TAA05.

005-01 DTA 3 AIRWORTHINESS DOCUMENTATION TRACKING

Organization

Document Type/Title WORK

INSTRUCTION

Process Owner

Quality Document Control

Number (QDCN)

AEPM

DTA 3 AIRWORTHINESS
DOCUMENTATION TRACKING

DTA 3-6

TAA05.005-01/a-04

AF9000 Plus Ref

Approved by

Date of approval

Next review

Number of pages

AF4.5.1, AF4.5.2, AF4.16.1

DTA

12 JAN 2004

14 FEB 2008

5 + 3 Annexes

1.0

PURPOSE

1.1
To identify the document management process used within DTA 3 to track highlevel airworthiness-related information, technical data and publications used and
generated within a specific airworthiness compliance program.
2.0

PARENT PROCEDURE

DG05.008
3.0

Management of Technical Data in AEPM

SCOPE/DEFINITIONS

3.1
Applicability. This work instruction applies to all DTA 3 personnel in the Technical
Airworthiness Regulatory Program. It covers the type record and the technical record
documents within a specific airworthiness compliance program.
3.2

Exceptions. Nil.

3.3

Definitions.

3.3.1 Airworthiness Documentation. This is the documentation required to satisfy the

traceability and information requirements for both the approved type design and inservice aeronautical products. Refer to TAM 2.1.S1.10 for type certification, 3.2.2.S5 for
design change, 5.5.2R.1 for type record and 5.5.2R.2 for technical record. It may include
the following (the definitions are listed in the order appearing in Annex A):
a. Statement of Operating Intent (SOI). The SOI is a document which identifies
the intended roles, missions, tasks and in-service usage of the proposed
aeronautical product type design in sufficient detail to permit an engineering
analysis and an assessment to determine and apply the appropriate
airworthiness standards. Refer to TAM 2.1.2.S1.2 and 2-1-2-A-1.
b. Statement of Requirement (SOR). The SOR is a document that defines the
objectives or expected results of a project. It answers the question what, must
the project achieve in order to be successful. It is typically developed at the
commencement of an acquisition project and is a static document that is not
maintained or updated. Refer to TAM 2-1-2-A-1 ADVISORY NOTE.
c. System Safety Program. A system safety program consists of a completed
Preliminary Hazard Analysis or Functional Hazard Analysis (FHA) and copies
of airworthiness Risk Assessments performed iaw the TAM, Part 5, Chapter 1
to substantiate an airworthiness-related decision regarding a potential design
deficiency or airworthiness degradation. Refer to TAM 2.1.2.S1.3.
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d. Type Design Examination (TDE). The TDE is an examination of previous

certification records for acceptability and applicability to a DND registered
aeronautical product. The aim of the TDE is to give previously performed
certification work by other organizations the same validity as if the work had
been performed by the TAA. This credit may be applied, in whole or in part,
towards obtaining airworthiness approval. To obtain credit, in whole or in part,
the certification activities shall meet the requirements of the Type Design
Examination process specified in 2.5.2.S1. and Ref B.
e. Basis of Certification (BoC). The Basis of Certification is a complete collection
of certification requirements that must be satisfactorily addressed in order to
grant Technical Airworthiness Approval for an aeronautical product type
design. These certification requirements are based on the applicable
airworthiness standards for the aeronautical product type, special and/or
environmental conditions deemed necessary to assure an acceptable level of
safety, TAA approved exemptions, and findings of equivalent safety. The BOC
must also include the amendment or change level for each of the standards.
Refer to TAM 2.1.2.S3 and or 3.2.2.S2.
f. Certification Plan. The Certification Plan describes the intended certification
process leading to TAA airworthiness approval of an approved type design. It is
produced by the applicant and submitted for TAA approval and outlines the
proposed certification program from the development of the proposed Basis of
Certification to the issue of the DND Type Certificate. Refer to TAM 2.1.2.S1.5
and or 3.2.2.S.3.
g. Compliance Record. It includes the means and methods that will be used to
measure compliance with the standards. Engineering reports, such as
structural analysis, fault analysis, electrical load analysis, inspections, test
reports, weight and balance data or reports and any other applicable technical
or engineering data necessary to demonstrate compliance with the
requirements are listed in the BoC. Refer to TAM 2.1.2.S1.9 and 3.2.2.S4.7, for
Certification Plan (TAM 2.1.2.R2 & 3.2.2.R3) and completed Compliance Matrix
(TAM 2.1.2.S1.7 and 3.2.2.S4.2).
h. Finding Authorities (FAs) Reports. Reports submitted by FAs assigned against
all specific areas of the Compliance Matrix. The FAs are approved by the
DND/TAA, or an authorized individual when making Findings of Compliance
and are working directly for the TAA. Refer to TAM 2.1.2.S1.7.d.
i.

