Production Approval Procedures Manual

130 Pages·2011·0.65 MB·English

Production Approval Procedures
Manual

Version 3.0: July 2011
CASADOC 79
Production Approval Procedures Manual

This is an internal CASA policy manual. It contains guidance material intended to assist
CASA officers and delegates in carrying out their regulatory responsibilities and may be
made available to the public for information purposes only.
Since this is an uncontrolled version of the manual which will not be updated by CASA, it
should not be relied upon for any regulatory purpose. The current manual can be viewed at
any time via CASA's website at "www.casa.gov.au".
You should always refer to the applicable provisions of the Civil Aviation Act, Civil Aviation
Regulations and the Civil Aviation Orders, rather than this manual, to ascertain the
requirements of, and the obligations imposed by or under, the civil aviation legislation.

Version 3.0: July 2011
Production Approval Procedures Manual
Table of Contents

Approved by Executive Manager, Aviation Safety Standards Version 3.0: July 2011
Table of Contents

Table of Contents ........................................................................................................................ i
List of Effective Pages ............................................................................................................... v
List of Abbreviations ................................................................................................................. vi
Preface ....................................................................................................................................... vi
1. Introduction to Production Approval Procedures ..........................................................1-1
1.1 About this Manual ..................................................................................................1-1
1.1.1 Manual Sponsorship ....................................................................................1-1
1.1.2 Review of this Manual ..................................................................................1-1
1.1.3 Purpose and Scope of the Manual ...............................................................1-2
1.2 Regulatory Framework ...........................................................................................1-3
1.2.1 Background ..................................................................................................1-3
1.2.2 Legislative Basis ..........................................................................................1-4
1.3 Responsibility for Production Approval ...............................................................1-6
1.3.1 Staff Responsibilities ....................................................................................1-6
1.4 Production Approval Process ...............................................................................1-7
1.4.1 Production Approval Flowchart ....................................................................1-7
1.5 Processing Inquiries and Applications for Production Approvals ....................1-8
1.5.1 Advice Provided by CASA for General Enquiries .........................................1-8
1.5.2 Administrative Processing of an Application ................................................1-9
1.5.3 Technical Processing of an Application .....................................................1 -10
1.6 Production Control Board (PCB) .........................................................................1 -12
1.6.1 Production Control Board Description ........................................................ 1-12
1.6.2 PCB Membership .......................................................................................1 -12
1.6.3 PCB Member Responsibilities ...................................................................1 -12
1.6.4 Conduct of the PCB ...................................................................................1 -13
1.6.5 PCB Records .............................................................................................1 -15
1.6.6 Administration of Production Approvals Granted ....................................... 1-16
2. Assessment and Issue of Approvals ...............................................................................2-1
2.1 Approved Production Inspection System—Production under a TC Only .........2-1
2.1.1 Applicability – Production under Certificate Only .........................................2-1
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Approved by Executive Manager, Aviation Safety Standards Version 3.0: July 2011
2.1.2 Responsibility ...............................................................................................2-1
2.1.3 Procedure for PIS Issue ...............................................................................2-1
2.1.4 Production Inspection System (PIS) Board ..................................................2-4
2.1.5 TC Holder's/TC Licensee's Responsibility under CASR Part 21,
Subpart F .....................................................................................................2-5
2.1.6 PIS Holder’s Facility Location ......................................................................2-7
2.1.7 Assessment of an Applicant’s Suppliers ......................................................2-7
2.2 Production Certificate (PC) Only ...........................................................................2-8
2.2.1 Applicability – Production Certificate ............................................................2-8
2.2.2 One-off PC ...................................................................................................2-9
2.2.3 Responsibility for PCs ..................................................................................2-9
2.2.4 Advising the Applicant ................................................................................2 -10
2.2.5 Preliminary Assessment Procedures ......................................................... 2-11
2.2.6 Testing Aircraft, Engines and Propellers ....................................................2 -19
2.2.7 PC Holder's Location(s) .............................................................................2 -19
2.2.8 Assessment of an Applicant’s Suppliers ....................................................2 -19
2.2.9 Summary of Distribution of Production Certification Documents ................ 2-20
2.2.10 Final Costing ..............................................................................................2 -20
2.3 Australian Parts Manufacturer Approval Only ...................................................2 -21
2.3.1 Applicability of Australian Parts Manufacturer Approval............................. 2-21
2.3.2 Responsibility for Australian Parts Manufacturer Approval ........................ 2-21
2.3.3 Lodgement of an Application for an APMA ................................................ 2-22
2.3.4 CASA Engineering Assessment ................................................................ 2-22
2.3.5 FIS Assessment .........................................................................................2 -28
2.3.6 APMA Approval .........................................................................................2 -29
2.4 Australian Technical Standard Order Authorisation (ATSOA) Only ................ 2-32
