Source: http://docplayer.net/13430838-Certification-directorate-continuing-airworthiness-of-type-design-procedure-cap-c-p006-01.html
Timestamp: 2018-06-20 02:50:18
Document Index: 53387989

Matched Legal Cases: ['art 21', 'art 21', 'art 21', 'art 21', 'art 145', 'art 21', 'art 21', 'art 21', 'art 21', 'art 21', 'art 21', 'Art 10']

Certification Directorate. Continuing Airworthiness of Type Design Procedure (CAP) C.P PDF
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1 1. COVER SHEET Certification Directorate Continuing Airworthiness of Type Design (CAP) Name Signature Date Caroline RUGA Original signed Paul VAN EENIGE Original signed Prepared by: Marco CAPACCIO Original signed Markus GÖRNEMANN Original signed Rachel DAESCHLER Original signed Verified by: Alain LEROY Original signed Reviewed by: Régine HAMELIJNCK Original signed Authorised by: Dr. rbert LOHL Original signed Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 1 of 42
2 2. DOCUMENT CONTROL SHEET Process concerned: Process owner: Head of Products Department - C Purpose This procedure describes how the Agency ensures the Continuing Airworthiness of Type Design. It has been defined to implement Article 15 of Decision 12/2007 of 01 October 2007 of the Management Board concerning the general principles related to the certification procedures to be applied by the Agency for the issuing of certificates for products, parts and appliances ( PCP Decision ), mandating the Executive Director to establish the necessary associated detailed procedures for the implementation of this Decision [ ]. 2.2 Scope This procedure describes how EASA shall internally handle the continuing airworthiness functions related to the type design of aeronautical products under its scope of competences. 2.3 Reference Documents 1 a) Internal 1. Decision. 2003/1/RM of 17 October 2003 of the Executive Director on acceptable means of compliance and guidance material for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations ( AMC and GM to Part 21 ). 2. Decision 2003/12/RM of 5 vember 2003 of the Executive Director on general acceptable means of compliance for airworthiness of products, parts and appliances («AMC-20»). 3. Decision 12/2007 of 01 October 2007 of the Management Board concerning the general principles related to the certification procedures to be applied by the Agency for the issuing of certificates for products, parts and appliances (hereinafter referred to as PCP Decision). 4. Decision 2/2003 of 14 October 2003 of the Executive Director on the implementation of airworthiness directives for products, parts and appliances designed in third countries and repealing Decision 1/2003 of the Executive Director of the Agency of 26 September 2003 on the implementation of airworthiness directives for aircraft designed in third countries. 1 References to any statute, statutory instrument, Agency rule, procedure and policy shall include any amendments or consolidations thereof in as much as the referenced document remains relevant for this procedure. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 2 of 42
3 5. Decision 10/2007 of 28 March 2007 of the Management Board on guidelines for the allocation of certification tasks to national aviation authorities or qualified entities. 6. Decision 2004/02/CF of the Executive Director of the Agency of 10 December 2004 on the acceptance of certification findings made by Transport Canada, Civil Aviation Department (TCCA) for products designed in Canada. 7. Decision 2004/03/CF of the Executive Director of the Agency of 10 December 2004 on the acceptance of certification findings made by Departamento de Aviação Civil, Centro Técnico Aeroespacial (DAC/CTA) for products designed in Brazil. 8. Decision 2004/04/CF of the Executive Director of the Agency of 10 December 2004 on the acceptance of certification findings made by the Federal Aviation Administration (FAA) for products designed in the United States of America and repealing Decision 2004/01/RM. 9. Decision 2007/03/E of the Executive Director of the Agency of 29 March 2007 on the delegation of powers from the Executive Director to certain staff members of the Certification Directorate. All the above references can be also found on the EASA website at: and b) External 1. Regulation (EC) 1592/2002 of the European Parliament and of the Council of 15 July 2002 on common rules in the field of civil aviation and establishing a European Aviation Safety Agency (hereinafter referred to as Basic Regulation), and amendments thereto. 2. Commission Regulation (EC) 1702/2003 of 24 September 2003 laying down implementing rules for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations, and amendments thereto. 3. Commission Regulation (EC) 2042/2003 of 20 vember 2003 laying down implementing rules for the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks, and amendments thereto. 4. Commission Regulation (EC) 593/2007 of 31 May 2007 on the fees and charges levied by the European Aviation Safety Agency, and amendments thereto. All the above references can be also found on the EASA website at: and 5. ICAO Annex 8 Part II Chapter 4. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 3 of 42