Issue Papers (IP). Papers prepared during Type Certification as described in

the TAM 5.5.2.S1.1.h and Ref C.

j. Design-Related Deviations, Waivers. (approved or rejected) A deviation or

waiver is a written authorization to depart (or deviate) from a specific
airworthiness requirement. (TAM 3.2.2.S3.h.(4))
k. Exemption. An exemption is a written authorization that a specific airworthiness
requirement will not be applied. Refer to TAM Pt 5, Ch 9.
l. Unapproved Proposed Changes. Documentation retained either as part of the
Type Records or Organizational Records. Refer to TAM 5.5.2.S1.k ADVISORY
NOTE.
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m. Authorized Changes. Changes to the approved configuration specified in the

approved type design; this includes non-significant design changes as
described in the TAM, Pt 3, Ch 2.
n. Experimental Flight Permit (EFP) or Flight Permits (FPs) including Risk
Assessments. The EFP is the document containing the restrictions,
recommendations and limitations consistent with the level of risk associated
with flight tests for compliance testing only. The TAA or authorized individual
will issue an EFP. Refer to TAM 5.7.2.R1 and Ref D.
o. Type Certificate and Type Certificate Data Sheet (TCDS). Original and all
subsequent revisions, copies of any Type Certificates and TCDS or equivalent
documents issued by another airworthiness regulatory agency upon which the
DND Type Certificate issued by the TAA is based. Refer to Type Design
Certification process. Refer to TAM 2.1.2.S8;
p. Design Certification Boards (DCB) Initial, Intermediate & Final Design
Certification Board Minutes/ Decision Records. The records produced by DCB.
The DCB is a body of TAA representatives tasked to review certification
activities and airworthiness documentation with the intent of providing the TAA
a recommendation for airworthiness approval of the proposed type design.
Refer to TAM 2.1.2.S2.1g ADVISORY NOTE 2.
q. Airworthiness Review Board (ARB) Minutes. The minutes produced by the
ARB. The ARB is a board co-chaired by the TAA and the OAA. It is
established to manage the interface between operational and technical
airworthiness of each aircraft type; approve the release to service of new or
modified aircraft types and address observations and concerns raised by the
AIA. The ARB normally meets on a biannual basis or as the situation requires.
r. Annual Airworthiness Report (AAR). The annual report produced by the WSM
or the OPI summarizing the status of the fleet and submitted to the TAA, Ref E;
s. Airworthiness Directive (AD). An AD is a product-related airworthiness order
issued by the TAA when mandatory action is necessary to rectify a potential
degradation in the level of safety for in-service aeronautical products. Refer to
TAM 5.6.1.1 and TAM 5.6.2.S1 AD Compliance.
t. Instructions for Continued Airworthiness (ICA). Instructions for Continued
Airworthiness are maintenance instructions developed during type certification
that are necessary to keep an aeronautical product in a condition that is fit and
safe for flight. Refer to TAM 2.1.2.R4 and TAM 5.3.2.S1.
u. Flight Manual, Aircraft Operating Instruction (AOI). Manuals submitted to the
TAA for approval and containing information necessary for safe operation.
Refer to TAM 2.1.2.S5.
v. In-service Support Plan. A plan that includes the information required to enable
the TAA to assess the preparations for the continuing compliance of the
approved type design after the DND Type Certificate has been issued. Refer to
TAM 2.1.2.S6.

