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5.4.2.1.2 States which have not implemented the airworthiness policy discussed in 5.4.2.1.1 above may find that their modification approvals are not acceptable nor sufficient to those States who have elected to implement such policy, because of the potential difference in the approved level of safety. An applicant intending to seek foreign approval of their modifications should be made aware of the differences in the approval requirements.
5.4.2.1.3 In the application for a modification approval, the applicant proposes the airworthiness and applicable environmental standards to which they intend to demonstrate compliance. Depending on the modification, additional airworthiness or operational requirements may be imposed by a State, or an applicant may be required to show that the product meets additional standards in order to receive approval in another State, due to differences in requirements. All these requirements are established collectively to become the certification basis for the modification. The applicant should participate in any ACD discussion concerning the proposed certification basis, but it remains the ultimate responsibility of the CAA to review, decide, and establish that the certification basis is appropriate for the proposed modification.
5.4.2.1.4 Once the certification basis has been established, it should be confirmed in writing by the ACD to the applicant and preserved throughout the validity period of the application (see Section 5.2.5 of this Part — Validity Period of an Application).
5.4.2.1.5 It should be noted that while the certification basis is established very early in the approval process, the final certification basis of a modified product may, in some cases, end up being different from that established initially. The difference(s) may come when the ACD issues special conditions of airworthiness (SC), findings of equivalent level of safety (FES), or an exemption. The need for the issuance of an SC, FES, or an exemption as part of the certification basis is usually identified by the applicant to the ACD at the beginning of the application process. However, this need may not be obvious at the beginning, and becomes evident only during the course of the actual approval activities. At the conclusion of the approval activities, the ACD should identify all SC, FES, exemptions and other voluntary compliance that transpired during the approval period in order that these activities may be recorded as part of the final certification basis.
5.4.2.2 Airworthiness design standards
5.4.2.2.1 States should promote compliance with the applicable airworthiness design standards that are in effect on the date of application for a modification approval, meaning the latest amendment level. Airworthiness standards are amended from time to time to improve the overall level of safety inherent in these standards. At the time of application, it is generally regarded that the latest amendment level of a standard offers the highest level of safety for the product, and the intent is to certify the type design to this level. If after the application date subsequent amendments to the standards become available, the ACD should promote further enhancement of the level of safety by encouraging the applicant to voluntarily comply with those newer standards (see 5.4.2.8 below, Elect to Comply).
5.4.2.2.2 The CAA should assess the contribution to safety that can be realized by requiring a modification to comply with the latest airworthiness standards, and whether it will be practical at all. Consideration should also be given to allowing compliance with later amendments to the design standards recorded in the Type Certificate Data Sheet. The intent is to promote upgrading the level of safety of modified products to the greatest extent practicable. The merit(s) of each modification should be evaluated on a case-by-case basis and where an applicant can establish convincing substantiation, an exception to the requirement should be granted. It is the responsibility of the applicant to provide the ACD with a complete and detailed substantiation.
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适航手册 AIRWORTHINESS MANUAL(96)