4 2.4 Functions Concerned (Users) - Airworthiness Directives, Safety Management and Research Section (hereafter called AD Section) - Head of Products Department - Certification Managers - Project Certification Managers - Responsible Parties 2.5 Table of Contents 1. COVER SHEET DOCUMENT CONTROL SHEET Purpose Scope Reference Documents Functions Concerned (Users) Table of Contents Related Work Instructions / s Related Forms Other Related QMS Documents Definitions and Abbreviations Log of Issues LEGAL FRAMEWORK BASIC PRINCIPLES FOR CONTINUING AIRWORTHINESS ACTIVITIES General Occurrence Reporting: Maintenance Organisation Responsibilities Owner/Operator Responsibilities Certificate Holder Responsibilities NAA Responsibilities EASA Responsibilities Recommendations from Accident Investigation Authorities Other Continuing Airworthiness Activities Corrective Actions AIRWORTHINESS DIRECTIVE PROCESSES Standard Process for Issuing ADs Process Chart Process Steps Description for Standard Process for Issuing ADs Process for Final AD with Request for Comments (Consultation) Process Chart Process Steps Description for Final AD with Request for Comments (Consultation) Process for Emergency ADs Process Chart Process Steps Description for Emergency ADs Process for Changes to Previously Issued ADs Process Chart Process Steps Description for Changes to Previously Issued ADs Process for Adoption of Foreign ADs Process Chart Process Steps Description for Adoption of Foreign ADs EASA APPROVAL OF ALTERNATIVE METHODS OF COMPLIANCE (AMOC) Definition Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 4 of 42
5 6.2 Application Applicable Charges AMOC Approval Process Process Chart Process Steps Description for AMOC Approval AMOC to Foreign AD Approval Process Process Chart Process Steps Description for AMOC to Foreign AD SAFETY INFORMATION BULLETIN (SIB) General SIB Process Process Chart Process Steps Description for SIB LIST OF RECORDS Related Work Instructions / s Reference C.I001 C.I003 C.I007 C.I009 C.P Related Forms Reference EASA Form 42 EASA Form 43 EASA Form 44 EASA Form 110 EASA Form 111 EASA Form 112 EASA Form 113 EASA Form 114 EASA Form 115 EASA Form 116 EASA Form 117 Title Decisions and Signatures Disseminating Safety Related Information EASA AD Writing Manual (draft) Record Keeping & Archiving (draft) Application and Task Allocation for Product Certificates and Approvals Title Application for Approval of Alternative Methods of Compliance (AMOC) with Airworthiness Directives (AD) AMOC Internal Technical Visa template Technical Occurrence Report AD template Emergency AD template PAD template AD Technical Visa template AD CM Approval template PAD CRD template AD Cancellation tice template SIB template 2.8 Other Related QMS Documents Reference Title --- EASA Approval Letter AMOC S.L001 Accreditation Status of National Aviation Authorities for Allocation of Certification Tasks Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 5 of 42
6 2.9 Definitions and Abbreviations a) Abbreviations a/c Aircraft AD AFM AMC AMOC CAA CAP CM CM P&A CRD DAH EAD EASA EC ETSOA ETSOAH EU GM ICAO ICAO SARP JAR MCAI MS NAA PAD PCA PCM P&A PCM RTA SIB SoD SoR STC TC b) Definitions Certificate Holder EU Applicant Airworthiness Directive Aircraft Flight Manual Acceptable Means of Compliance Alternative Method of Compliance Civil Airworthiness Authority (non-eu) Continuing Airworthiness of Type Design EASA Certification Manager for the relevant product EASA Certification Manager Parts and Appliances Comment Response Document Design Approval Holder Emergency AD European Aviation Safety Agency European Community European Technical Standard Order Authorisation European Technical Standard Order Authorisation Holder European Union Guidance Material International Civil Aviation Organisation ICAO Standard and Recommended Practice Joint Aviation Requirements Mandatory Continuing Airworthiness Information Member State National Aviation Authority of EU Member State Proposed AD Primary Certificating Authority (State of Design; EASA for EU products) Project Certification Manager Parts and Appliances Project Certification Manager (EASA staff or staff from NAA under contractual arrangements) Request for Technical Advice Safety Information Bulletin State of Design State of Registry Supplemental Type Certificate Type Certificate In accordance with Part 21A.3 (a) and (b), the Certificate Holder is the holder of a TC, restricted TC, STC, ETSO authorisation, major repair design approval or any other relevant approval deemed to have been issued under Part 21 Applicant from EU Member State, rway, Iceland, Switzerland or Liechtenstein Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 6 of 42
7 PCM Substantive change to an AD n-substantive change to an AD Wherever the term PCM is used in this procedure, the term PCM means the PCM in coordination with his/her team, as appropriate Substantive changes may affect part numbers, service bulletin and manual references, compliance time, applicability, methods of compliance, corrective action, inspection requirements, and effective dates. Any change that is not considered to be a substantive change to an AD Log of Issues Issue # Issue date Change description CAP, Issue 1 CAP Issue 2 C.P First Issue General revision of CAP Issue 1 dated General revision of CAP Issue 2 dated , reformatted i.a.w. EASA QMS documentation rules Related documents affected by new issue CAP Issue 2 partially amends CAP Issue 1 dated repeals and replaces Internal Working CAP Issue 2 dated Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 7 of 42
8 3. LEGAL FRAMEWORK In accordance with article 15 (1) of the Basic Regulation, the Agency shall, where applicable and as specified in the Chicago Convention or its Annexes, carry out on behalf of EU Member States the functions and tasks of the State of Design (SoD), manufacture or registry when related to design approval. The issuance of Type Certificates (TC) and changes thereto, and European Technical Standard Order Authorisations (ETSOA) is a fundamental part of the materialisation of this principle. According to subparagraph (j) of article 15 (1) of the Basic Regulation, the Agency shall also ensure the continuing airworthiness functions associated with the products, parts and appliances it has certified, including reacting without undue delay to a safety problem and issuing the applicable mandatory information, i.e. Airworthiness Directives (ADs). The continuing airworthiness functions shall be performed in accordance with the provisions of Annex I of the Basic Regulation and Annex Part 21, paragraphs 21A.3 and 21A.3B of Commission Regulation (EC) 1702/2003 of 24 September 2003 laying down implementing rules 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 ). According to Articles 44 (1) and 13 (c) of the Basic Regulation, the EASA Management Board shall establish transparent procedures for taking individual decisions for airworthiness and environmental certification. Under these provisions, the Management Board has adopted Decision 12/2007 of 01 October 2007 concerning the general principles related to the certification procedures to be applied by the Agency for the issuance of certificates for products, parts and appliances (hereinafter referred to as PCP Decision ). The objective of the PCP Decision is to establish the general principles to be followed by the Agency to perform environmental and airworthiness certification of aeronautical products, parts and appliances, including post certification activities, in accordance with the applicable implementing rules of the Basic Regulation, according to Article 1(1). Article 15 of the PCP Decision mandates the Executive Director to establish the necessary associated detailed procedures for the implementation of this Decision [ ]. Decision 2005/04/ADM of the Executive Director of the Agency of 3 March 2005 on the delegation of powers of the Executive Director to certain staff members of the Certification Directorate to take decisions for the application of Articles 15 of the Basic Regulation as specified in Article 13(c) of the Basic Regulation [ ]. This procedure has been adopted by the Certification Director under this mandate. Rights and obligations derived from applicable bilateral agreements as specified in Article 9 of the Basic Regulation shall not be affected. This procedure shall be followed in order to achieve standardised processes within the Agency. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 8 of 42
9 4. BASIC PRINCIPLES FOR CONTINUING AIRWORTHINESS ACTIVITIES 4.1 General It is the obligation of the Certificate Holder to collect and review all available information related to the safety of the type design in order to take appropriate and on time action to correct any potential unsafe condition. Data relevant for assessing the continuing airworthiness of an approved type design may derive from regular type design reviews, mandatory occurrence and event reporting, accident or incident investigations, information collected by aviation authorities or any other sources. 4.2 Occurrence Reporting: In accordance with AMC 20-8 (Reference Decision 12/2003 of 5 vember 2003 of the Executive Director on general acceptable means of compliance for airworthiness of products, parts and appliances AMC-20 ), in general terms, an occurrence needs to be reported if the event has resulted, or may result in an unsafe condition. EASA Form 44 may be used for this purpose. t all reportable events generated by AMC 20-8 need to be investigated by EASA. This procedure is applicable only to reportable events linked to design, having an implication upon the certification or maintenance aspects of aircraft, products, parts and appliances Maintenance Organisation Responsibilities In accordance with Part 145.A.60, the approved maintenance organisation is responsible for reporting occurrences discovered during performance of maintenance tasks to its competent authority (authority which has the oversight responsibility for the approved maintenance organisation), the State of Registry (SoR), the TC holder and the operator Owner/Operator Responsibilities In accordance with JAR-OPS 1 and (b) & (c), the operator is responsible for reporting to the State of Operator, events occurring during operations, and when the defect may have an impact on the continuing airworthiness of the aircraft type, to the organisation responsible for the design, or if applicable, the organisation responsible for continued airworthiness. In accordance with Part M.A.202, faults discovered during maintenance shall be reported to the TC/STC holder, SoR and/or State of Operator Certificate Holder Responsibilities The Certificate Holder shall have a system to collect and analyse the data related to reportable occurrences. This system shall be made available to all operators of the product. The Certificate Holder shall carry out an analysis of the data received, and if a potentially hazardous or possible unsafe condition is identified, report all such occurrences to the EASA PCM. If applicable the Certificate Holder shall carry out an investigation, according to the criteria of Part 21A.3 (c). Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 9 of 42
10 tes: 1. AMC 20-8 and Part 21A.3 (b) identify that such reports should be made within 72 hours of the identification of a potentially hazardous or possible unsafe condition. EASA Form 44 may be used for this purpose. 2. For products where EASA is not the Primary Certificating Authority (PCA), reporting shall be in accordance with the appropriate Working Arrangement/Bilateral agreement NAA Responsibilities In accordance with Part 21B.45, each National Aviation Authority (NAA) shall ensure transmission of information related to occurrences which have been shown to result or could potentially result in an unsafe condition to EASA, to ensure appropriate exchange of information relevant for safety. Part 21A.3 and AMC 20-8 provide criteria for the assessment of occurrences and the need for reporting to EASA. When urgent action is considered necessary due to the potential safety impact of an occurrence the NAA of the SoR shall urgently contact EASA. Furthermore, following part 21B.60 the NAA shall transfer any received foreign AD to EASA EASA Responsibilities Where EASA is the PCA and consequently carries out on behalf of EU Member States the functions and tasks of the State of Design (SoD), when related to design approval, the EASA PCM shall, based on analysis and investigations by the Certificate Holder or based on