Advisory Circular (AC)

Advisory Circular (AC) Establishing The Basis Of Changed Aeronautical Products File No. 5009-6-500 AC No. 500-016 RDIMS No. 528226-V3 Issue No. 01 Issuing Branch Aircraft Effective Date 2004-12-01 1.0 INTRODUCTION...2 1.1 Purpose...2 1.2 Guidance Applicability...2 1.3 Changes...2 1.4 Termination...2 2.0 REFERENCES...2 2.1 Reference Documents...2 2.2 Cancelled Documents...2 2.3 Explanation of Terminology...2 3.0 BACKGROUND...3 3.1 CAR to FAR and JAR Requirements Correspondence Matrix...3 3.2 Discussion...4 4.0 ESTABLISHING THE CERTIFICATION BASIS OF CHANGED PRODUCTS (STEPS 1 TO 4)...6 4.1 Step 1 of Figure 1 Identify the Proposed Change to an Aeronautical Product...7 4.2 Step 2 of Figure 1 Is the Change Substantial?...7 4.3 Step 3 of Figure 1 Will the Latest Standards Be Used?...8 4.4 Step 4 of Figure 1 Is the Proposed Change Significant?...8 5.0 USING THE CRITERIA TO DETERMINE SIGNIFICANCE AT THE PRODUCT LEVEL (STEP 4)...10 6.0 SHOWING COMPLIANCE WITH EARLIER STANDARDS (STEPS 5 AND 6)...11 6.1 Step 5 of Figure 1 For every area, is the area affected by the proposed?...11 6.2 Step 6 of Figure 1 Are the latest standards practical and/or do they contribute materially to the level of safety?...12 7.0 EXCEPTED PRODUCTS...14 8.0 SPECIAL CONDITIONS AIRWORTHINESS...14 9.0 EFFECTIVE PERIOD FOR AN APPLICATION TO CHANGE A CERTIFICATE...14 10.0 RESTRICTED CATEGORY AIRCRAFT...14 10.1 Special Purpose Operations...14 10.2 Ex-Military aircraft...15 11.0 DOCUMENTATION...15 12.0 HEADQUARTERS CONTACT...15 APPENDIX A CLASSIFICATION OF CHANGES...16 APPENDIX B PROCEDURE FOR EVALUATING THE PRACTICALITY OF APPLYING THE LATEST STANDARDS TO A CHANGED PRODUCT...54 APPENDIX C THE USE OF SERVICE EXPERIENCE IN THE CERTIFICATION PROCESS...62

1.0 INTRODUCTION 1.1 Purpose The purpose of this Advisory Circular (AC) is to provide guidance in establishing the certification basis of d aeronautical products and identifying the conditions under which it will be necessary to apply for a new type certificate. 1.2 Guidance Applicability This document is applicable to all Transport Canada (TC) personnel, delegates and industry. 1.3 Changes This document, formerly AMA No. 500/16, is reissued as an AC. With the exception of minor editorial s the content is unaltered. 1.4 Termination This document does not have a terminating action. It will however, be reviewed periodically for suitability of content. 2.0 REFERENCES 2.1 Reference Documents It is intended that the following reference materials be used in conjunction with the following documents: (a) (b) (c) (d) Part V Subpart 11 of the Canadian Aviation Regulations (CARs) Approval of the Type Design of an Aeronautical Product; Part V Subpart 13 of the CARs Approval of Modification and Repair Designs; Chapter 511 of the Airworthiness Manual (AWM) Approval of the Type Design of an Aeronautical Product; and 2.2 Cancelled Documents Chapter 513 of the AWM Approval of Modification and Repair Designs. As of the effective date of this document, AMA No. 500/16 dated 10 June 2003 is cancelled. 2.3 Explanation of Terminology The following is a summary of the terminology used throughout this advisory material. (a) Note: Basis The applicable airworthiness standards as established in section 511.07, 511.13, and 513.07 of the CARs, as appropriate, Special Conditions- Airworthiness, Equivalent Level of Safety Findings, and Exemptions applicable to the product to be certificated. This AC is not intended for determining the applicable aircraft noise, fuel venting and engine emissions standards for d products. (b) (c) Changes Where the Configuration Is Not Retained (Significant Change to Configuration) A to the general configuration at the product level that is likely to require a new model designation because of the need to distinguish the different product with other product models, e.g. performance, interability of major components, etc. Changes Where the Construction Are Not Retained (Significant Change to Construction) A at the product level to the materials and/or 2004-12-01 2 of 64 AC 500-016 Issue 01