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TAA05.005-01 DTA 3 AIRWORTHINESS DOCUMENTATION TRACKING

4.0

RESPONSIBILITIES

4.1

Technical Airworthiness Authority (TAA).

a. Assign responsibility for the control and custody of all documents, which form
part of the airworthiness documentation;
b. Approve the disposal of any document within the Type Record even if the
aeronautical product type is no longer in service IAW Ref A para 5.5.1.2.2 Type
Record and 5.5.2.R1.3; and
c. Approve the disposal of a Technical Record even if the aeronautical product
type is no longer in service IAW Ref A para 5.5.1.2.3 Technical Record and
5.5.2.S.2.4 to ensure retention of documents for specific periods.

4.2

DTA 3 OPI.
a. Maintain an information management process to retain, locate, identify, and
retrieve airworthiness related information;
b. Obtain consensus from the group on the need for a new Primary file number
(this includes new secondary, tertiary and/or quaternary file numbers);
c. Complete Annex B register, as required by individual design change; and
d. Interface with TA.

4.3

Technical Authority (TA).

a. Provide necessary access (link) to airworthiness documents to DTA 3 OPI;
b. Ensure documents have been entered into EDRMS prior to forwarding them to
the applicable DTA 3 OPI; and
c. Ensure TAA approval before the disposal of any airworthiness documents.

5.0

ACTION/METHOD OF COMPLIANCE

5.1
General. The acquisition, configuration control and support of an aeronautical
product relies on the accuracy and completeness of the airworthiness-related
documentation. This documentation must be available for use in the various engineering,
maintenance manufacturing, and materiel support activities throughout the life cycle of an
aeronautical product.
NOTE 1: Instructions for filing records in EDRMS and an explanation of the new
EDRMS Profile Form is found in EDRMS # 299548. (Refer to Ref B, for more details)
5.2
The process for recording the location of airworthiness documentation is illustrated
at Annex A. Annex C, provides a brief comment to the document contents and File no.
5.3
Annex B is a sample of a Document Verification Register, used to record the
EDRMS location of airworthiness documents.
5.4
Annex C identifies the relationship between the TAM, Ref A Technical
Airworthiness Clearance and the File Plan utilized within DTA 3. This table can be found
at Ref A, Section 3, Part 2, Chapter 3 TAC Check List.

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TAA05.005-01 DTA 3 AIRWORTHINESS DOCUMENTATION TRACKING

6.0

QUALITY RECORDS

Quality Record

Custody Responsibility

Document Verification Register

Document Verification Register
(working copy)

7.0

Retention Period

DTA 3 Admin Clerk

DTA 3 Admin Clerk Files

1027xx-830-2-

Life of aircraft

DTA 3 OPI

DTA 3 OPI Files 1027xx-830-2-

Life of aircraft

DOCUMENTATION/REFERENCES

A.
B.
C.
D.
E.
F.
G.
H.
I.

C-05-005-001/AG-001
TAA09.019
TAA04.003-01
EMT09.047
DG09.017
TAA04.003
DG05.008
QS16.001
DG15.002

8.0

ATTACHMENTS

Annex A
Annex B
Annex C

5/5

Storage and Access or EDRMS

Control Number

Technical Airworthiness Manual

Type Design Examination
Issue Papers (IPs) - Control and Management
Submission and Approval of a Request for Flight Permit
Airworthiness Review Board (ARB)
Design Certification Board (DCB) Activities
Management of Technical Data within AEPM
Control of Quality Records within the AEPM Division
Disposal or Storage of Aeronautical Products and
Associated Equipment

Airworthiness Documentation Tracking Flowchart

Sample Document Verification Register
Table Technical Airworthiness Clearance -- Type Certification File Plan

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TAA05.005-01 DTA 3 AIRWORTHINESS DOCUMENTATION TRACKING

ANNEX A
To TAA05.005-01
AIRWORTHINESS DOCUMENTATION TRACKING FLOWCHART

DTA OPI receives an airworthiness

related document from a TA

Does
the document require
review/comments?