2.4.1 Applicability – ATSOA ................................................................................2 -32
2.4.2 Advising the Applicant ................................................................................2 -32
2.4.3 Lodgement of an Application .....................................................................2 -33
2.4.4 ATSOA Issue Procedure ............................................................................2 -33
2.4.5 ATSOA Holder's Facility Location .............................................................. 2-36
2.4.6 Approval of Materials and Processes.........................................................2 -36
3. Assessment of an Applicant's Quality Systems for Manufacture ................................3-1
3.1 General Principles ..................................................................................................3-1
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3.1.1 General Principles........................................................................................3-1
3.2 Assessment of an Applicant’s Suppliers .............................................................3-3
3.2.1 Assessment of an Applicant’s Suppliers ......................................................3-3
3.3 Quality System Assessment..................................................................................3-5
3.3.1 Stage 1 Quality System Assessment—Desk-top Review ............................3-5
3.3.2 Stage 2 Quality System Assessment – Quality System Evaluation ........... 3-24
3.3.3 Stage 3 Quality System Assessment—Manufacturer's Corrective
Action .........................................................................................................3 -25
3.3.4 Manufacturer’s Service Documentation ..................................................... 3-25
3.3.5 Service Difficulty Reports ........................................................................... 3-25
3.3.6 Reporting of Failures, Malfunctions and Defects during Manufacture ........ 3-26
3.3.7 Supplier Quality Control ............................................................................. 3-26
3.3.8 Engineering Drawings ................................................................................3 -27
3.3.9 Use of CASA Form 1/Form 917 Authorised Release Certificate ................ 3-27
3.3.10 Use of CASA Form 1/Form 917 for Unapproved Parts .............................. 3-28
3.3.11 Export Airworthiness Approvals ................................................................. 3-28
4. Inspections ........................................................................................................................4-1
4.1 Conformity Inspections .........................................................................................4-1
4.1.1 Introduction to Conformity Inspections .........................................................4-1
4.1.2 Conformity Inspections ................................................................................4-1
4.1.3 First Article Inspection ..................................................................................4-4
4.1.4 Materials ......................................................................................................4-5
4.1.5 Processes Conformity ..................................................................................4-6
4.1.6 Automated Production Processes ................................................................4-7
4.1.7 Non-destructive Inspection (NDI) Method Evaluation ..................................4-8
4.1.8 Critical and Major Characteristics ................................................................4-8
4.1.9 Workmanship ...............................................................................................4-9
4.1.10 Adequacy of Drawings and Related Change Records .................................4-9
4.1.11 Adequacy of Inspection Records .................................................................4-9
4.1.12 Material Review Action ................................................................................4-9
4.1.13 Software .....................................................................................................4 -10
4.1.14 Conformity Inspections of Test Articles ......................................................4 -10
4.1.15 Structural Test Articles – Aircraft ...............................................................4 -11
4.1.16 Flight Test Articles—Aircraft ......................................................................4 -11
4.1.17 Endurance Test Articles—Engines and Propellers .................................... 4-11
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4.2 Final Inspection and Flight Test ..........................................................................4 -13
4.2.1 Applicability — Final Inspection and Production Flight Test ....................... 4-13
4.2.2 Preliminary Ground Inspection ...................................................................4 -13
4.2.3 Final Ground Inspection .............................................................................4 -13
4.2.4 Flight Inspection .........................................................................................4 -14
5. Sample Letters ..................................................................................................................5-1
5.1 Introduction.............................................................................................................5-1
5.2 Sample CASA APMA Approval Letter ...................................................................5-2
5.3 Sample CASA APMA Supplement without Licensing Agreement ......................5-4
5.3.1 Sample CASA APMA Supplement (Design Approval) Test and
Computation ................................................................................................5-4
5.4 Sample CASA APMA Supplement with Licensing Agreement ...........................5-5
5.4.1 Sample CASA APMA Supplement (Design Approval) Identicality ...............5-5
5.5 Sample APMA Supplement ....................................................................................5-6
5.6 Sample CASA APMA Design Rejection Letter .....................................................5-7
5.7 Sample ATSO Authorisation..................................................................................5-8
5.8 Sample PIS Approval Letter ................................................................................ 5-10
6. Definitions .........................................................................................................................6-1
Revision History .................................................................................................................. RH-1

Forms
Form 724 Statement of Conformity
Form 849 Production Approval—Application
Form 882 Conformity Inspection Record
Form 883 Production Approval Assessment Control Document
Form 1248 Request for Conformity Inspection
(Note: The above forms are only those available to the industry/public via the CASA
Website. Forms and templates used internally are available to CASA staff only, via
CASAconnect, and are not listed here.)
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Production Approval Procedures Manual
List of Effective Pages

Approved by Executive Manager, Aviation Safety Standards Version 3.0: July 2011
List of Effective Pages