(d) (e) (f) (g) (h) (i) (j) (k) construction methods that affects the overall product s operating characteristics or inherent strength and would require extensive re-investigation to show compliance. Changes That Invalidate the Assumptions Used for (Significant Change to the Assumptions Used for ) A to the product level associated with the compliance demonstration, performance, or operating envelope that by itself is so different that the original are invalidated. Earlier Standards those amendments to the airworthiness standards that were in effect prior to the date of application for the, but not prior to the existing certification basis. Existing Basis the airworthiness standards recorded in the Type Certificate Data Sheets (TCDS) of the product to be d. Latest Standards the amendment level of the airworthiness standards that is in effect on the date of application for the. Previous Relevant Design Changes previous design s, the cumulative effect of which could result in a product significantly or substantially different from the original product or model, when considered from the last time the latest standards were applied. Product level a or combination of s that makes the product distinct from other models of the product (e.g. range, payload, speed). Product level is defined at the aircraft, aircraft engine or propeller level of. Significant Change a product level to the type certificate to the extent that it s one or more of the following: general configuration; principles of construction; or the the certification criteria, but not to the extent to be considered a substantial. Not all product level s are significant. Substantial Change a product level design that is so extensive that a substantially complete investigation of compliance with the applicable standards is required, and consequently a new type certificate, in accordance with section 511.14 or 513.14 of the CARs. 3.0 BACKGROUND 3.1 CAR to FAR and JAR Requirements Correspondence Matrix The table below, identifies the correspondence between Title 14 of the Code of Federal Regulations (14 CFR) Part 21 CERTIFICATION PROCEDURES FOR PRODUCTS AND PARTS, hereafter referred to as the Federal Aviation Regulations (FAR), the European Joint Aviation Authorities Joint Aviation Regulations (JAR) and the Canadian CARs regulatory numbering practices. SUBJECT TRANSPORT CANADA FAA JAA CAR 511 CAR 513 FAR 21 JAR 21 Effective Period of an Application 511.06 513.06 21.101(e) 21.101(e) Applicable standards for design 511.13 513.07 21.101 21.101 Use of latest standards on 511.13(1) 513.07(1) 21.101(a) 21.101(a) design Applicable standards for 511.13(2) 513.07(2) Not applicable Not applicable appliances and/or repairs Use of earlier standards on a not 511.13(3) 513.07(3) 21.101(b)(1) 21.101(b)(1) significant design Criteria for significant 511.13(3)(a) 513.07(3)(a) 21.101(b)(1)(i) 21.101(b)(1)(i) 2004-12-01 3 of 64 AC 500-016 Issue 01

SUBJECT TRANSPORT CANADA FAA JAA CAR 511 CAR 513 FAR 21 JAR 21 Criteria for significant 511.13(3)(b) 513.07(3)(b) 21.101(b)(1)(ii) 21.101(b)(1)(ii) Use of earlier standards on not affected areas Use of earlier standards when latest standard will not contribute materially to safety or will not be practical 511.13(4)(a) 513.07(4)(a) 21.101(b)(2) 21.101(b)(2) 511.13(4)(b) 513.07(4)(b) 21.101(b)(3) 21.101(b)(3) Limit of earlier standards 511.13(5) 513.07(5) 21.101(b) 21.101(b) Excepted aircraft 511.13(6) 513.07(6) 21.101(c) 21.101(c) Application of Special Conditions 511.13(7) 513.07(7) 21.101(d) 21.101(d) Treatment of aircraft in the restricted category 511.13(8) 513.07(8) 21.101(f) Not applicable Elect to comply 511.13(9) 513.07(9) No equivalent No equivalent Extension of the effective period of an application for a design Applicable standard for aircraft issued a Special Certificate of Airworthiness - Limited Reclassification of Aircraft to Restricted Category Changes to a Type Design Requiring a New Type Certificate 511.13(10) 513.07(10) 21.101(e)(2) 21.101(e)(2) Not applicable 513.07(11) No equivalent No equivalent 511.12(5) 513.08 21.101(f) Not applicable. 511.14 513.14 21.19 21.19 Applicable requirements for STCs Not applicable 513.07(1) 21.115(a) Invokes 21.101 21.114 Invokes 21.97(2) and 21.101 3.2 Discussion Section 511.14 and 513.14 of the CARs identify the conditions under which an applicant for a design is required to make an application for a new type certificate. Subsection 511.13(1) and 513.07(1) of the CARs require an applicant for a to a type design to meet the latest standards, except where the is not significant, where areas of the product are not affected, where it would not be practical, or where it would not contribute materially to the level of safety of the d product. This AC explains the criteria for the classification of design s (significant versus not significant) under section 511.13 and 513.07 of the CARs and provides guidance for the determination of substantial s under section 511.14 and 513.14 of the CARs. The intent of section 511.13 and 513.07 of the CARs is to enhance safety through the incorporation of the latest standards in the certification basis of d products, to the greatest extent practicable. This AC describes the application of the latest standards for the certification of significant design s to aircraft, aircraft engines and propellers. Significant s are generally distinct from the vast majority of major s. In the assessment of whether a is significant, all previous relevant design s need to be taken into consideration along with any previous updates to the certification basis. The Minister must approve all s, however, an applicant may comply with earlier amendments of the standards based upon a determination by the Minister, or a ministerial delegate, that the is not significant, an area is not affected by a 2004-12-01 4 of 64 AC 500-016 Issue 01