any other information, define appropriate actions. The subsequent action may range from recommendation for improvements by the Certificate Holder to corrective action (inspection, maintenance action or design change) that needs to be made mandatory by the issue of an Airworthiness Directive (AD). The criteria for issuance of an AD are defined in 21A.3B and associated AMC material. Where EASA is not the PCA and consequently carries out on behalf of EU Member States the functions and tasks of the State of Registry (SoR) the EASA PCM shall, in accordance with the procedures contained in the appropriate Working Arrangement/Bilateral Agreement, review occurrences as reported. Where a safety concern exists, the EASA PCM shall contact the PCA to ensure their awareness of the potential for an unsafe condition and to establish their expected action. Based on the PCA response, the EASA PCM shall decide whether further EASA action is necessary. The EASA PCM, if necessary in consultation with his/her team, should decide upon the acceptability of any proposed solution, and monitor that corrective action shall be developed and published by the Certificate Holder and approved by the PCA in a time frame acceptable to EASA. When EASA, after consultation with the PCA, is not satisfied with the actions taken by the PCA or deems necessary to deviate from the airworthiness directive issued by the PCA, an EASA AD may be issued. This AD may either (1) replace or modify an existing PCA AD or (2) be issued in the absence of a PCA AD, as necessary, to ensure that corrective actions are taken which address the issue in a manner consistent with EASA regulations. The normal process as Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 10 of 42
11 described in Chapter 5.1 below should be followed, unless an urgent action is needed (see Article 12 of MB Decision 12/2007 of 01 October 2007). Irrespective of the above and in accordance with Article 11 of the Basic Regulation, EASA and NAA shall exchange any safety related information available to them, including maintenance and operations related issues, with all Member States and other affected parties as appropriate in order to put them into a position to take adequate measures. Chapter 7 concerning the issuance of Safety Information Bulletins (SIB) also pertains to this subject. te: Given the fact that an airworthiness directive is defined in Commission Regulation (EC) 1702/2003 Part 21A.3B2, only the Agency can issue ADs proper in the European Union. As a result, for non-design related issues, NAAs should preferably issue their mandatory measure, if the recommendation is adopted, under another publication name than AD. 4.3 Recommendations from Accident Investigation Authorities EASA maintains a tracking system to record status of safety recommendations addressed to the Agency and their closing actions in a database. te: The database should be the means by which feedback is provided to the Accident Investigation Organisations regarding the EASA status and closure of Safety Recommendations arising from reported Accidents and Serious Incidents. Reference is made to E.P001 for the coordination of responses to recommendations resulting from accidents and serious incidents. 4.4 Other Continuing Airworthiness Activities The analysis of available occurrence reporting databases (e.g. those based on Directive 2003/42/EC of the European Parliament and of the Council of 13 June 2003), safety related recommendations by NAAs, actions by EU Member States under Art 10.1 of the Basic Regulation and any other information coming from any person or organisation may be considered to ensure the continuing airworthiness of products, parts and appliances. In addition, the PCM shall organise regular airworthiness review meetings in order to permanently monitor the continuing airworthiness of products, parts and appliances under his/her (team) responsibility. 4.5 Corrective Actions Continuing airworthiness activities as described above may result in the need for corrective actions for certified products, parts and appliances. It is recommended that every effort should be made to define actions that terminate repetitive inspections or tests. When EASA is the PCA for the product, part or appliance, and therefore assumes the EU Member States obligations as SoD, it shall issue an AD whenever it is necessary to correct an unsafe situation related to an aircraft design. EASA will notify by , followed by regular mail the AD to its addressee, the Certificate Holder, in the English language or, when requested, in the language of the EU Member State which has jurisdiction over it. 2 An airworthiness directive means a document issued or adopted by the Agency which mandates actions to be performed on an aircraft to restore an acceptable level of safety, when evidence shows that the safety level of this aircraft may otherwise be compromised. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 11 of 42
12 Moreover EASA shall, to fulfil obligations deriving from ICAO SARPs, transmit the information to all the Contracting States that have informed EASA that an aircraft subject to that AD has been entered on their registry (including EU Member States), to allow those States to fulfil their obligations as SoR. The information will be transmitted by in the English language. When EASA is not the PCA for the product, part or appliance, and, therefore only assumes the EU Member States obligations as SoR when related to design approval. It shall upon receipt of information that an AD has been issued by the SoD of an aircraft that has entered the registry of one of the EU Member States, either adopt the AD without any changes or issue its own AD based on the SoD AD (Reference ED Decision 02/2003). In the case of adoption of a foreign AD without any changes a simplified process shall apply as described in Chapter 5.5 Process for Adoption of Foreign AD. When EASA issues its own AD, it will notify the AD by , followed by regular mail to its addressee, the foreign TC/STC holder, in the English language. Moreover, EASA shall, to fulfil obligations deriving from ICAO SARPs inform the SoD and the EU Member States on the content of the issued AD to allow them to fulfil their obligations as SoR, enforcing the AD. The information will be transmitted by in the English language. As soon as EASA has issued and distributed an AD, EU Member States shall inform their operators and owners of the affected aircraft that they have to comply with the AD as it derives from their obligations under Part M (Commission Regulation (EC). 