MSI 21 Notice of Proposed Amendment (NPA) Process

MSI 21 — Notice of Proposed Amendment (NPA) Process

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April 1, 1998

AARP-5009-3-21

1.pURPOSE

1.1To provide detailed clarification with respect to the procedures and timeframes required to draft and submit Notice of Proposed Amendments (NPAs) to the Canadian Aviation Regulation Advisory Council (CARAC) Secretariat, for subsequent review by the Maintenance and Manufacturing Technical Committee.

2.Background

2.1There have been a number of occasions where detailed steps required to process an NPA through the CARAC Secretariat have been unavailable, thus causing potential confusion and delays.

2.2The “CARAC Process” has been detailed in this Staff Instruction by the Policy Development Division (AARPC) to answer basic questions and provide the steps required to process an amendment to the Canadian Aviation Regulations, or Standards, through the CARAC Secretariat.

2.3Consultation and partnership are important aspects of the policy-making process to the Canadian aviation industry. Until recently, it was essentially internal to government. Today, the policy development process has been opened up, and the aviation industry expects to be consulted about options that ultimately will become decisions affecting their lives.

2.4The basic structure of CARAC includes:

(a)A Regulatory Committee composed of TC Senior Executives who will identify and prioritize regulatory issues, and direct the implementation of recommendations made to it. The Regulatory Committee will also provide recommendations to the Transport Canada Assistant Deputy Minister, Aviation and the Aviation Safety Review Committee (ASRC).

(b)Technical Committees, with representation from both Transport Canada and the aviation industry, will review and analyze the issues assigned by the Regulatory Committee and make regulatory recommendations.

(c)Working groups, composed of specialists representing both government and the aviation industry, will develop proposals and recommendations for the assigned tasks, and act on those that are approved for regulatory implementation. Working groups will be formed by, and report to, Technical Committees.

(d)A secretariat that will be responsible for the management of CARAC on behalf of the Regulatory Committee.

2.5Briefly, the mandate and responsibilities of the various groups listed in 2.4 are as follows (refer to TP11733E for more details):

(a)Regulatory Committee identifies rulemaking needs and priorities, and assigns issues to industry-Technical Committees for study, where required: • Considers and approves Technical Committee reports and recommendations; • Directs the implementation of recommendations, and ensures that CARAC's membership has sufficient diversity to ensure the requisite range of views and expertise necessary to discharge its responsibilities; and• Provides advice to the National Aviation Management Executive (NAMX) and to the Aviation Safety Review Committee (ASRC).

(b)Technical Committee provides advice, recommendations and, if required, drafts rules with respect to regulatory issues;• Nominates and commits knowledgeable representatives from their respective organizations to serve as members of working groups;• Provides guidance to the working group on the development of implementation options; and• Makes recommendations to the Regulatory Committee regarding preferred regulatory options.

(c)Working groups, consists of representatives from the aviation community and Transport Canada, will be established as required by Technical Committees to address specific issues, and will be limited to the period required for them to complete the assigned task. Responsibilities are to: • Review and analyze all information relating to the assigned task, and to identify, document, and raise issues that need attention or resolution;• Develop and evaluate options, formulate proposals and their impact;• Conduct confirmation/validation studies as required, or as directed by the Technical Committee or Regulatory Committee;• Foster full and complete discussion and resolution of all technical, legal, and policy issues; and • Keep key individuals within their respective organizations fully and completely advised and informed of decisions reached, unresolved issues, and planned action to resolve issues.

(d)The Secretariat manages the activities of CARAC; • Establishes and maintains secure systems of records and data management for all essential documents, as well as a project tracking system to monitor and report on the various activities within CARAC;• Acts as the focal point for all communications regarding CARAC proceedings with the membership, and monitor & report CARAC activities until the Regulatory Committee is satisfied that the intent of the assigned task has been met; • Establishes and maintains a quality control function for all material being prepared for submission to the Regulatory Committee and Technical Committees; and • Prepares and maintains a reference guide for the Regulatory Committee and Technical Committee members containing all relevant information relating to CARAC activities.