, and compliance with the latest standards is not practical or does not contribute materially to the level of safety. Each must be judged on its own merit when making the final determination of the certification basis. Note: Appliances and repairs are excluded from the application of these regulations. This AC is applicable to all major s to the type design of aircraft, aircraft engines and propellers. For purposes of this AC, an application for a to a type design as described in subsections 511.12(1), 511.13(1), and 513.07(1) of the CARs is considered an application for a major. Other s as described in subsection 511.12(2) of the CARs are considered to have no appreciable effect on airworthiness and are by definition not significant. Therefore, this AC applies equally to applications made for type certificate amendments and for the issuance of, or amendment of, supplemental type certificates and limited supplemental type certificates. This AC and the methods illustrated in its Appendices are advisory material and are one way, but not the only way of showing compliance with the regulations. The following aeronautical products, defined as an aircraft, engine, propeller and appliances, are eligible for a type certificate under Subpart 511 of the CARs: Aeronautical Product Category Standards of Airworthiness Gliders and Powered Gliders Chapter 522 Very Light Aeroplane (VLA) Chapter 523-VLA Normal, Utility, Aerobatic and Commuter Aeroplanes Chapter 523 Transport Category Aeroplanes Chapter 525 Normal Category Rotorcraft Chapter 527 Transport Category Rotorcraft Chapter 529 Manned Free Balloons Chapter 531 Aircraft Engines Chapter 533 Propellers Chapter 535 Appliances and Other Aeronautical Products Chapter 537 Airships Chapter 541 An applicant may apply for a type certificate in any other category that does not fall within the categories listed above (e.g. tilt wing aeroplanes, hybrid aircraft). In addition, an applicant may also request certification of an aircraft in the Restricted Category for special purpose operations. AWM 511.05 defines special purpose operations as aerial work conducted for agriculture, fire prevention and suppression, aerial surveying, patrolling, weather control, aerial advertising, wildlife conservation, and any other specialized role. Once an aeronautical product is issued a type certificate, subsequent s to the approved type design must be approved in accordance with either Subpart 511 or 513 of the CARs. The intent of the referenced sections and subsections of the CARs is: (a) (b) (c) Section 511.14 and 513.14 specify s that require a new type certificate. When a new type certificate is required, section 511.07 specifies the applicable certification basis for the new product. When an application for a new type certificate is not required by section 511.14 or 513.14, then section 511.13 or 513.07, respectively, define the applicable standards for determining the certification basis for the d product. Subsection 511.13(1) and 513.07(1) require a to a type certificated product to comply with the latest standards, unless the meets the criteria for the exceptions identified in subsection 511.13(3) through (6), or 513.07(3) through (6), respectively. The certification basis should not be dependent on whether the type certificate holder or an applicant for a supplemental type certificate or limited supplemental type certificate is 2004-12-01 5 of 64 AC 500-016 Issue 01

(d) (e) (f) (g) (h) (i) (j) (k) originating the. Where compliance with the latest standards for a significant would not contribute materially to the level of safety, would not be practical, or is in an area not affected by the, the applicant may comply with earlier standards. However, the applicant may not use airworthiness standards prior to those specified by the existing certification basis. Subsection 511.13(2) and 513.07(2) specify that the applicable standards for a to a type certificated appliance are those recorded in the TCDS. This requirement also applies to repair design approvals under subsection 513.07(2). Subsection 511.13(3) through (5), and 513.07(3) through (5), pertain to s for which earlier standards provide adequate standards. Earlier standards may be used when the is not significant. In cases where design s involve features that have no associated standards in the existing certification basis, the Minister will review the proposed certification plan to ensure adequacy of the airworthiness standards against the proposed design and may require compliance with Special Conditions - Airworthiness. Subsection 511.13(3) and 513.07(3) allow the applicant to show compliance with earlier standards when the Minister, or a ministerial delegate, determines the is not significant. Paragraph 511.13(3)(a) and (b), and 513.07(3)(a) and (b), pertain to s that meet the criteria where the is significant. Subsection 511.13(4) and 513.07(4) allow the use of earlier standards for significant s for areas of the product not affected by the and for cases where compliance with the latest standards would not contribute materially to the level of safety or would not be practical. Note that subsection 511.13(5) and 513.07(5) specify that the earlier standards may not precede the corresponding requirements recorded in the TCDS. Subsection 511.13(6) and 513.07(6) provide an exception to the requirements of subsection 511.13(1) and 513.07(1), respectively. An applicant for a to an aircraft (other than rotorcraft) of a maximum weight of 2720 kg (6,000 lbs) or less, or to a non-turbine rotorcraft of a maximum weight of 1360 kg (3,000 lbs) or less, may show that the d product complies with the standards recorded in the TCDS. The applicant may elect to comply with the later standards. However, if the Minister, or a ministerial delegate, finds that the is significant in an area, the Minister may designate compliance with a later amendment to the standards recorded in the TCDS that apply to the and any other requirement that the Minister finds is directly related. Subsection 511.13(7) and 513.07(7) allow the application of Special Conditions- Airworthiness when the proposed certification basis does not provide standards with respect to a proposed that has novel or unusual design features. Subsection 511.13(8) and 513.07(8) specify the applicable airworthiness standards for aircraft certified in the restricted category as those that provide a level of safety appropriate for the special purpose operations. Subsection 511.13(9) and 513.07(9) allow voluntary compliance with a subsequent amendment to the standards in effect on the date of application for the proposed to the type design, provided any related amendments are also included. Subsection 511.13(10) and 513.07(10) allow for re-establishing the certification basis when the Minister extends the effective period of an application, prescribed by section 511.06 and 513.06. The effective periods prescribed under section 511.06 and 513.06 are consistent with the requirements for a new type certificate. 4.0 ESTABLISHING THE CERTIFICATION BASIS OF CHANGED PRODUCTS (STEPS 1 TO 4) The administrative burden for the applicant is to demonstrate, and the Minister, or a ministerial delegate, to find, that a to a product is significant or not significant, and to determine the resulting certification basis. The certification basis can vary depending on the magnitude and 2004-12-01 6 of 64 AC 500-016 Issue 01