No

DTA OPI enters the EDRMS file

number on the document and
saves it in EDRMS.

Yes

DTA 3 OPI refers to appropriate

AF9000 process and/or TAM for
appropriate level of response

DTA OPI saves the document as a

new version in EDRMS iaw the
applicable AF9000 process and/or
TAM

DTA OPI enters the required

information on the Document
Verification Register (Annex B)

DTA OPI forwards hardcopy

of the document to DTA 3
admin clerk to be filed into the
appropriate project file
NOTE
Airworthiness documentation, data or
information need not be completed
prior to granting airworthiness approval
of the proposed type design, provided a
TAA approved plan exists for their
development, review and/or approval,
except where they are required to
demonstrate compliance. The
outstanding documents should be
addressed in the in-service support plan.

DTA 3 returns the document to the

TA for storage into the Type
Record Set

On completion of the project the

DTA 3 OPI forwards the
completed Document Verification
Register to the DTA 3 admin
clerk for filing

A-1/1

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TAA05.005-01 DTA 3 AIRWORTHINESS DOCUMENTATION TRACKING

ANNEX B
To TAA05.005-01
SAMPLE DOCUMENT VERIFICATION REGISTER
TABLE OF CONTENTS
FILE No.

FILE NAME

2182D-1027PA-831

DESIGN CHANGE CERTIFICATION PA

EDRMS Document No.

EDRMS Document Name

340812

DTA 3 AW CP140 NFIMP DOCUMENTATION VERIFICATION

DOCUMENT
SOW
Statement Of Operating Intent (SOI), PT 2, CH 1, 2.1.2.S1.2 &
AnnexA

System Safety Analysis (SSA) PT 5, CH 1

Preliminary Hazard Analysis (PHA)

Functional Hazard Analysis (FHA)
Basis of Certification (BoC) PT 2, CH 1, 2.1.2.R3
Certification Strategy

Finding Authorities 2.1.2.S1.7.d.1 EDRMS 340812

Certification Plan PT 2, CH 1, 2.1.2.R2

Airworthiness Management Plan
Findings of Compliance 2.1.2S1.7.d.1
Airworthiness Standards
Compliance Matrix PT 2, CH 1, 2.1.2.S1.7
Issue Papers PT 2, CH 1, Section 3 TBA
Compliance Record PT 2, CH 1, 2.1.2.S1.9
Deviations / Waivers PT 3, CH 2, 3.2.2.S3.1.E.4

Design Certification Board (s) (DCB) minutes

Flight Permit (s) PT 5 CH 7, 5.7.2.R1

Design Change Approval, (Significant and or Non-significant) PT
2, CH 1, 2.1.2.S1.13

YES/NO

DATE

EDRMS #

Vol#

YES
YES

25 Feb 03
29 Aug 02

12545
29457

YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES

17 Nov 03
11 Jul 03
23 Oct 03
07 Jul 03
23 May 03
17 Jan 03
25 Feb 02
02 Feb 04
08 Dec 03
5 Jun 01
10 Dec 99
5 Jun 01

302967
343058
358020
342471
335610
321392
255186
318700
366269
219123
18808, 18943
219123

YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES
YES

5 Nov 01
7 May 03
6 May 03
17 Feb 03
17 Feb 03
8 Apr 02
14 Dec 01
29 Nov 01
30 Jan 04
6 Nov 01
31 Aug 00
26 Mar 03
29 Mar 00
14 Feb 02
5 Sep 03
17 Mar 03

228128
335623
334478
325655
325654
259372
246156
242394
373375
24825
15784
249198
15638
254061
325753
330047

