26 April 2019
8. TCCA AC 700-009, Automatic Dependent Surveillance – Broadcast
9. ADS-B Out Update for Royal Canadian Air Force (RCAF) Flying Units – Clarifying the Exemption of Canadian State Aircraft Conducting DND Flight Operations in the U.S. (available internally, within DND, at AEPM RDIMS #1970856)
10. United States Code of Federal Regulations, Title 14 (14 CFR), section 91.225, Automatic Dependent Surveillance – Broadcast Out equipment
11. 14 CFR, section 91.227, Automatic Dependent Surveillance – Broadcast (ADS-B) Out equipment performance requirements
12. FAA AC 20-165B, Airworthiness Approval of Automatic Dependent Surveillance – Broadcast OUT Systems, Revision B, dated 12 July 2015
13. FAA AC 20-172B, Airworthiness Approval for ADS-B IN Systems and Applications Document Information
14. FAA TSO-C166b, Extended Squitter Automatic Dependent Surveillance – Broadcast (TIS-B) Equipment Operating on the Radio Frequency of 1090 Megahertz (MHz)
15. EASA Deviation to ADS-B Out Continuity Requirements (also available internally, within DND, at AEPM RDIMS #2006081)
16. B-GT-D35-001/AG-000 – Management of The Radio Frequency Spectrum (DNDP 35), dated 15 September 2017 (available internally, within DND, on the ADM(IM) intranet, at http://admim-smagi.mil.ca/en/it-services/radio-spectrum-space/spectrum-management/dndp-35.page)

3.3 Airworthiness Requirements

3.3.1 Adding a surveillance capability to a DND/CAF aircraft is a major design change that must be certified (granted Airworthiness Approval) and that requires a Technical Airworthiness Clearance (TAC) before the capability can be released for operational use.

3.3.2 Technical Airworthiness Clearance. A surveillance system design must meet the certification and TAC requirements defined in the TAM (regulatory reference 3.2.1.a) rules and standards for a new aircraft design, or an in-service design change.

3.3.3 Operational Airworthiness Clearance. The Operational Airworthiness Manual (OAM) (regulatory reference 3.2.1.d) should be consulted to determine whether an Operational Airworthiness Clearance (OAC) is required for the proposed Surveillance System. This advisory does not include any additional guidance with respect to obtaining an OAC. Any questions or queries related to the OAC requirements and process should be directed to the Operational Airworthiness Authority (OAA).

3.3.4 Airworthiness Codes, Certification Requirements and Guidance Material. The civil and/or military airworthiness codes, and associated certification requirements, as well as standards, means and methods of compliance, associated advisory and guidance documents applicable to surveillance systems, versus intended capability, are discussed in 4.2.2.b.

4. Discussion

4.1 Background

4.1.1 RCAF aircraft are considered as state aircraft and are not necessarily obligated to adhere to ICAO standards or recommended practices. However, the DND/CF Airworthiness Programme (regulatory reference 3.2.1.c) mandates that the DND is responsible to operate all DND-Registered Aircraft with due regard for the safety of other air traffic. This requires DND aircraft to be equipped and certified to meet the CNS/ATM performance requirements. Therefore, surveillance standards and recommended practices mandated by the various ICAO member states are identified and discussed within this TAA advisory.

4.1.2 Civil Air Traffic Control (ATC) Surveillance systems are an ICAO worldwide-mandated operational equipage requirement. Although equipage requirements may vary among ICAO member states, when worldwide fleet deployment is necessary, the most stringent requirements should generally be adopted. Annex A provides a list of surveillance equipage requirements for select ICAO member states. Even though the list does not cover all member states, meeting the U.S. and European equipage requirements is sufficient to ensure worldwide operational capability. Recent surveillance requirements implemented by various ICAO member states include, without being limited to:

1. the U.S. mandated requirement to use equipage with ADS-B Out for operations in U.S. airspace, as of January 01, 2020;
2. the European Union’s publication of its updated Mode S and ADS-B Out equipage requirements, effective December 07, 2020;
3. Australia’s mandated ADS-B Out requirement since 2017.

4.1.3 From a military interoperability perspective, Identification Friend or Foe (IFF) equipage mandates now require each aircraft equipped with IFF and operating:

1. in U.S. airspace – to have a DoD AIMS certification, or an AIMS approval based on another authority’s certification (e.g., STANAG certification); and
2. in a NATO partner country and requiring National Security Agency (NSA) Mode 5 keys – to have an AIMS or equivalent certification (e.g., STANAG).

4.1.4 As both military and civil surveillance systems use the 1030 and 1090 MHz frequencies for transmission and interrogation, they are often integrated within the same Line Replaceable Unit (LRU), requiring airworthiness certification to account for both.

4.1.5 A military implementation of an IFF where the civil capabilities are integrated into the military hardware will require airworthiness approval of the civil capabilities in accordance with this advisory.

4.2 Airworthiness Approval Process Overview

4.2.1 The airworthiness approval process for a new surveillance capability is no different than that set out in the TAM (regulatory reference 3.2.1.a):

1. Part 2, Chapters 1 and 3, for the initial certification of a new to DND/CAF aircraft; or
2. Part 3, Chapter 2, for design change certification.

4.2.2 As shown in Figure 1, this process is based on the following steps:

1. Step 1: Identifying the Surveillance Operational Equipage Requirements. A significant responsibility for the Applicant is to identify the specific civil and/or military surveillance capabilities that are required for a particular DND/CAF aircraft fleet. This is accomplished by obtaining the surveillance operational equipage requirements from Directorate Air Requirements (DAR). Additionally, a non-exhaustive list of surveillance capabilities mandated by select ICAO member States is provided in Annex A.