scope of the. Figure 1 provides a flowchart of the process to determine the applicable certification basis for a proposed design under section 511.13 or 513.07 of the CARs, following a determination that the proposed design is not substantial under section 511.14 or 513.14 of the CARs, respectively. The steps below correspond to the Figure 1 flowchart and present a streamlined approach in making this determination. In addition to assisting in the determination of significance, this guidance will help establish the appropriate amount of coordination required between the applicant and the Minister. Classifications of typical s are provided in the tables of Appendix A. For instructions on how to use the Appendix A tables, proceed to step 4 below. In cases where the classification in Appendix A is not applicable, or not immediately obvious for the proposed, the following steps should be used in conjunction with Figure 1 to determine the appropriate certification basis for the d product. For a to an appliance for which a type certificate has issued, the applicable standards will continue to be the requirements recorded in the TCDS. This requirement also applies to the approval of repair design under subsection 513.07(2) of the CARs. 4.1 Step 1 of Figure 1 Identify the Proposed Change to an Aeronautical Product The applicant must, as a first step, identify the proposed to the aeronautical product. An applicant for a to a type certificate must consider all previous related design s to the aeronautical product. Changes to a product can include physical design s, s to an operating envelope, and/or performance s. The may be a single, or a collection of s. For each, it is important that the effects of the on other systems, components, equipment, or appliances of the product are properly assessed. The characteristics affected by the are not only physical s. The intent is to encompass all aspects where there is a need for re-evaluation, that is, where the substantiation presented for the product being d should be reviewed, updated, or re-written. All other areas of the aircraft are considered to be und or not affected by the. 4.2 Step 2 of Figure 1 Is the Change Substantial? Section 511.14 and 513.14 of the CARs require that an applicant obtain a new type certificate if the scope and nature of the proposed in design, configuration, power, power limitations (engine), or weight are so extensive that a substantially complete investigation of compliance with the applicable standards is required. A new type certificate could be required for either an extensive to a previously type certificated product or for a new design derived through a series of design s from a previously type certificated product. The need for a new type certificate may be obvious when the is first considered or may need a more extensive evaluation through application of section 511.13 or 513.07 of the CARs. A "substantially complete investigation" of compliance is required when most of the existing substantiation is not applicable to the d product. The question of whether a is substantial must be addressed at the beginning of the process. However, if at any point while developing the certification basis, it becomes clear that the proposed is a substantial, the process ceases to be an amendment process under section 511.13 and CAR 513.07 of the CARs and becomes a new type certificate process under section 511.05 of the CARS. If it is not initially clear that a new type certificate is required, Appendix A provides some examples of substantial s to aid in this classification. In considering the above, a substantial will require a new Type Certificate; section 511.14 and 513.14 of the CARs apply. If the is not substantial, section 511.13 or 513.07 of the CARs apply. 2004-12-01 7 of 64 AC 500-016 Issue 01

4.3 Step 3 of Figure 1 Will the Latest Standards Be Used? Where the latest standards are used, the intent of section 511.13 and 513.07 of the CARs has met including the case where the applicable standards have not d since the previous update of the certification basis or where the applicant elects to comply with the latest amendments. 4.4 Step 4 of Figure 1 Is the Proposed Change Significant? Significant s are product level s, and by their very nature distinct from the vast majority of major s. In general, these s either are the result of an accumulation of s or occur through an isolated extensive major rising to the product level that makes the d product distinct from others. Additionally, subsection 511.13(3) and 513.07(3) of the CARs define a significant based on whether or not one or more of the three criteria applies: (a) (b) (c) the general configuration is not retained; the principles of construction are not retained; and the certification of the product do not remain valid. In many cases, a significant will involve more than one of these criteria and will, by its very nature, be obvious and distinct from other product improvements or production s. The applicant may use the tables in Appendix A and the criteria described in Section 6 as guidance to make the classification of significance. Previous relevant design s of the product can trigger one or more of the criteria listed in paragraph 511.13(3)(a) and (b), or 513.07(3)(a) and (b) of the CARs for the proposed design. When assessing the design, either singularly or collectively, the cumulative effect of previous relevant design s must be considered. These design s may have incorporated through earlier s in the type certificate on areas related to the current proposed and the associated areas, systems, components, equipment, or appliance. The collective result may be a product considerably different from the latest updated certification basis for the product or model. Two examples of previous relevant aeroplanes design s address those incremental increases in weight or thrust that, while individually not significant (e.g., 2%, 4%, 5% discrete increases), can, through a series of s, achieve a significant product level. The assessment of a proposed design together with any previous relevant design s is based on whether any of the three criteria are triggered. Subsection 511.13(3) and 513.07(3) of the CARs state that s that meet one of the three criteria are considered significant. The examples of significant and not significant s in Appendix A are predicated upon more than 10 years of international certification experience. The concept of having only three criteria fits these examples and it is therefore considered that no other criteria apply. Therefore, only when one or more of the three criteria is affected is the design considered significant. The starting point to begin accumulating previous relevant design s is the time the latest applicable standards were applied in the affected area, system, component, equipment, or appliance. Typically, a to a single area, system or component will not result in a product level. However, there may be distinct cases where the to a single system or component may result in a significant due to its effect on the product level certification. 2004-12-01 8 of 64 AC 500-016 Issue 01