2042/2003 Annex 1). Community operators will then have to contact, if needed, the type approval holder to obtain all the necessary information to comply with the AD concerned. All these EASA notification and information obligations shall be carried out according to the procedures described in MB Decision 12/2007 of 01 October Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 12 of 42
13 5. AIRWORTHINESS DIRECTIVE PROCESSES This Chapter contains 5 flowcharts: 5.1 Standard process for Issuing Airworthiness Directives (AD) 5.2 Process for Final AD with Request for Comments (Consultation) 5.3 Process for Emergency ADs 5.4 Process for Changes to Previously Issued ADs 5.5 Process for Adoption of Foreign ADs Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 13 of 42
14 5.1 Standard Process for Issuing ADs Process Chart Start (010) Determination of existence of an unsafe condition [EASA/C] (020) Request Certificate Holder to propose corrective action [PCM] (030) Step te Link AD Airworthiness Directive 010 CM Certification Manager CRD Comment Response Document MS Member State (EU) 020 PAD Proposed Airworthiness Directive PCA Primary Certification Authority PCM Project Certification Manager SoR State of Registry 030 SoD State of Design Rev Receipt of proposal from Certificate Holder and relevant supporting documents and request for review [PCM] (040) 040 From Chapter 5.2 step 070 proposal + supporting documents Review proposal and draft PAD in consultation with his team member(s), agree on draft PAD with Certificate Holder [PCM] (050) PAD draft Agreement on draft PAD? [PCM-certificate holder] (060) 060 Raise the issue to EASA CM for final decision [PCM] (070) 070 Involve Panel of Experts if necessary, take decision and communicate decision to Certificate Holder [CM/PCM] (080) 080 Amend draft PAD as required by CM, forward PAD + supporting documents to AD Section [PCM] (090) PAD draft 2 & supporting documents 090 C.I007 Review PAD for language, standardisation and consistency, make changes as appropriate and submit to PCM for acceptance [AD Section] (100) PAD draft C.I007 Final draft PAD accepted [PCM] (110)? 110 Provide instructions on PAD review to AD Section [PCM] (120) 120 Publish PAD for consultation on EASA official website [AD Section] (130) PAD version Submit comments [Interested parties] (140) comments on PAD 140 Collect comments and format in draft CRD, submit to PCM [AD Section] (150) 150 draft CRD on PAD (EASA Form 115) Review comments and provide responses, consult with Certificate Holder, amend PAD as appropriate, submit PAD to AD Section [PCM] (160) draft CRD on PAD with responses / PAD version A Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 14 of 42
15 5.1.1 Process Chart, continued A Step te Link Rev Format PAD into AD, allocate number, and send to PCM for final review and approval [AD Section] (170) draft AD 170 Final draft AD approved [PCM] (180)? 180 Sign Technical Visa and collect additional info from Certificate Holder and send draft AD to CM for final review and approval [PCM](200) Technical Visa (EASA Form 113) Provide instructions on changes to draft AD to AD Section [PCM] (190) AD approved [CM] (210)? 210 Provide instructions on changes to draft AD to AD Section [CM] (220) 220 Sign AD [CM] (230) 230 EASA AD From Chapter 5.2 step 180 From Chapter 5.3 step 150 Prepare AD distribution [AD Section] (250) tify AD to Certificate Holder by , followed by regular mail [AD Section] (240) 240 AD notification , followed by regular mail 250 Is EASA the PCA? [AD Section ] (260)? 260 Distribute AD to SoR / Contracting State/EU MS [AD Section] (270) AD distribution Distribute AD to SoD / EU MS [AD Section] (280) AD distribution Manage publication of AD on official EASA website \\www.ad.easa.europa.eu [AD Section] (290) 290 Archive all relevant documents related to the AD published [AD Section] (300) AD archives file 300 C.I009 End (310) 310 Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 15 of 42
16 5.1.2 Process Steps Description for Standard Process for Issuing ADs 010 Start of the Standard AD process 020 Definition and determination of an unsafe condition : Ref. AMC 21A.3B(b) and GM 21A.3B(b) 030 When EASA has determined that an unsafe condition exists in an approved aircraft type design, as a result of a deficiency in the aircraft, or an engine, propeller, part or appliance installed on this aircraft, and that condition is likely to exist or develop in other aircraft, the EASA PCM of the affected product (aircraft, engine or propeller) shall request the Certificate Holder to propose appropriate corrective actions for EASA approval. 040 Details of these proposals shall be submitted by the Certificate Holder to the EASA PCM, including all the relevant technical publications, e.g. Service Bulletins, All Operator Telex, etc. If the unsafe condition is related to an ETSO article installed (or eligible to be installed) on an aircraft, coordination between the aircraft PCM and the Certification Manager Parts and Appliances (CM P&A) should take place for possible equipment AD issuance. In such case the AD shall affect the aircraft where the part or appliance is installed. 