YES
YES
YES
YES
YES
YES
YES
YES

13 Dec 02
19 Feb 03
08 Jul 03
30 Jan 04
18 Mar 04
27 Nov 03
28 Nov 03
5 Nov 01

256759
326323
342700
373351
380269
331331
325006
228128

YES
YES

5 Jan 04
31 Jan 00

225372
19662

YES

28 Nov 03

274138

COMMENTS

Design Change Certificate, PT 3, CH 2

Type Certificate PT 2, CH 1, 2.1.2.S8
Applicable Airworthiness Directives PT 5, CH 6, 5.6.2.R1
In Service Support Plan PT 2, CH 1, 2.1.2.R6
Instruction/Supplements/Amendments for Continuing
Airworthiness (ICA) PT 2, CH 1, 2.1.2.R4
Instruction/Supplements/Amendments for Flight Manual PT 2,
CH 1, 2.1.2R5
Master Minimum Equipment List (MMEL) plus amendments.
Airworthiness Acceptance PT 2, CH 3, 2.3.2.S1.1
Airworthiness Approval PT 2, CH 3, 2.3.2.S1.2

Signature of member archiving documentation

B-1/1

Date

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TAA05.005-01 DTA 3 AIRWORTHINESS DOCUMENTATION TRACKING

ANNEX C
To TAA05.005-01
TABLE TECHNICAL AIRWORTHINESS CLEARANCE - TYPE CERTIFICATION FILE PLAN
1.01 Design Type Certification

Comments -

FILE NO.
2182D-1027

1.01. Type Record

1.01
Type
Record
(TAM
Part5, Ch
5)

(TAM Pt 2, Ch 1)

1.01.1 Type Certification Documentation

1.01.1.1

1.01.2 Design
Change
Control
Process
(TAM Part 3,
Ch 2)
1.01.3
Miscellaneou
s Type
Related
Records
(TAM Part 5,
Ch 5)

C-1/2

Statement of Operating Intent (SOI) (TAM Pt 2, Ch1 2.1.2.S1 & Annex A)

The TCDS shall include a reference to the approved SOI document

1027XX-830-2-3

1.01.1.2 Safety Assessment (TAM Pt 2, Ch 1 - 2.1.2.S1)

Provide a reference to the approved Safety Assessment document.

1027(XX-830-2-4

1.01.1.3 Basis of Certification (BoC) (TAM Pt 2, Ch 1 - 2.1.2.R3)

Provide a reference to the approved Basis of Certification document.

1027XX-830-2-2

1.01.1.4 Compliance Record (TAM Pt 2, Ch 1 - 2.1.2.S1.9)

Provide a reference to the approved Compliance Record document.

1027XX-830-2-8

1.01.1.5 Type Certificate Data Sheet (TCDS) (TAM Pt 2, Ch 1 2.1.2.S8)

Provide a copy of the Approved Type Certificate and Type Certificate

Data Sheet

1027XX-830-2-14

1.01.1.6
5, Ch 9)

Exemptions & Deviations (TAM Pt 2, Ch 1 - 2.1.2.S1 Pt

Identify any exemptions, deviations or waivers to TAM rules and

standards

1027XX-830-7

1.01.1.7

Issue Papers (TAM Pt 2, Ch 1 - 2.1.2.S.1)

Provide an index list of the issue papers, including classification of IP

(A,B, C or D) and status of IP

1027XX-830-5

1.01.1.8

Design Specification (TAM Pt 2, Ch 1 - 2.1.2.S.1)

Provide a reference to the Aircraft Master Design Document (i.e., Top

Level Drawing).

1027XX-830-

1.01.1.9

Type Design Examination (TDE) (TAM Pt 2, Ch 5)

If TDE applied during certification program, provide a reference to the

TDE findings report.

1027XX-830-2-16

1.01.1.10 Flight Manual (TAM Part2, Ch1)

Identify the TAA approved Flt Manual, including version or revision

number

1027XX-830-6

1.01.1.11 Instructions for Continued Airworthiness /

Maintenance Program (TAM Pt 2, Ch 1 - 2.1.2.R.4 & Pt 5,
Ch 3 5.3.2.R1
1.01.1.12 Master Minimum Equipment List (MMEL) (TAM Pt2, Ch
6)

Provide a reference to the document containing the approved ICAs.

1027XX-830-2-10 &
11

Provide a reference to the approved MMEL.