Figure 1: Establishing the certification basis of d products Step 1. Identify the proposed to an aeronautical product. YES Step 2. Is the substantial? NO Latest standards 511.13(1) or 513.07(1) Step 3. Will the latest standards be used? NO Step 4. Is the proposed significant? NO Not significant YES YES Will the latest standards be used? NO Step 5. For every area, is the area affected by the proposed? NO Not affected areas YES Step 6. Are the latest standards practical and do they contribute materially to the level of safety? YES NO Not practical or not contributing materially to the level of safety New Type Certificate 511.07 Latest standards Earlier standards but not prior to the existing certification basis 2004-12-01 9 of 64 AC 500-016 Issue 01

: (a) (b) (c) In the vast majority of cases, the applicant will proceed to Step 4 as the initial step in the process. See Section 4 for guidance. For excepted products under subsection 511.13(6) and 513.07(6) of the CARs, see Section 7. For Special Conditions-Airworthiness under subsection 511.13(7) and 513.07(7) of the CARs, see Section 8. 5.0 USING THE CRITERIA TO DETERMINE SIGNIFICANCE AT THE PRODUCT LEVEL (STEP 4) Typically, a significant product level would result in a model if approved by an amendment to the type certificate, or if approved through an STC the would be equivalent in level to that of an amended type certificate. Note that applications for a new model not associated with hardware s, i.e. commercial considerations, are not an indication of a significant under section 511.13 or 513.07 of the CARs. All s are considered in light of the itself and its classification. The following, defined in section 3, build upon the criteria identified in the regulations and provide additional guidance on how to apply the criteria when classifying product level s. In cases of doubt, and to ensure a consistent outcome, the applicant is encouraged to seek the advice of the Minister: (a) (b) (c) Changes Where the Configuration Is Not Retained (Significant Change to Configuration); Changes Where the Construction Are Not Retained (Significant Change to Construction); and Changes That Invalidate the Assumptions Used for (Significant Change to the Assumptions Used for ). Examples may include: (a) (b) (c) Note: Change of an aircraft from an unpressurized to pressurized fuselage; Change of operation of a fixed wing aircraft from land based to water based; and Operation envelope expansions that are outside the existing design parameters and capabilities. Merely operating a product to an expanded envelope for which it was originally designed is generally not a significant. In this case, the certification of the basic product remain valid and the results can be applied to cover the d product with predictable effects or can be demonstrated without significant physical s to the product. The above criteria are used to determine if a is significant. In applying the criteria and the examples in Appendix A, the applicant must concentrate on the itself. Consideration of only the latest standards is not a reason to cause a classification of significance under section 511.13 or 513.07 of the CARs. Appendix A includes tables of typical s for large aeroplanes, small aeroplanes, rotorcraft, and engines/propellers that meet the definition of significant for each product line. The Appendix also includes typical s that do not achieve the significant level. The tables can be used in one of two ways: (a) (b) To classify a proposed that is listed in the table; or In conjunction with the three criteria, to help classify a proposed not listed in the table. 2004-12-01 10 of 64 AC 500-016 Issue 01

If, based on Appendix A and/or the criteria of subsection 511.13(3) or 513.07(3) of the CARs, the is classified as: (a) (b) Note: Significant The applicant will comply with the latest standards for the certification of the d product. The applicant can use the exceptions provided in subsection 511.13(4), or 513.07(4) of the CARs to show compliance with earlier standards. The final certification basis may consist of a combination of the latest and earlier or existing standards for the ; or Not significant The applicable standards are those contained in the existing certification basis. The applicant may elect to comply with later standards. In cases where no standards are defined in the existing certification basis for the design but are available on later standards, the applicable later standards will be made part of the certification basis. Making the Classification A classification of significant or not significant can be made through application of subsection 511.13(3) or 513.07(3) of the CARs, in one of two ways: (a) (b) By delegation, where appropriate procedures are in place to support a classification of significant or not significant by a delegate. The Minister may accept the not significant determination without further evaluation and rely on the delegates design control system and the Minister s oversight system to monitor and validate decisions; or By the Minister accepting the determination of significant relevant to a major modification based on the applicant s data submission. At this point, the determination of significant or not significant has made. For significant s, if the applicant proposes to show compliance with an earlier requirement, the procedure outlined in Section 7 should be used. 6.0 SHOWING COMPLIANCE WITH EARLIER STANDARDS (STEPS 5 AND 6) For a design that has determined to be significant, subsection 511.13(4) and 513.07(4) of the CARs provide the exceptions from the requirement of subsection 511.13(1) and 513.07(1) of the CARs, respectively, to meet the latest standards for design s. Subsection 511.13(4) and 513.07(4) of the CARs identify conditions under which an applicant may show that the d product complies with earlier standards or with the existing certification basis and, therefore, would not be required to comply with latest standards. The earlier standards with which the applicant intends to show compliance may not precede the amendment levels of the standards in the existing certification basis. An applicant may propose to show compliance with earlier standards or with the existing certification basis for areas not affected by the, and areas affected by the for which compliance with the latest standards would not contribute materially to the level of safety or would not be practical. It is incumbent upon the applicant to demonstrate to the Minister that compliance with the latest standards does not materially contribute to the level of safety, or is not practical. Steps 5 and 6 described in section 7.4 and 7.5 should be used in conjunction with Figure 1, when an applicant wishes to comply with earlier standards for a significant. 6.1 Step 5 of Figure 1 For every area, is the area affected by the proposed? A not affected area is any area, system, component, equipment, or appliance that is not affected by the proposed product level (paragraph 511.13(4)(a) or 513.07(4)(a) of the CARs). For a product level, it is important that the effects of such on other systems, components, equipment, or appliances of the product are properly assessed because areas that have not d may be affected. If the significant does not affect the area, then the certification basis for that area need not be revisited. 2004-12-01 11 of 64 AC 500-016 Issue 01