050 The EASA PCM, in consultation with his/her team shall review the proposed corrective action submitted by the Certificate Holder and shall then draft a PAD using standard EASA Form 112. Early involvement of the EASA AD Section in the drafting process is desirable for standardisation purposes. If deemed necessary by the EASA PCM, further co-ordination with the Certificate Holder and, in case of non EU products, the PCA may take place In case of disagreement between the EASA PCM and the Certificate Holder on the draft PAD, the EASA PCM shall raise the issue to the CM for final decision. 080 The CM may decide to consult the Panel of Experts and seek its advice. Based on the opinion of the Panel of Experts, final decision will be taken by the CM. The PCM will inform the Certificate Holder in writing ( or regular mail) on the decision taken 090 Following the decision of the CM, the PCM may amend the draft PAD, if deemed necessary. In the absence of any proposal from the Certificate Holder or if the Certificate Holder is not willing to sufficiently co-operate, the PCM shall draft an own PAD. The final version of the PAD, together with the referenced [approved and published] technical publication(s) as supplied by the Certificate Holder, shall be sent to the EASA Airworthiness Directive Section (AD Section) for further processing. 100 Once the AD Section receives a PAD, the format will be reviewed for use of language, standardisation and consistency of wording The AD Section shall then publish the PAD for consultation on the EASA official publication (EASA website). The comment period shall be in principle one month, but shall never be less than 2 weeks. If deemed necessary, the EASA PCM may decide to modify this period in accordance with the importance of the PAD. 140 Comments shall be sent to the AD Section. Address and contact information shall be published on the EASA official publication (EASA website). 150 The AD Section shall collect all comments received. After collecting and formatting in a draft Comment Response Document (CRD, EASA Form 115), those comments shall be sent to the EASA PCM. 160 The EASA PCM shall review the comments received and shall produce appropriate responses in the CRD. The Panel of Experts may be consulted where appropriate. The EASA PCM shall inform the CM and the AD Section when consultation with the Panel of Experts has been sought. The EASA PCM shall amend the PAD as required, in co-ordination with the Certificate Holder. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 16 of 42
17 160 (Ctd.) Process Steps Description for Standard Process for Issuing ADs, continued In normal circumstances, the time between the start of the consultation process and issuance of the AD should not last more than two months. 170 The AD Section shall format the PAD into the AD Format, allocate the AD number (see EASA Form 110) and send it to the CM for final review and approval The PCM is finally responsible to agree with any change suggested/proposed by the AD Section, to sign a Technical Visa (see EASA Form 113) and to collect from the Certificate Holder any information which could be eventually requested by other CAAs, e.g. the number of a/c worldwide needing corrective action; a statement on the availability of parts; an estimate of the number of labour hours; and the cost of parts required for the corrective action. 210 The CM shall review and approve the final AD in coordination with the EASA PCM With signature by the CM, the PAD turns into an EASA AD. The effective date of a standard AD shall be no less than 14 days after the issue date, which is also the date it is published on the EASA official publication (EASA website), see step 290. However, if it is deemed necessary, the PCM may request a different effective date. 240 The AD Section will notify the AD by , followed by regular mail to the Certificate Holder. A reference to the possibility for appeal as specified in Articles 35 to 41 of the Basic Regulation shall be included. 250 In addition to the above notification to the Certificate Holder, the AD Section shall send the information on published EASA ADs (aircraft, engines, propellers, parts and appliances installed on aircraft) by , depending on whether EASA is the PCA Where EASA is PCA, information on the AD, in accordance with 4.3.2, Chapter 4 of Part II of Annex 8 to the Chicago Convention, shall be sent to: (a) Any SoR who, in accordance with Chapter of Part II of ICAO Annex 8, has advised the SoD that it has entered the aircraft on its register (if this notification has been made to the EU SoD, the latter has to inform the Agency); and (b) Any other ICAO Contracting State on request (if this notification has been made to the EU SoD, the latter has to inform the Agency); and (c) The EU Member States to allow them to fulfil their obligations as SoR, enforcing the AD. te: In the case that there is any other suitable mean of notifying, found to be more convenient and effective than the system, EASA may decide to use it. The system will be used as the normal system. 280 Where EASA is not PCA, information on ADs shall be sent to: (a) The SoD in accordance with Chapter of Part II of Annex 8 to the Chicago Convention; and (b) The EU Member States to allow them to fulfil their obligations as SoR, enforcing the AD. An electronic receipt should be requested by the AD Section, from the recipient States. te: In the case that there is any other suitable mean of notifying, found to be more convenient and effective than the system, EASA may decide to use it. The system will be used as the normal system. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 17 of 42