3.policy

3.1FormatAll NPAs will be produced using AARPC‘s standard NPA formatting document, “MASTER-NPA.doc” which can be found in server location G:Aarpc/Cars-New. The MASTER-NPA file contains:

(a)one NPA Cover sheet;

(b)one detailed amendment sheet where the existing text, proposed text, and justification are entered. Simply cut and paste the information from the appropriate document into this format.

3.2SubmittalEach proposed item for change requires a separate cover sheet and NPA. Thisensures that if any one NPA item gets vetoed by the Technical Committee, it won’t impact upon the entire NPA package.

3.3Saving

(a)Once an NPA has been completed using the format described in 4.1, simply save it using the subject document number as the file name (e.g. Std573-03(3).doc or CAR573-07(2).doc ).

(b)Once an actual NPA number has been assigned by the CARAC Secretariat, the draft NPA will be renumbered accordingly (e.g. NPA97-123.doc).

3.4Drafting NPAs

Information Note: For a general overview to request regulatory action to issue, amend or revoke a regulation, standard or advisory, refer to TP11733E.

(a)To utilize standard regulatory terminology, AARPC will modify the contents of any proposed NPA in order that it reflect proper terminology, yet keeping the same intent. The final legal edit (i.e.nontechnical) is the responsibility of Regulatory Affairs (AARBH).

(i)Working Group Proposals

(i)1. In the interest of clarity, working groups may elect to submit their recommendations in a regulatory format. Such proposals will be submitted to the Technical Committee without changes, except for minor alteration with regard to the use of standard regulatory terminology. Working group proposals submitted in this manner will not be identified as NPAs and accordingly, will not be assigned a NPA number.

(i)2. Where AARP disagrees with the working group proposed amendment, AARPC may table a separate proposal in a format similar to the Working Group’s, outlining the AARP position.

(ii)Industry Proposals

(ii)1. To request action, the individual or organization shall send a letter to the CARAC Secretariat stating the justification for the requested action. TC shall respond within 30 days following the quarterly Regulatory Committee meeting. It should be noted that a Technical Committee may not accept or assign a task without prior approval of the Regulatory Committee. The justification provided should include:

(ii)1.1. The objective of the task, including a statement of the problem, or issue, with sufficient supporting or background data;

(ii)1.2. The date by which completion of the action is desired; and

(ii)1.3. A definition of what the final product is expected to be.

(iii)Transport Canada Proposals

(iii)1. Suggestions, or areas that may require a regulatory review, can be submitted via electronic mail, memo, or letter to the CARAC Secretariat.

(iv)All suggestions will be reviewed, then as applicable, drafted and processed.Note that "change for the sake of change" will not be accepted. Clear substantiation will be required as to why change is required, and any benefits derived thereof.

(b)Any one major issue can be submitted under 1 NPA when it is “all or nothing”. Otherwise, it is recommended that each proposal is submitted as a separate NPA (with cover sheet). Thisensures that if any one NPA gets vetoed by the Technical Committee, it won’t impact upon the entire NPA package consisting of a number of items.

(c)NPAs that are altered and agreed to during a Technical Committee meeting, can be processed as per those agreed-to changes.

(d)All NPAs are considered separate tasks and must be signed off individually on each coversheet by the Chief, Policy Development (AARPC). They are then submitted to the Director, Aircraft Maintenance & Manufacturing (AARP) who will then sign them off collectively as a package, prior to submittal to the CARAC Secretariat.

3.5DeadlinesSubmissions to the CARAC Secretariat by Policy Development (AARPC) must observe the following optimum turnaround times. AARBH must publish the agenda, including all NPAs to allow attendees at least three weeks to prepare for the Technical Committee Meeting (calculated back from the fixed meeting date):

(a)CARAC Mailout, with no translation:If no translation required, other than the Secretariat's covering letter, then six (6) weeks prior to the meeting date.