In assessing affected areas, it may be necessary to identify secondary s resulting from a product level. The secondary s may be s in both physical aspects and/or performance characteristics that are part of, but consequential to, the overall product level. Secondary s may be evaluated to the existing certification basis for the product being d; however, care should be taken to ensure that affected areas are not overlooked. The intent is to encompass all aspects where there is a need for re-evaluation. The following aspects of a product level should be considered: (a) (b) Physical aspects The physical aspects include, but are not limited to, structures, systems, equipment, components and appliances (physical aspects can cover both "hardware" and "software"). When evaluating the physical aspects, it is necessary to make a distinction between the product level and the resulting secondary s. An example of a secondary s may be the lengthening and re-routing of the various aeroplane circuits because of the fuselage plug. Performance/functional characteristics The less obvious aspect of the word areas covers general characteristics of the type certificated product such as performance features, handling qualities, emergency provisions, fire protection, structural integrity, aero elastic characteristics, or crashworthiness. These characteristics may be affected by a product level. For example, adding a fuselage plug could significantly affect performance and handling qualities. All areas affected by the proposed design must comply with the latest standards, unless the applicant can demonstrate that compliance with the latest standards would not contribute materially to the level of safety or would not be practical. Step 6 provides further explanation. 6.2 Step 6 of Figure 1 Are the latest standards practical and/or do they contribute materially to the level of safety? Paragraph 511.13(4)(b) or 513.07(4)(b) of the CARs addresses: (a) Not contribute materially to the level of safety Compliance with the latest standards could be considered not to contribute materially to the level of safety if the to type design and/or the relevant experience demonstrates a level of safety comparable to that provided by the latest standards, or if compliance may compromise the existing level of safety for that particular d product. The applicant must provide sufficient justification to allow the Minister to make this determination. This exception could be applicable in the situations described in the paragraphs below: (i) Design This provision gives the opportunity to consider the consistency of design. For example, when a small fuselage plug is added, additional seats and overhead bins are likely to be installed, and the lower cargo hold extended. These additional seats, bins, extended lower cargo hold and structural plug may be identical to the existing parts. Applying the latest standards only to the d parts may not contribute materially to the level of safety, as the entire design as modified may not necessarily be any safer than the original design. It may also be inappropriate to require compliance with the latest standards for the entire fuselage, seats, bins, doors and cargo holds. For this reason, compliance of the new fuselage structure, seats, bins and cargo hold area with the standards in effect when the original fuselage, seats, bins and cargo hold area were certified may be acceptable. 1) However, it may also be the case that the extent of the fuselage may be large relative to the original certificated structure, seats, bins, doors and cargo compartment, and/or the may require a new compliance substantiation that is comparable with that required for a new model aeroplane. Here, it would be expected that the proposed certification basis would encompass the standards in effect on the date of application, for the entire fuselage, seats, bins, doors and cargo hold. 2004-12-01 12 of 64 AC 500-016 Issue 01