Figure 1 – Surveillance System Design Certification Process

2. Step 2: Developing the Certification Plan, Certification Basis and Surveillance Criteria. The Applicant is responsible for preparing the certification plan, the certification basis and selecting the appropriate surveillance criteria. Annex B provides guidance on the process of developing the certification plan, certification basis and determining the applicable surveillance criteria. This step consist of the following three sub-steps:
   1. Step 2a: Developing the Certification Basis. The certification basis will be composed of certification requirements selected from one of the approved civil or military airworthiness codes identified in the ADSM, Part 1, Chapter 2, (regulatory reference 3.2.1.b). An example of a surveillance certification basis is provided in Annex B, Table B-1. This table identifies representative civil and military certification requirements that may be applicable to a surveillance design.
   2. Step 2b: Drafting the Compliance Matrix. The compliance matrix will need to address the surveillance specific standard(s), as well as associated means and method of compliance and guidance material applicable to the design change. Annex B, Table B-2 provides a list of standards, means and methods of compliance, advisory and guidance documents versus surveillance capabilities. Depending on the extent of the design change, compliance might have to be demonstrated for more than one surveillance capability (e.g., implementation of Mode S and ADS-B Out, each have their own unique criteria). An example of Compliance Matrix for ADS-B Out is provided in Table B-3 of Annex B.
   3. Step 2c: Selecting the Applicable Surveillance Criteria. The Surveillance Criteria Table(s) is/are created by selecting the surveillance criteria available from the various standards, means and methods of compliance, advisory and guidance documents that correspond to the surveillance capabilities identified in Step 1. The Surveillance Criteria Table(s) will constitute the applicable set of surveillance design and certification requirements for a specific surveillance design. Advisory material for the Surveillance Criteria Table is provided in Annex C. Annex D provides additional technical criteria and considerations, beyond those provided in the selected standards that need to be considered for inclusion in the Surveillance Criteria Table.
3. Step 3: Obtaining TAA Approval of the Certification Plan. If the proposed design change is considered out of scope for the Applicant, the certification plan shall be submitted to the DTAES 3 Section Head for approval. It is recommended that the compliance matrix also be submitted for approval at the same time.
4. Step 4: Preparing the Design Assessment Report. Once the design has been developed and tested, it is recommended that the Applicant prepare a Design Assessment Report to provide the TAA and finding authorities with a summary of the design and compliance data being submitted, to demonstrate that the certification requirements have been satisfied. Guidance material for developing the Design Assessment Report is available in Annex E.
5. Step 5: Making Findings of Compliance. The findings of compliance can be performed by DTAES staff, or by other individuals authorized by the TAA. The role of the Finding Authorities (FAs) is to review the compliance program data and to determine if the design is compliant with the certification requirements.
6. Step 6: Substantiation Report (optional). A substantiation report may be required to summarize the work carried out by the TAA staff, in support of the airworthiness approval of the Surveillance capabiliy. If required, the substantion report will be prepared and staffed by the appropriate DTAES 3 Team Leader. Annex F provides guidance material for developing the report and determining when a report is required.
7. Step 7: Airworthiness Approval. If the design change is considered out of scope for the Applicant, DTAES 3 will issue the airworthiness approval of the surveillance system design, based on the completed compliance matrix, the findings of compliance and the Substantiation Report (if required). The airworthiness approval will include the following Surveillance specific sub-steps:
   1. Step 7a: Flight Manual (FM)/Aircraft Operating Instructions (AOI) Updates. The Applicant, with the support of the DTAES 6 and DTAES 7 specialists, will prepare the required FM/AOI amendments, including identifying the TAA-approved Surveillance Capabilities. Guidance material related to the FM/AOI updates is provided in Annex G.
   2. Step 7b: Surveillance Capability Statement. The TAC process for a surveillance system certification requires that a Surveillance Capability Statement be developed, approved and inserted into in the FM/AOI. Advisory material for the preparation of the capability statements is provided in Annex H.
   3. Step 7c: Limitations and Restrictions. Any surveillance system associated limitations or restrictions that will be included in the FM/AOI amendments must be approved by the TAA.
   4. Step 7d: Instructions for Continued Airworthiness (ICAs). Any amendments to applicable ICAs (maintenance program) that are associated with the surveillance-related design change must comply with the TAM, Part 5, Chapter 3, Annex A – Supplementary Maintenance Requirements. The Applicant will identify within the Certification Plan a proposed Finding Authority (FA) and may require the support of DTAES 4 for airworthiness approval.
8. Step 8: TAC and OAC Approval.
   1. Technical Airworthiness Clearance (TAC) Approval. As a minimum, the final step in the surveillance system certification process is the approval of the TAC. For a new aircraft fleet, the TAC approval will be included as a component of the main TAC issued by the TAA for the new fleet. For a design change to an in-service fleet, the TAC will be issued by the WSM SDE.
   2. Operational Airworthiness Clearance (OAC) Approval. The operation of certain surveillance systems may be transparent to the flight crew and/or require minimal flight crew interaction. It is, therefore, possible that an OAC may not be required for a given surveillance system. The OAM (regulatory reference 3.2.1.d.) should be consulted to determine whether an OAC is required for the proposed surveillance system. This advisory does not include any additional guidance with respect to obtaining an OAC. Any questions or queries related to the OAC requirements and process should be directed to the Operational Airworthiness Authority (OAA).