(b)Translation required:

(i)Less than 5 pages = seven (7) weeks prior to the meeting;

(ii)More than 5 pages = nine (9)weeks prior to the meeting;

(iii)For larger very complex documents, AARBH will negotiate the best possible time with AARBD (Translation Section) and will advise AARPC if additional time is required.

(c)French Technical Content review:Following translation, AARPC performs a technical review of the French content = two(2) weeks.

(d)Total time required to submit NPA material to CARAC = eleven (11) weeks prior to the meeting.

3.6Submitting & Filing NPAsAll NPAs must be filed separately and electronically for easier tracking.

(a)Submit to the CARAC Secretariat at or before the deadline dates set out in item 3.5 above:

(i)one complete hardcopy of the signed, via the Director’s covering memo, NPA package (coversheets & detailed amendment sheets);

(ii)one complete electronic package using e-mail attachments.

(b)File within Policy Development (AARPC):

(i)one hardcopy of the complete package in the appropriate file;

(ii)one complete electronic copy of the package in the appropriate folder on AARPC’s shared drive.

3.7Changes/Alterations to NPAsFollowing the submittal deadline date, any additional changes must be forwarded to AARPC. Pending AARPC’s review and AARP’s approval, a “Rectification Notice”, applicable to a specific NPA, will be produced and forwarded to the CARAC Secretariat in the same manner as detailed in 3.6 above.

(a)“Rectification Notice” hardcopies will be distributed, by hand, to all attendees at the next Technical Committee meeting, at the time that the applicable NPA is under discussion.

(b)Issuance of “Rectification Notices” will be the exception, and not the rule.

3.8Technical committee meetings

Information Note: The process outlined in 3.8(a) may be modified at the discretion of the Chairman of the Maintenance Technical Committee.

(a)NPA Review Process

(i)Prior to the meeting, a laptop will be loaded with the entire NPA package, in the order of discussion, based on the sequential NPA numbers assigned by the Secretariat. AARPC will project, using a laptop and projector, the NPA under discussion directly onto a large screen.

(ii)While the Chief of AARPC discusses the NPA with the Technical Committee, an AARPC staff member operating the laptop display will immediately amend the NPA as required. Textual changes will be seen instantly by Committee members directly ‘on screen’, allowing for immediate approval, further alteration, or rejection, thereby ensuring accurate record keeping.

(iii)In addition to (a)(ii) above, any major textual rewrites to the NPA based on Committee discussions will be made on a separate laptop by an AARPC staff member at the back of the room. This will allow for agreement on major amendments in a quick and decisive manner. Redrafted texts will be saved to diskette and displayed to the Committee for final review the same day, if necessary, to finalize any issue under ‘dispute’.

(b)Decision Record

(i)By making adjustments and major rewrites as outlined in 3.8(a), AARPC will be able to maintain an accurate decision record that reflects the accepted wording for NPA amendments. This will also ensure that text revisions, participants contributions, and decisions are recorded officially by AARPC.

(ii)AARBH will continue to maintain and distribute an “official decision record” of the Technical Committee proceedings to be mailed out to the participants. However, this record is not intended to reflect the final wording of amendments; it merely includes sufficient information to tell the reader what happened at the meeting.

3.9Post-Technical Committee Meeting Process

(a)Approved NPAs - All “approved as is” NPAs must be sent as a package, with a covering AARP memo to the CARAC Secretariat with AARP’s signature.

(b)NPA Amendments - Technical Committee approved changes to an NPA will be made by AARPC or the applicable OPI. Once the revised NPA has been completed, it should be submitted to the CARAC Regulatory Affairs division with a memo indicating the Director of AARP’s approval, and instructions to proceed with the amendment. Any new additions to an NPA would require drafting of a new NPA, followed by a return to the Technical Committee for review.

