Appendix 4
CONTENTS
Chapter 1—General5
1.0. Purpose5
1.1. Authorization5
1.2. Entry into Force and Termination5
1.3. Amendments5
1.4. National Requirements6
1.5. Accountability6
1.6. Resolution of Disagreements7
1.7. Definitions7
Chapter 2—Reciprocal Acceptance of Findings of Compliance9
2.0. General9
2.1. Eligibility Requirements9
Chapter 3—Special Conditions9
3.0. Special Conditions Applicable to any Person Required to Comply with this MIP9
3.1. TCCA Special Conditions Applicable to U.S..-Based Repair Stations and
Mechanic Certificate Holders10
3.2. Repair Stations Performing Maintenance, Preventive Maintenance, and Alterations for
CAR IV or CAR VII Commercial Operators11
3.3. To Hold a Repair Station Authorization to Maintain Commercially Operated Canadian
Aircraft12
3.4. Effectivity12
3.5. FAA Special Conditions Applicable to Canadian-Based AMOs and AMEs12
3.6. AMO Performing Maintenance, Preventive Maintenance, and Alterations for 14 CFR
part 121 or 135 Air Carriers in Commercial Operations13
3.7. To Hold an AMO Authorization to Maintain U. S. Aeronautical Products14
3.8. Effectivity14
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Chapter 4—Mutual Cooperation and Technical Assistance14
4.0. Periodic Meetings14
4.1. Information15
4.2. Technical Evaluation Assistance15
4.3. Exchange of Information15
4.4. Establishing and Amending Regulations, Policies, and Guidelines15
4.5. Urgent or Unusual Situations15
4.6. Notification of Noncompliance and Safety Issues15
4.7. Protection of Proprietary Data, Freedom of Information Act (FOIA), and
Access to Information Act Requests16
4.8. Accident/Incident Investigation Requests16
Chapter 5—Inspection and Continuing Validity Provisions17
5.0. Inspection Provisions17
5.1. Continuing Validity17
Chapter 6—Authority18
Appendix 4 CHAPTER 1. GENERAL
1.0. PURPOSE.
a. This document sets forth the Federal Aviation Administration (FAA) and the Transport Canada, Civil Aviation Directorate (TCCA) procedures for implementing the maintenance and alteration or modification provisions of the Agreement for the Promotion of Aviation Safety between the Government of the United States (U.S.) and the Government of Canada signed June 12, 2000. The Agreement provides, in pertinent part, that the FAA and the TCCA will pursue mutual cooperation and technical assistance in evaluation and acceptance of each other’s systems, TCCA acceptance, and continued monitoring of maintenance and alteration or modification facilities.
b. The objective of these Maintenance Implementation Procedures (MIP), in accordance with the Agreement, is to outline the terms and conditions under which the FAA and the TCCA can accept each other’s inspections and evaluations of United States repair stations and Canadian Aircraft Maintenance Organizations (AMO) along with FAA certificated airmen and Canadian Aviation Maintenance Engineers (AME) for findings of compliance, thereby reducing redundant regulatory oversight, without adversely affecting aviation safety.
1.1. AUTHORIZATION. The authorization for this MIP is Article III of the Agreement for the Promotion of Aviation Safety, and in that respect, the FAA and the TCCA have assessed each other’s standards and systems relating to the approval of repair stations/AMOs/AMEs and FAA certificated airmen that perform maintenance and alterations or modifications on civil aeronautical products, and as a result, have established an understanding of such standards and systems.
1.2. ENTRY INTO FORCE AND TERMINATION. This MIP shall enter into force 60 days after the date of the last signature and shall remain in force until terminated. The MIP may be terminated upon 60 days’ written notice by either the FAA or the TCCA. Termination of this MIP will not affect the validity of activity conducted under its provisions prior to termination.
1.3. AMENDMENTS.
a. This MIP may be amended by mutual consent of the FAA and the TCCA. Appendices also may supplement them. The details of any such amendment or appendix shall be recorded and signed by the representatives identified in paragraph 1.5b, or their designees.
b. Suggestions for improvement are welcome and can be addressed to either of the offices described in paragraph 1.5.
c. The FAA and the TCCA recognize that significant revision by either authority to its organization, regulations, procedures, or standards may affect the basis on which this MIP is executed. Accordingly, each authority agrees to promptly advise the other authority of plans for such changes, and to give an opportunity for comment. Upon notice of such changes by one authority, the other authority may request consultation to review the need for amendment to this MIP.