1027XX-830-2-12
1027XX-831-2-12

Identify the organization responsible for the control of design changes to

the type design. Provide a brief description of the process that will be
used to manage the certification of in-service design changes, including a
description of the Design Support Network (DSN). If the design
management processes and procedures are described in an Engineering
Procedures Manual (EPM), then it would only be necessary to make
reference to the relevant section of the EPM.

1027XX-831-2

Identify any ADs issued against this aircraft type.

1027XX-830-2-13

1.01.2.1

Establish Design Change Approval Process

(TAM Part 3, Ch 2)

1.01.2.1.1 Amendments to Basis of Certification

1.01.2.1.2 Design Change Compliance Process

1.01.3.1 Airworthiness Directives (TAM Pt 5, Ch 6)

1027XX-831-2-2
1027XX-831-2-8

1027XX-831-2-13
1.01.3.2 Type In-Service History (TAM Pt 5, Ch 5)
1.01.3.3 Airworthiness Risk Assessments (TAM Pt 5, Ch 1)

If this is an existing aircraft type, summarize its Service History

1027XX-846

List any Risk Assessments conducted

1027XX-845

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TAA05.005-01 DTA 3 AIRWORTHINESS DOCUMENTATION TRACKING

1.02 Aeronautical Product

Comments

File No.

1.02.1 Flight Authority Documents

1.02.1 Flight
Authority
Documents

1.02.1.1 Certificate of Airworthiness (TAM Part5, Ch 9)

1.02.1.2 Flight Permits (TAM Part5, Ch 9)

Ensure a C of A is issued for each tail number

List any Flight Permits issued against this aircraft type

(TAM Pt 3, Ch 7)
1.02.1.3 Conformance Certificates (TAM Part5, Ch 5)

Ensure a C of C has been issued for each tail number

1027XX-830-4-2
1027XX-831-4-2
1027XX-830-4-3
1027XX-831-4-3
1027XX-830-4-4
1027XX-831-4-4

1.02.2 Aircraft Technical Record

1.02.2.1
Product Certification
Documents (TAM
Part5, Ch 5)

1.02.2 Aircraft
Technical
Record
(TAM Pt 5, Ch 5)

1.02.2.2 Product
Status Documents
(TAM Part 5, Ch 5)

1.02.2.1.1 Maintenance Release Records (TAM Part3, Ch 1 3.1.2.R10)

As described in MPM

1.02.2.1.2 Aircraft Release Records (TAM Part3, Ch 1 3.1.2.R11)

As described in MPM

1.02.2.2.1 Airworthiness Directive Records (TAM Part5, Ch 5)

Ensure all applicable ADs and compliance activities are

recorded

1.02.2.2.2 Operating Records (TAM Part5, Ch 5)

As described in MPM

1.02.2.2.3 Maintenance Records (TAM Part5, Ch 3)

As described in MPM

1.02.2.2.4 Product Related Deviations and Waivers (TAM

Part5, Ch 5)

Ensure any deviations or waivers are recorded in applicable

technical record

1.02.2.2.5 Configuration Status Records (TAM Part3, Ch 3)

1027XX-830-2-13
1027XX-831-2-13

1027XX-830-7
1027XX-831-7

As described in MPM
1027XX-830-4

1.02.3 Fleet Registration

1.02.3.1 Type Designation (TAM Part2, Ch 2 - 2.1.2.R1)

Ensure Type Designation has been provided by TAA

1.02.3 Fleet
Registration

1.02.3.2 Aircraft Registration (TAM Part2, Ch 2 - 2.1.2.R2)

Ensure each tail number has been provided by TAA

(TAM Pt2,Ch2)

1.02.3.3 Aircraft Markings (TAM Part2, Ch 2 - 2.1.2.R3)

Ensure all required CF markings are applied

1027XX-830-4-5
1027XX-830-4-5
1027XX-830-4

1.02.3.4 Identification of Aircraft and Other Aeronautical Products (TAM Pt5, Ch 8)

1.02.4 Configuration Status

1.02.4
Configuration
Status

1.02.4.1 Configuration Status Records (TAM Part3, Ch 3 3.3.2.R1)

(TAM Pt 3, Ch 3)

C-2/2

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