(b) (ii) (iii) 2) In the examples above, it would be incumbent upon the applicant to show that compliance with the latest standards would not contribute materially to the level of safety. Service experience 1) This provision permits the use of relevant service experience, such as fleet hours, to demonstrate that compliance with the latest standards would not contribute materially to the level of safety, and as such, the use of earlier standards may be appropriate. Appendix C provides additional guidance on the use of service experience, along with examples. 2) There may be cases for rotorcraft and small aeroplanes where sufficient and relevant data may not be available because of the reduced utilisation and the different amount and type of data available. In such cases, other service history information may provide sufficient data to justify the use of earlier standards, such as: warranty, repair and parts usage data; accident, incident and service difficulty reports; service bulletins; airworthiness directives; or other pertinent and sufficient data collected by the manufacturers, authorities, or other entities. 3) The service experience levels necessary to demonstrate the appropriate level of safety as they relate to the proposed design would have to be reviewed and agreed to by the Minister. Other exceptions Compliance with later standards will not be required where the amendment to a standard is of an administrative nature and has made only to correct errors or omissions, consolidate text or clarify an existing standard. Not Practical Compliance with the latest standards may be considered not practical (or impractical) if the applicant can substantiate that it would result in additional resource requirements that are not commensurate with the safety benefits. The additional resource requirements could include those arising from design s required for compliance, and the effort required to demonstrate compliance, but would not include resource expenditures for prior product s. (i) (ii) (iii) (iv) Substantiating data and analyses must support an applicant s position that compliance is not practical, and the Minister must agree with this position. In evaluating an applicant s position and substantiating data regarding impracticality, the Minister may consider other factors (e.g. the costs and safety benefits for a comparable new design). A review of transport category projects showed that in certain cases, where earlier standards were allowed, design s were made to comply nearly with the latest standards. In these cases, the applicant successfully demonstrated that full compliance would require a substantial increase in the outlay of resources with a very small increase in the level of safety. These cases reflect an appropriate application of impracticality to a d product. A proposal that a product design would not be practical can be used in cases where compliance with the latest standards would contribute materially to the level of safety, but this contribution may not be commensurate with the associated additional resource expenditures. Appendix B provides additional guidance and examples for determining impracticality. This completes the systematic process used in the determination of the certification basis for the d product. 2004-12-01 13 of 64 AC 500-016 Issue 01

7.0 EXCEPTED PRODUCTS An applicant for a to the type design of an aircraft (other than rotorcraft) of a maximum weight of 2720 kg (6,000 pounds) or less, or to a non-turbine rotorcraft of a maximum weight of 1360 kg (3,000 pounds) or less, may show that the d product complies with the standards recorded in the TCDS. The applicant may elect to comply with later standards. If the Minister, or a ministerial delegate, finds that the is significant in an area, the Minister may specify compliance with an amendment to the standards recorded in the TCDS that applies to the and any requirement that the Minister finds is directly related. Beginning with the existing certification basis, the Minister will step through each progressive amendment of the standards to determine the appropriate amendment level for the. It is incumbent on the Minister to find that compliance with the specified amendment or requirement would contribute materially to the level of safety of the d product, or would be practical. However, the Minister may also allow compliance with an earlier amendment to that standard initially specified, or with the existing certification basis, depending on the proposed design. For a that contains novel or unusual design features, the Minister will apply Special Conditions-Airworthiness. The level of safety to be achieved by the Special Conditions- Airworthiness will be equivalent to the level of safety of the certification basis that the Minister has established for the d product. The exception for products under subsection 511.13(6) and 513.07(6) of the CARs apply at the aircraft level only. Design s to engines and propellers installed on these excepted aircraft are assessed as separate products using subsection 511.13(1) through (4) or 513.07(1) through (4) of the CARs. 8.0 SPECIAL CONDITIONS AIRWORTHINESS Subsection 511.13(7) or 513.07(7) of the CARs allows for the application of Special Conditions- Airworthiness, or amendments to existing special conditions, to address novel or unusual design features in the d design. The objective is to achieve for the significant a level of safety consistent with that provided by the latest standards. The application of Special Conditions-Airworthiness to a design is not in itself a reason for the to be classified as either a substantial or a significant. When the is not significant, the Special Conditions-Airworthiness must be consistent with the level of safety of the certification basis that the Minister has established for the d product. 9.0 EFFECTIVE PERIOD FOR AN APPLICATION TO CHANGE A CERTIFICATE The intent of section 511.06 and 513.06 of the CARs is to ensure that at the time, a d product is certificated, no more than three or five years as appropriate to the product, has elapsed from the date of application. This is to ensure that the certification basis for the d product is as current as practical. This is consistent with the requirements for a new type certificate and prescribes the process of updating the certification basis if these limits are exceeded. 10.0 RESTRICTED CATEGORY AIRCRAFT 10.1 Special Purpose Operations For aircraft certificated in the restricted category under subsection 511.11(5) of the CARs, the application of the latest standards may not normally be considered to contribute materially to the level of safety or be practical for its intended use. As such, continued compliance with the existing certification basis may also be allowed. However, if the existing certification basis does not provide an appropriate level of safety for its intended use, the application of later standards would be considered. The intended role of a restricted category aircraft should be the main consideration when establishing the applicable airworthiness requirements for a proposed design. Restricted category aircraft perform aerial work that are considered special purpose operations and are certified to a level of safety considered appropriate to the role or function of the aircraft. It is recognized that certain airworthiness standards applied on a standard aircraft 2004-12-01 14 of 64 AC 500-016 Issue 01

may be deemed unnecessary or prohibitive, i.e. inappropriate, for the special purpose operation of the restricted category aircraft. The airworthiness requirements applicable to a design on a restricted category aircraft should be those later amendments that bring practical safety benefit for the intended role of the aircraft. 10.2 Ex-Military aircraft For aircraft that have issued a type certificate in the restricted category (or special purpose) based on its military service record, an appropriate equivalent civil certification basis should be established for the proposed design. The applicable airworthiness standards should be determined with the recognition that the aircraft has not type certificated to civil aircraft airworthiness standards. Therefore, a to an aircraft of this type may not realize a safety benefit by complying with later standards. The goal is to maintain a level of safety at least equivalent to the original design and appropriate for the intended role of the aircraft. 11.0 DOCUMENTATION All s that result in a revision to the product s certification basis must be reflected on the TCDS. Similarly, the certification basis must be noted on all STCs, in detail or by reference to the TCDS for that STC. 12.0 HEADQUARTERS CONTACT For more information please contact: Policy Standards Coordinator (AARDH/P) Phone: (613) 990-3923 Facsimile: (613) 996-9178 E-mail: AARDH-P@tc.gc.ca Original signed by Maher Khouzam Maher Khouzam Chief, Regulatory Standards Aircraft Branch 2004-12-01 15 of 64 AC 500-016 Issue 01