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1.4. NATIONAL REQUIREMENTS.
a. The legal standards for safety regulation by the TCCA are contained in Canadian Aviation Regulations (CAR) and are explained in ancillary documents and procedures.
b. The legal standards for safety regulation by the FAA are contained in Title 14 of the Code of Federal Regulations (14 CFR) and are explained in ancillary documents and procedures.
1.5. ACCOUNTABILITY.
a. The designated offices for the technical implementation of this MIP are:
(1) For the FAA: FAA, Flight Standards Service Aircraft Maintenance Division, AFS-300 800 Independence Avenue, SW.
Washington, DC 20591 phone +1–202–267–3546 fax +1–202–267–5115
(2) For the TCCA: Aircraft Maintenance and Manufacturing (AARP) Transport Canada 330 Sparks Street Ottawa, ON K1A 0N8 Canada phone 1–613–952–4371 fax +1–613–952–3298
b. The designated offices for the technical coordination of this MIP are:
(1) For the FAA: FAA, Flight Standards Service International Programs and Policy Division, AFS-50 800 Independence Avenue, SW.
Washington, DC 20591 phone +1–202–385–8070 fax +1–202–493–5888
(2) For the TCCA: Aircraft Maintenance and Manufacturing (AARP) Transport Canada 330 Sparks Street Ottawa, ON K1A 0N8 Canada phone +1–613–952–4371 fax +1–613–952–3298
c. The designated offices for the administrative coordination of this MIP are:
(1) For the FAA: FAA, Assistant Administrator for International Aviation, API-1 800 Independence Avenue, SW.
Washington, DC 20591 phone +1–202–385–8900 fax +1–202–267–7198 Page 6
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(2) For the TCCA: Aircraft Maintenance and Manufacturing (AARP) Transport Canada 330 Sparks Street Ottawa, ON K1A 0N8 Canada phone +1–613–952–4371 fax +1–613–952–3298
1.6. RESOLUTION OF DISAGREEMENTS. As stated in Article IV of the Agreement for the Promotion of Aviation Safety, any disagreement over the interpretation or application of this MIP shall be resolved by consultation between the FAA and the TCCA. If appropriate, resolution of such disagreements will be recorded as an amendment or appendix to this MIP, in accordance with paragraph 1.3.
1.7. DEFINITIONS. For the purposes of this MIP (and notwithstanding definitions contained in 14 CFR or the CARs), the following definitions apply:
a. ACA—Aircraft Certification Authority issued by an AMO under CAR 573.
b. Alteration or Modification—Making a change to the construction, configuration, performance, environmental characteristics, or operating limitations of the affected civil aeronautical product.
c. CAR—Canadian Aviation Regulations.
d. CFR—Code of Federal Regulations, specifically in Title 14 of the Code of Federal Regulations, parts 1 through 199.
e. Civil Aeronautical Product—Any civil aircraft, aircraft engine, or propeller or subassembly, appliance, material, part, or component to be installed thereon.
f. Compliance with 14 CFR Part 43—Compliance with the latest issue of CAR 571 and the FAA special conditions as set forth in this MIP and associated TCCA guidance material, as applicable.
g. Compliance with 14 CFR Part 145—In the case of a Canadian organization, compliance with the latest issue of CAR 573 and the FAA special conditions as set forth in this MIP and associated TCCA guidance material as applicable when maintenance, preventive maintenance, or alterations are performed in Canada.
h. Compliance with CAR 571—Compliance with the latest issue of 14 CFR part 43 and the TCCA special conditions as set forth in this MIP, recognizing that advisory circulars (AC) provide additional guidance in this area.
i. Compliance with CAR 573—In the case of a part 145 repair station, compliance with the latest issue of 14 CFR part 145 and the TCCA special conditions as set forth in this MIP when maintenance, preventive maintenance, or alterations are performed in the United States, recognizing that ACs provide additional guidance in this area.