No. of Date of
Part Version
Pages Issue
All pages All 3.0 07/2011
Cover and verso 2 3.0 07/2011
Table of Contents List of Effective Pages and Abbreviations 12 3.0 07/2011
and Preface
1. Introduction to Production Approval Procedures 16 3.0 07/2011
2. Assessment and Issue of Approvals 38 3.0 07/2011
3. Assessments 28 3.0 07/2011
4. Inspections 14 3.0 07/2011
5. Sample Letters 12 3.0 07/2011
6. Definitions 4 3.0 07/2011
Revision History 2 3.0 07/2011

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Production Approval Procedures Manual
List of Abbreviations

Approved by Executive Manager, Aviation Safety Standards Version 3.0: July 2011
List of Abbreviations
Abbreviations
AC Advisory Circular
AD Airworthiness Directive
APMA Australian Parts Manufacturer Approval
ARC Authorised Release Certificate
ARN Aviation Reference Number
ASCD Aviation Safety Compliance Division
ATSOA Australian Technical Standard Order Authorisation
AWE Airworthiness Engineer
CoA Certificate of Airworthiness
ESS Engineering Support Section
FIS Fabrication Inspection System
FITCOM Fabrication in the Course of Maintenance
IPC Illustrated Parts Catalogue
MI Manufacturing Inspector
MRB Materials Review Board
NAA National Airworthiness Authority
PAH Production Approval Holder
PA Production Approval
PC Production Certificate
PCB Production Certification Board
PIS Production Inspection System
PLR Production Limitation Record
PO Project Officer
RMU Record Management Unit
SB Service Bulletin
SDR Service Difficulty Report
STC Supplementary Type Certificate
TC Type Certificate

Preface
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Preface

Approved by Executive Manager, Aviation Safety Standards Version 3.0: July 2011
Foreword
As a Commonwealth government authority, CASA must ensure that its decision-making
processes are effective, fair, timely, transparent, consistent, properly documented and
otherwise in accordance with the requirements of the law.
Most of the regulatory decisions CASA makes are such that conformity with authoritative
policy and established procedures will be conducive to the achievement of these
outcomes. From time to time, however, decision-makers will encounter situations in which
the strict application of policy, in the making of a decision involving the exercise of
discretion, would not be appropriate. Indeed, in some cases, the inflexible application of
policy may itself be unlawful.
This preface and the following Introduction, explains the way in which the policy and
processes set out in this manual are to be used by all CASA’s personnel when making
decisions in the performance of their functions, the exercise of their powers and the
discharge of their duties. It also explains the processes to be followed if it appears that a
departure from policy is necessary or appropriate.
Mandatory Use of Policy and Procedure Manuals
This manual is one of the set of manuals and other documents which comprise CASA’s
authorised document set. The authorised document set contains the policy, processes
and procedures with which CASA personnel are expected to comply when performing
assigned tasks. All CASA personnel are required to have regard to the policies set out in
this manual. Except as described in the Introduction, CASA decision-makers should not
depart from these policies, processes and procedures.

John F. McCormick
Director of Aviation Safety

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Preface

Approved by Executive Manager, Aviation Safety Standards Version 3.0: July 2011
Introduction
Regulatory Decision Making
Where the legislation provides for one, and only one decision—the “correct” decision—is
the only decision open to CASA. However, most of the decisions CASA makes involve the
exercise of discretion. In such cases, there may well be more than one acceptable or
correct decision. In these cases, the law requires that CASA makes the “preferable”
decision, that is, the most appropriate decision, having regard to the overriding interests of
safety and the obligation to be fair.
In all such cases, CASA is bound to act in accordance with the applicable rules of
administrative law. These rules govern how CASA arrives at the ‘preferable’ decision in
any given case. Adherence to these rules is a requirement, not an option. Decisions and
actions taken in contravention of these rules are unlawful, unenforceable, and in most
cases invalid. CASA is legally accountable for the decisions it makes, and CASA decision-
makers are obliged to avoid the appearance, as much as the reality, of unlawful decision-
making.
Sound and lawful regulatory decision-making is generally governed by the 10 rules of
administrative law summarised below. Adherence to these rules is essential to CASA’s
obligations of accountability and good governance.
1. Natural Justice (Procedural Fairness)
Hearing Rule. Persons affected by CASA’s decisions have a right to be heard.

To be meaningful, the hearing rule normally requires that CASA provides persons
with notice (usually in advance) that a particular decision is going to be taken, and
the reasons for the decision CASA proposes to take. Without notice and a
statement of reasons, there may be little point to providing a person with an
opportunity to be heard.
Rule Against Bias. Decision-makers should not have a personal or pecuniary

interest in the outcome of their decisions. Neither may decision-makers prejudge
(or pre-determine) matters in respect of which they are called upon to make a
decision.
2. A decision-maker must not act for improper purposes. Even if the purposes for
which a particular decision are lawful, the decision may only be taken for the purposes
specifically authorised by the law under which the decision has been taken.
3. A decision-maker must not take any irrelevant considerations into account in coming
to a decision.
4. A decision-maker must take all relevant considerations into account in coming to a
decision.

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