(c)Regulation - Where the NPA affects a regulation:

(i)The NPA will be tabled at the Regulatory Committee for approval as a Technical Committee recommendation.

(ii)Any dissents from Technical Committee members must also be presented to the Regulatory Committee (as part of the Director AARP’s submittal package).

(iii)Once the proposed amendment to a regulation is approved by the Regulatory Committee, Regulatory Affairs will begin work on the amendment. At that point, the Regulatory Unit (RU) lawyers will communicate with the OPI to develop the amendment. The eventual stamped copies will then be sent, by the RU, to Regulatory Affairs for submission for Canada Gazette, Part 1 consultation process for eventual publication.

(d)Standards - Where the NPA is an amendment to a Standard, and is nottied to an amendment to the regulations:

(i)Following the Technical Committee members approval, the Director will submit the amended NPA to Regulatory Affairs with the instruction to proceed with an amendment to the Standards. Regulatory Affairs staff will review all proposed amendments to the Standards (after the acceptance by the Technical Committee).

(ii)The appropriate OPI will be notified by Regulatory Affairs of the coming-into-force of the amendment to the Standard (refer to CAR 103.01(3) which requires 30 days after the publication before an amendment comes into force).

(iii)As with a regulation, any dissents to the NPA from the Technical Committee members must be considered by the Regulatory Committee before the Standard is amended. The same process as outlined for a regulation applies (e.g. the Director-AARP must include the dissents with the memo submitting the NPA to Regulatory Affairs).

NPAs that introduce an entirely new chapter as a Standard (e.g. STD 566) will be submitted to the Regulatory Committee in the same manner as a regulation.

(e)Editorial Legal Review - Regulatory Affairs also performs an editorial legal review of NPAs that are submitted for final publication (standards) or submissions to the RU (regulations). The AARBH lawyer will contact the OPI, as required, when changes to the text of the NPA that was submitted by the Director are made.

3.10NPAs requiring major &/or minor amendments

(a)A major amendment required to an NPA (e.g. a new Info Note or paragraph) will be collected into a new NPA and introduced at the next CARAC Technical Committee meeting.

(b)A minor amendments to an NPA (e.g. use of proper terminology for standardization) can be made by the appropriate OPI, or AARPC, on the existing NPA as long as the intent of the content is not altered in any way.

3.11Post-CARAC meetingA post-CARAC meeting, convened within one week of the meeting date, will be attended by AARPC staff and CARAC Secretariat administrative staff to discuss the recent Technical Committee meeting, and to finalize the decision record and review any subsequent action items.

3.12Documents Arising from Technical Committee Meeting

(a)In order to expedite the circulation of Technical Committee information, AARP may publish advance notification of CARAC Technical Committee approved amendments to the standards only. For example, MPLs, MSIs and ANs may be developed while the standards are processed through the proper channels.

(b)Documentation resulting from technical meetings must meet certain conditions:

(i)permitted for material relating only to Standards, not the CARs;

(ii)for important topics when they are ‘alleviating’ only, or a safety issue.

(c)Drafts documents indicated in (a) are to be forwarded to AARPC then to AARP for final approval (e.g. MPL #18 covers the post-April, July and September technical committee meetings).

(d)NPAs affecting the Regulations will be dealt with externally by the Department of Justice. The CARAC Secretariat will circulate those submissions.

(e)Note that French translation of all amendments to NPAs will again be verified for technical content prior to publication.

4.Effective Date

4.1This instruction comes into effect on May 1, 1998.

5.HQ Contact

5.1The responsible officer indicated below may be contacted for information regarding this MSI:

Brian Whitehead, AARPC
Aircraft Maintenance & Manufacturing Branch.
E-mail:
Phone: (613) 941-8371
Fax: (613) 952-3298

5.2The MSI is available on the intranet and internet at the following address:Intranet:

D.B. Sherritt
Director,
Aircraft Maintenance and Manufacturing.

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