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j. Data Approved by the FAA—Data that is approved by the Administrator or the Administrator’s designated representative.
k. Data Approved by the TCCA—Data that is approved by the TCCA or by a person or organization delegated or approved by the TCCA for that purpose.
l. FAA Acceptable—Data that is acceptable to the Administrator, such as service information recommended by a type certificate (TC) holder, or industry standard data that supports eligibility of installation of standard parts (such as bolts and nuts) conforming to established industry or U.S. specifications.
m. FAA-Certificated Airman—An individual issued a mechanic certificate or repairman certificate by the FAA, under 14 CFR part 65.
n. Maintenance—The performance of inspection, overhaul, repair, preservation, and the replacement of parts, materials, appliances, or components of a civil aeronautical product to ensure the continued airworthiness of that product, excluding alterations or modifications.
o. MPM—Maintenance Policy Manual approved by TCCA for an AMO.
p. Preventive Maintenance—Simple or minor preservation, operations, and the replacement of small standard parts not involving complex assembly operations.
q. RCA—Restricted Certification Authority issued by TCCA under CAR 571.11.
r. Required Inspection Items—The items of maintenance and alterations that must be inspected by a person other than the one who performed the work. These items include at least those that could result in a failure, malfunction, or defect endangering the safe operation of the aircraft, if not performed properly or if improper parts or materials are used.
s. SCA—Shop Certification Authority issued by an AMO under CAR 573.
t. Special Conditions—See chapter 3 of this MIP. FAA special conditions are those requirements in 14 CFR parts 43, 121, and 145 that the FAA has determined are not contained in CARs 571 and 573. TCCA special conditions are those requirements in CARs 571 and 573 that the TCCA has determined are not contained in 14 CFR part 43 or 145.
u. United States—In a geographical sense, (1) the States, the District of Columbia, Puerto Rico, and the possessions, including the territorial waters, and (2) the airspace of those areas.
Appendix 4 CHAPTER 2. RECIPROCAL ACCEPTANCE OF FINDINGS OF COMPLIANCE
2.0. GENERAL.
a. The FAA and the TCCA agree, subject to the terms of this MIP to accept each other’s inspections and monitoring for findings of compliance with their respective requirements as the basis for the acceptance of eligible repair stations/AMOs/AMEs and FAA-certificated airmen.
b. Maintenance and alterations performed on a civil aeronautical product under the regulatory control of the TCCA may be accomplished and that product returned to service by an FAA-certificated repair station or FAA-certificated airman that is properly trained, qualified, and authorized to perform that work when the product is located in the United States.
c. Maintenance and alterations or modifications performed on a civil aeronautical product under the regulatory control of the FAA may be accomplished and that product returned to service by a TCCA AMO or AME that has been certificated by the TCCA and is properly trained, qualified, and authorized to perform the work when the product is located in Canada.
2.1. ELIGIBILITY REQUIREMENTS.
a. The FAA agrees that an AMO or AME that has been approved or rated for maintenance and alteration or modification work by the TCCA in accordance with CARs 571 and 573, and complies with the special conditions set forth in chapter 3, paragraph 3.1, will be eligible to perform maintenance, preventive maintenance, and alteration work on aeronautical products under the regulatory authority of the FAA.
b. The TCCA agrees that a repair station or FAA-certificated airman that is authorized and qualified to perform maintenance, preventive maintenance, and alteration work by the FAA, and complies with the special conditions set forth in chapter 3, paragraph 3.0, will be eligible to perform maintenance, preventive maintenance, and alteration work on aeronautical products under the regulatory authority of the TCCA.
CHAPTER 3. SPECIAL CONDITIONS
3.0. SPECIAL CONDITIONS APPLICABLE TO ANY PERSON REQUIRED TO COMPLY WITH THIS MIP.
a. Only FAA or TCCA-approved or acceptable parts or components as applicable are used to perform maintenance, preventive maintenance, or alterations to United States or Canadian aeronautical products.
b. Maintenance, preventive maintenance, and alterations must be performed in accordance with current ICA or manufacturers’ recommendations that will return the aeronautical product to its original or properly altered condition.
c. Maintenance or alterations must be certified by an approval for return to service or a maintenance release that meets the requirements of 14 CFR part 43, sections 43.9 and 43.11 or Page 9
Appendix 4 CAR 571.10, as applicable, for aircraft and the use of the FAA Form 8130–3 or TCCA Authorized Release Certificate for aircraft components, and any other information required by the owner or operator, as appropriate. For the purposes of compliance with this MIP, the requirements of 14 CFR part 43, sections 43.9, 43.11, and CAR 571.10 are considered equivalent.
d. Where maintenance or alterations are performed by a maintenance organization, the maintenance organization must hold a valid FAA repair station certificate or Canadian AMO certificate issued in accordance with the most current 14 CFR part 145 issued as a final rule, or applicable CAR.