APPENDIX A CLASSIFICATION OF CHANGES A.1 Appendix A includes the following tables of typical s that meet the definition of a significant or substantial for each product line: (a) (b) (c) (d) Table 1 Small Airplanes; Table 2 Transport Category Aeroplanes; Table 3 Rotorcraft; and Table 4 Engines and Propellers. The Appendix also includes typical s that do not achieve the significant level. The examples in the tables were developed from data collected from certification files and included industry review and input. They clearly are s that we have seen in the past and will likely continue to see in the future. The Minister, or a ministerial delegate, has made the determination, based on applying the criteria, that these s are significant or not significant. The columns used in the tables correspond to the following regulations: Column Assumptions The column provides typical rationale considered in evaluating the designation of the criteria. Corresponding CAR Subsection 511.13(3)(a) and 513.07(3)(a) 511.13(3)(a) and 513.07(3)(a) 511.13(3)(b) and 513.07(3)(b) The tables can be used in one of two ways: (a) (b) To classify a proposed that is listed in the table; or In conjunction with the three criteria, to understand the logic used in the table to help classify a proposed that is not listed in the table. The classification may due to cumulative effects and/or combinations of individual s. 2004-12-01 16 of 64 AC 500-016 Issue 01

A.2 Table 1 Small Airplanes. A.2.1 The following are examples of substantial s to small airplanes: 1 Change in wing location (tandem, forward, canard, high/low). 2 Fixed wing to tilt wing. 3 Increase in the number of engines from one to two. 4 Replacement of piston or turboprop engines with turbojet or turbofan engines. 5 Change in engine configuration (tractor to pusher). 6 Change from an all metal airplane to all composite primary structure (fuselage, wing, empennage). Yes No Yes Proposed in design is so extensive that a substantially complete investigation of compliance with the applicable standards is required. Yes Yes Yes Proposed in design is so extensive that a substantially complete investigation of compliance with the applicable standards is required. Yes Yes Yes Proposed in design is so extensive that a substantially complete investigation of compliance with the applicable standards is required. Yes Yes Yes Proposed in design is so extensive that a substantially complete investigation of compliance with the applicable standards is required. Yes Yes Yes Proposed in design is so extensive that a substantially complete investigation of compliance with the applicable standards is required. No Yes Yes Proposed in design is so extensive that a substantially complete investigation of compliance with the applicable standards is required. 2004-12-01 17 of 64 AC 500-016 Issue 01

A.2.1 The following are examples of substantial s to small airplanes: 7 Increase from subsonic to supersonic flight regime. Yes No Yes Proposed in design is so extensive that a substantially complete investigation of compliance with the applicable standards is required. A.2.2 The following are examples of significant s to small airplanes: 1 Conventional tail to T-tail or Y-tail, or vice versa. 2 Changes in wing configuration (addition of tail strakes or in dihedral, or s in wing span, flap or aileron span, angle of incidence of the tail, addition of winglets, or wing sweep of more than 10%. 3 Tricycle / tail wheel undercarriage or addition of floats. Yes No Yes Change in general configuration. Requires extensive structural, flying qualities and performance re-investigation. Requires new AFM to address performance and flight characteristics. Yes No Yes Change in general configuration. Likely requires extensive s to wing structure. Requires new AFM to address performance and flight characteristics. Note: Small s to wingtip are not significant s. See table for not significant s. Yes No No Change in general configuration. Likely, at airplane level, general configuration and certification remain valid. 2004-12-01 18 of 64 AC 500-016 Issue 01

A.2.2 The following are examples of significant s to small airplanes: 4 Increase in seating capacity resulting in a different certification category (e.g., from normal to commuter category where configuration or principles of construction s or do not remain valid. 5 Passenger to freighter configuration conversion which involves the introduction of a cargo door or an increase in floor loading of more than 20%, or provision for carriage of passengers and freight together. 6 A fuselage stretch would be considered significant if it would invalidate the existing substantiation, or would the primary structure, aerodynamics, or operating envelope sufficiently to invalidate the of certification. Yes Yes Yes Change in general configuration. Change in principles of construction. Requires extensive construction reassessment. Change in certification. Requires new AFM and pilot type rating. Yes No Yes Change in general configuration affecting load paths, aero elastic characteristics, aircraft related systems, etc. Change in design. Yes No Yes Likely extensive s to fuselage structure, aerodynamics, aircraft systems performance, and operating envelope. Requires new AFM to address performance and flight characteristics. 2004-12-01 19 of 64 AC 500-016 Issue 01