18 5.1.2 Process Steps Description for Standard Process for Issuing ADs, continued 290 The AD Section shall manage the publication of the approved AD in the EASA Official Publication (EASA website for AD: For adoption of Foreign ADs refer to Chapter 5.5 of this procedure. Additional automatic notification: When available, auto notification to any registered users shall be generated with the uploading of the AD on the EASA Official Publication (EASA website), drawing the attention of the recipients to the new uploaded AD. 300 Record keeping and archiving is ensured as defined in work instruction C.I End of Standard Process for Issuing an ADs. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 18 of 42
19 5.2 Process for Final AD with Request for Comments (Consultation) Process Chart Start (010) Determination of situation requiring immediate action [EASA] (020) Request Certificate Holder to propose corrective action [PCM] (030) Step te Link AD Airworthiness Directive 010 CM Certification Manager CRD Comment Response Document MS Member State (EU) 020 PAD Proposed Airworthiness Directive PCA Primary Certification Authority PCM Project Certification Manager SoD State of Design 030 SoR State of Registry Rev Receipt of proposal from Certificate Holder and relevant supporting documents and request for review [PCM] (040) 040 Assess compliance time and need for immediate action [PCM] (050) Proposal + supporting documents 050 Need for "Emergency AD" confirmed? [PCM] (060) 060 From Chapter 5.3 step 060 Go to Chapter 5.3 step 070 Need for "Final AD with Request for Comments (Consultation)"? [PCM] (070) 070 Go to Chapter 5.1 step 050 Prepare justification and reasons for issuing "Final AD with Request for Comments (Consultation)" [PCM] (080) Justification for "Final AD with Request for Comments (Consultation)" Review proposal and draft a PAD, agree on draft PAD with Certificate Holder, forward to AD Section, together with justification for "Final AD with Request for Comments (Consultation)" [PCM] (090) PAD draft 1 + justification for "Final AD with Request for Comments (Consultation)" C.I007 Review PAD for language, standardisation and consistency, make changes as appropriate [AD Section] (100) 100 C.I007 PAD draft 2 Format PAD into "Final AD with Request for Comments (Consultation)", allocate number, and send to PCM for review and approval [AD Section] (110) draft AD (EASA Form 110) 110 Sign Technical Visa and collect additional info from Certificate Holder and send draft "Final AD with Request for Comments (Consultation)" to CM for final review and approval [PCM](140) Technical Visa (EASA Form 113) Final draft of "Final AD with Request for Comments (Consultation)" approved? [PCM] (120) Provide instructions on changes to draft AD to AD Section [CM] (130) AD approved? [CM] (150) 150 Provide instructions on changes to draft AD to AD Section [CM] (160) 160 Sign "Final AD with Request for Comments (Consultation)" [CM] (170) EASA "Final AD with Request for Comments (Consultation)" (EASA Form 110) 170 Launch immediate notification, distribution and publication of "Final AD with Request for Comments (Consultation)" [AD Section] (180) 180 Go to Chapter 5.1 step 240 and 250 Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 19 of 42
20 5.2.2 Process Steps Description for Final AD with Request for Comments (Consultation) 010 Start of the Final AD with Request for Comments (Consultation) process. 020 According to Article 12.5 of the PCP Decision such a case exists where a prior publication for comments would make timely compliance with the corrective actions impossible, or where the substance of an Airworthiness Directive has been previously subject to a national Airworthiness Directive. 030 The EASA PCM of the affected product shall request the Certificate Holder to propose appropriate corrective actions for EASA approval In case of situations which require immediate action by EASA, the EASA PCM shall review the proposed corrective action submitted by the Certificate Holder. Depending on the agreed compliance time, the EASA PCM shall assess if a Proposed AD (publication delayed by consultation period), a Final AD with Request for Comments (Consultation) (consultation period after the AD issuance) or Process for Emergency ADs (short compliance time, e.g. before next flight or within 30 calendar days after the [planned] effective date) is appropriate If the proposed compliance time frame is too short to allow an adequate public consultation period (e.g. within 60 days) but not urgent enough to qualify for an Emergency AD, a Final AD with Request for Comments (Consultation) may be issued. In these cases, the EASA PCM will decide not to implement a consultation process prior to AD issuance. A justification explaining why the consultation process shall not be followed and the reasons for issuing a Final AD with Request for Comments (Consultation) shall be provided in the text of the AD, under the item (17) Remarks (see EASA Form 110). 090 The EASA PCM shall then draft the AD in co-ordination with the Certificate Holder. Early involvement of the EASA AD Section in the drafting process is desirable for standardisation purposes. As the AD requires immediate notification and publication, the EASA PCM shall send the draft AD to the AD Section as soon as possible, in conjunction with the referred assessment, for immediate processing, approval and publication on the EASA Official Publication (EASA website). 100 Once the AD Section receives a draft AD, the format will be reviewed for use of language, standardisation and consistency of wording. 110 The AD Section shall format the final draft into the AD Format, allocate the AD number (see EASA Form 110) and send it to the CM for final review and approval The PCM is finally responsible to agree with any change suggested/proposed by the AD Section, to sign a Technical Visa (see EASA Form 113) and to collect from the Certificate Holder any information which could be eventually requested by other CAAs, e.g. the number of a/c worldwide needing corrective action; a statement on the availability of parts; an estimate of the number of labour hours; and the cost of parts required for the corrective action Approval of the Final AD with Request for Comments (Consultation) by the CM follows the same rules as defined in Chapter 5.1 Standard Process for Issuing ADs steps 180 to 230. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 20 of 42