e. Major repairs and alterations on U.S. aeronautical products must be recorded on FAA Form 337 and a copy provided to the owner/operator of the aircraft and a copy sent to the FAA by mail or electronic means within 48 hours of the aircraft’s return to service.
f. Major repairs or alterations performed on a Canadian aeronautical product must be recorded on FAA Form 337 or in accordance with Standard 571, appendix L, and sent to the TCCA within 48 hours by mail or electronic means.
g. Maintenance, preventive maintenance, or alterations performed on an aeronautical product under the control of a 14 CFR part 121 or 135 air carrier must be performed in accordance with that air carrier’s manual.
h. Any serious defects or unairworthy conditions on civil aeronautical products must be reported to the FAA or TCCA, as applicable.
i. AMOs should submit reports to the FAA under the FAA Suspected Unapproved Parts (SUP) program detailed in Advisory Circular (AC) 21-29, Detecting and Reporting Suspected Unapproved Parts, in respect of any such parts found on a U.S. aeronautical product, in accordance with AC 21-29. SUP information should be reported on FAA Form 8120-11, Suspected Unapproved Parts Notification.
j. FAA-approved repair stations should submit reports of any suspected unapproved parts found on Canadian aeronautical products to the air operator concerned, for reporting to Transport Canada in accordance with the operator’s approved procedures.
3.1. TCCA SPECIAL CONDITIONS APPLICABLE TO U.S.-BASED REPAIR STATIONS AND MECHANIC CERTIFICATE HOLDERS.
a. The TCCA agrees that an FAA-certificated repair station or mechanic certificate holder may perform maintenance, preventive maintenance, and alterations (with the exception of annual inspections) on a civil aeronautical product under the regulatory control of the TCCA and approve that product for return to service if the repair station or mechanic certificate holder complies with the following special conditions.
b. All repairs and alterations as defined by TCCA requirements must be accomplished in accordance with data approved by or acceptable to the TCCA.
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c. In the case of work performed by a repair station, the work will not exceed the scope of the ratings and limitations contained in the 14 CFR part 145 certificate and authorized functions listed on the repair station Capabilities List or operations specifications.
d. In the case of a major repair or alteration performed by a mechanic certificate holder, the mechanic may perform the work. However, a mechanic certificate holder with inspection authorization must approve the product for return to service.
e. In the case of maintenance or alterations performed on aircraft operated in commercial air service pursuant to Part IV or Part VII of the CARs, a repair station that meets the additional requirements specified in paragraphs 3.2 and 3.3 shall perform the work.
3.2. REPAIR STATIONS PERFORMING MAINTENANCE, PREVENTIVE
MAINTENANCE, AND ALTERATIONS FOR CAR IV OR CAR VII COMMERCIAL OPERATORS.
3.2.1. In addition to the other requirements specified in this MIP, a repair station performing maintenance, preventive maintenance, or alterations on aircraft operating in commercial air service under CAR IV or CAR VII shall have:
a. Procedures to ensure compliance with the air operator’s work order or contract, including notified TCCA airworthiness directives and other notified mandatory instructions contained in TCCA-approved air carriers’ manuals;
b. Procedures to ensure that all current airworthiness directives published by the TCCA that are applicable to the work being performed are available to maintenance personnel;
c. Procedures to ensure that major repairs and major alterations as defined in CAR I are accomplished in accordance with data approved by the TCCA;
d. Procedures to ensure that major repairs and major alterations are reported to TCCA using FAA Form 337 or an equivalent method acceptable to TCCA;
e. Procedures for the reporting to the TCCA any serious defects or unairworthy conditions on civil aeronautical products;
f. Procedures to ensure compliance with the manufacturer’s maintenance manuals or ICA, and handling deviations; and
g. A training program that ensures each employee assigned to perform maintenance, preventive maintenance, or alterations is capable of performing the assigned task, and that each person who approves an aircraft for return to service following maintenance or alteration has been trained on the aircraft type. Records of such training must be retained for a minimum of 2 years.
3.2.2. In addition to the other requirements specified in this MIP, a repair station performing maintenance, preventive maintenance, or alterations on aircraft operating in commercial air service under CAR IV or CAR VII must include in its manual a supplement describing the Page 11
Appendix 4 procedures specified in par. 3.2.1, or explains where in the repair station manual those procedures are described, and which are approved by the FAA.
3.3. TO HOLD A REPAIR STATION AUTHORIZATION TO MAINTAIN COMMERCIALLY OPERATED CANADIAN AIRCRAFT.
a. The repair station must continue to comply with 14 CFR part 145 and these special conditions.
b. The repair station must allow the TCCA, or the FAA on behalf of the TCCA, to inspect it for continued compliance with 14 CFR part 145 and these special conditions and to make its manual and the supplement required by these special conditions available for inspection.
c. Investigations and enforcement by the TCCA may be undertaken in accordance with TCCA rules and directives.
d. The repair station must cooperate with any investigation or enforcement action.
3.4. EFFECTIVITY.
a. For maintenance agreements entered into after the effective date of this MIP, a repair station must comply with all the requirements of this MIP.
b. For maintenance agreements entered into prior to the effective date of this MIP, a repair station must be in compliance with these special conditions 6 months after the effective date of this MIP.
3.5. FAA SPECIAL CONDITIONS APPLICABLE TO CANADIAN-BASED AMOS AND AMES.
3.5.1. The FAA agrees that a TCCA AMO or AME may perform maintenance, preventive maintenance, and alterations (with exception of annual inspections) on an aeronautical product under the regulatory control of the FAA and approve that product for return to service if the AMO or AME complies with all of the following special conditions.
a. The AMO or AME must hold a valid AMO certificate or AME license issued by the TCCA in compliance with the most current CARs, and be rated for the maintenance, preventive maintenance, or alterations to be performed.
b. The AMO employee or AME responsible for supervision or final inspection and return to service of a civil aeronautical product must be able to read, write, and understand English.
c. All repairs and alterations as defined by FAA requirements must be accomplished in accordance with data approved by or acceptable to the FAA.
d. In the case of work performed by an AMO, the work will not exceed the scope of the ratings and limitations contained in the CAR 573 certificate and the MPM.
e. In the case of work performed and certified by an AME, the work will not exceed the AME’s privileges specified in CAR 571.
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f. In the case of a major repair or alteration, the AME who approves the product for return to service shall not have been involved in the performance of the work.
g. In the case of maintenance or alterations performed on aircraft operated under 14 CFR part 121 or 135 air carriers in commercial operations, the work shall be performed by an AMO that meets the additional requirements specified in paragraphs 3.6 and 3.7.
3.6. AMOs PERFORMING MAINTENANCE, PREVENTIVE MAINTENANCE, AND ALTERATIONS FOR 14 CFR PART 121 OR 135 AIR CARRIERS IN COMMERCIAL OPERATIONS.
3.6.1. In addition to the other requirements specified in this MIP, an AMO performing maintenance, preventive maintenance, or alterations for 14 CFR part 121 or 135 operators shall have:
a. Procedures to ensure compliance with 14 CFR part 121 or 135 air carriers’ manuals.
b. Procedures to show separation of quality control functions from other maintenance functions, including the separation of maintenance from inspection on those items identified as required inspection items as defined by the 14 CFR part 121, or 135 air carrier/customer, in accordance with the requirements of 14 CFR part 121, subpart L, or 135, subpart J. (Transport Canada Maintenance Staff Instruction (MSI) 58 specifies that the AMO must assign specified Aircraft Certification Authority (ACA) holders, who were not involved in the work, to perform an independent inspection on required inspection items, and sign a separate release).
c. Procedures to ensure compliance with the air operator’s work order or contract, including FAA airworthiness directives mandatory requirements contained in 14 CFR part 121 or 135 air carriers’ manuals;
d. Procedures for approval for release or approval for return to service for aircraft, and use of FAA Form 8130-3 or TCCA Authorized Release Certificate for components and all information required to be made or kept by the owner or operator, as appropriate. Such required information must be in English.
e. Procedures to ensure that all current airworthiness directives published by the FAA that are applicable to the work being performed are available to maintenance personnel.
f. Procedures to ensure that only FAA-approved or acceptable parts or components are used in the performance of preventive maintenance, or alterations to U.S. aeronautical products.
g. Procedures to ensure that major repairs and major alterations as defined in 14 CFR part 43, appendix A, are accomplished in accordance with data approved by the FAA. This includes a repair or alteration that changes the operating limitations and/or flight data; the revised limitations/data must be set forth in the aircraft flight manual. The major repair or alterations must be recorded on FAA Form 337 or the air carrier equivalent form.
h. Procedures for reporting to the FAA any serious defects or unairworthy conditions on civil aeronautical products.