21 5.2.2 Process Steps Description for Final AD with Request for Comments (Consultation), continued 180 After approval by the CM, the AD Section shall launch the immediate notification, distribution and publication of Final AD with Request for Comments (Consultation), following the same provisions as defined under Chapter 5.1 Standard Process for Issuing ADs steps 240 to 290. Record keeping and archiving is ensured as defined in work instruction C.I009. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 21 of 42
22 5.3 Process for Emergency ADs Process Chart Start (010) Determination of situation requiring emergency action [EASA] (020) Request Certificate Holder to propose corrective action [PCM] (030) Step te Link AD Airworthiness Directive 010 CM Certification Manager CRD Comment Response Document EAD Emergency AD 020 MS Member State (EU) PAD Proposed Airworthiness Directive PCA Primary Certification Authority PCM Project Certification Manager 030 SoD State of Design SoR State of Registry Rev Receipt of proposal from Certificate Holder and relevant supporting documents and request for review [PCM] (040) Assess compliance time and need for emergency action [PCM] (050) proposal + supporting documents EAD Need for EAD confirmed? [PCM] (060) AD or "Final AD with Request for Comments (Consultation)" 060 From Chapter 5.2 step 060 Go to Chapter 5.2 step 070 Prepare justification and reasons for issuing EAD, draft EAD in consultation with Certificate Holder, forward to AD Section [PCM] (070) 070 C.I007 EAD draft 1 (EASA Form 113) Review EAD for language, standardisation and consistency, make changes as appropriate, allocate number, and send to PCM for review and approval [AD Section] (080) Emergency AD draft C.I007 Sign Technical Visa, collect additional info from Certificate Holder and send EAD to CM for review and approval [PCM] (110) Technical Visa (EASA Form 113) Draft EAD approved? [PCM] (090) Provide instructions on changes to draft EAD to AD Section [PCM] (100) EAD approved? [CM] (120) 120 Provide instructions on changes to draft EAD to AD Section [CM] (130) 130 Sign EAD [CM] (140) EAD, final 140 Launch immediate notification, distribution and publication of EAD [AD Section] (150) 150 Go to Chapter 5.1 step 240 and 250 Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 22 of 42
23 5.3.2 Process Steps Description for Emergency ADs 010 Start of the Emergency AD process. 020 According to Article 12.7 of the PCP Decision such a case exists where the Agency has determined that urgent action is necessary to correct an unsafe condition. 030 The EASA PCM of the affected product shall request the Certificate Holder to propose appropriate corrective actions for EASA approval In case of situations which require emergency action by EASA the EASA PCM shall review the proposed corrective action submitted by the Certificate Holder. Based on the agreed compliance time (e.g. before next flight or within 30 calendar days after the [planned] effective date), the EASA PCM shall assess if an Emergency AD is appropriate, using EASA Form The EASA PCM shall then draft the Emergency AD in co-ordination with the Certificate Holder, if available. In these cases, the EASA PCM will decide not to implement any consultation process. A justification explaining why the consultation process shall not be followed and the reasons for issuing an Emergency AD shall be provided in the text of the draft Emergency AD, under the item (14) Reason. Early involvement of the EASA AD Section in the drafting process is desirable for standardisation purposes. As an Emergency AD requires immediate notification and publication, the EASA PCM shall send the final draft of the Emergency AD to the AD Section as soon as possible, in conjunction with the referred assessment, for immediate processing, approval and publication on the EASA Official Publication (EASA website). 080 Once the AD Section receives a draft Emergency AD, the format will be reviewed for use of language, standardisation and consistency of wording. The AD Section shall allocate the Emergency AD number (EASA Form 111) and send it to the CM for final review and approval The PCM is finally responsible to agree with any change suggested/proposed by the AD Section, to sign a Technical Visa (see EASA Form 113) and to collect from the Certificate Holder any information which could be eventually requested by other CAAs, e.g. the number of a/c worldwide needing corrective action; a statement on the availability of parts; an estimate of the number of labour hours; and the cost of parts required for the corrective action Approval of the Emergency AD by the CM follows the same rules as defined in Chapter 5.1 Standard Process for Issuing ADs steps 180 to After approval of the Emergency AD by the CM, the AD Section shall ensure notification, distribution and publication of the Emergency AD, following the same provisions as defined under Chapter 5.1 Standard Process for Issuing ADs steps 240 to 290, but with urgent application. The AD Section shall notify the Certificate Holder immediately by followed by regular mail of the issuance of Emergency ADs. The effective date of the Emergency AD shall be not less than two working days after the issue date of the Emergency AD, which is also the date it is published on the EASA official publication (EASA website) unless otherwise specified in the AD itself. This is to allow sufficient time for the receiving NAAs (States of Registry) to distribute the Emergency AD to the owners and operators of the affected aircraft. Record keeping and archiving is ensured as defined in work instruction C.I009. Printed copies are not controlled. Confirm revision status through the EASA-Internet/Intranet. Page 23 of 42