Appendix A A-1
Appendix A. Issue Paper Format
ISSUE PAPER
PROJECT: [Company ABC] ITEM:
Model [XYZ] STAGE:
Project # [CCXXXXLL-T] DATE:
REG. REF.:
NATIONAL POLICY REF.:
ISSUE STATUS: Open
SUBJECT: BRANCH ACTION:
COMPLIANCE TARGET:
[Issue Paper Type]
STATEMENT OF ISSUE:
BACKGROUND:
FAA POSITION: (Stage _, Date)
VALIDATING/CERTIFICATING AUTHORITY POSITION: (Stage _, Date)
APPLICANT’S POSITION: (Stage _, Date)
CONCLUSION:
Accountable Directorate Aircraft Certification Service
Date
Appendix A A-2
CONTACTS:
TITLE NAME PHONE Originator Project Manager Project Officer
FILE NAME:
Appendix B
B-1 Appendix B. Roles of FAA Personnel
1. Accountable Directorate. The Accountable Directorate is t he aircraft certification directorate with final authority, accountability, and responsibility for type certification programs, the development of airworthiness standards, and development and standardization of technical policy for an assigned product and a specific part of Title 14 of the Code of Federal Regulations (14 CFR). In general, the primary purpose of the accountable directorate review is to do the following:
• Serve as the lead for, and ensure standardization of, the IP by comparing it with similar IPs from other projects, and
• Provide current policy related to the significant issue. When the FAA invokes an identical IP for numerous projects, this is indicative of mature policy suitable for written guidance such as methods, procedures, and practices acceptable to the FAA
(e.g., an AC).
• Serve as the validating authority (VA) on validating projects.
2. Aircraft Certification Office (ACO). The ACO is t he aircraft certification directorate’s engineering operational element. This office administers and secures compliance with agency regulations, programs, standards, and procedures governing the type design of aircraft, aircraft engines, or propellers. The term “ACO” also refers to the Engine Certification Office (ECO), the organization management team (OMT) leadership offices that oversee Organization Designation Authorization (ODA) holders (this includes the Delegation Systems Certification Office (DSCO)), and the Military Certification Office (MCO).
3. Aircraft Evaluation Group (AEG). AEGs are Flight Standards Service personnel that are assigned to each aircraft certification directorate to address Flight Standards considerations during type certification, evaluate operational and maintenance aspects of certification, and evaluate continuing airworthiness requirements of newly certificated or modified products and parts.
When a significant issue pertains to operational and maintenance aspects, the AEG must be coordinated with when formulating the “FAA POSITION” and the “CONCLUSION” stages.
4. Certificate Management ACO (CMACO). The CMACO is the ACO managing the product’s TC. The CMACO also manages the continued airworthiness for all products it approves for as long as the products are in service. Since this is the ACO managing a product’s TC and the continued airworthiness, the project ACO must coordinate the issue paper with the CMACO.
5. Certificating and Validating Authorities. For type validation programs, when the FAA is the validating authority (VA), the FAA provides the certificating authority (CA) an opportunity to comment on the IPs produced for that validation program. To the extent possible, the program manager/project manager (PM) or project officer (PO) must incorporate the CA position, verbatim, in the IP. A CA position is not required in a CIP, since in that case the FAA is adopting
Appendix B
B-2 the CA IP (or equivalent) directly, and is attaching that document to the FAA’s CIP. The FAA also reserves the right to write IPs on other unique import requirements.
6. Chief Scientific and Technical Advisors (CSTA). CSTAs are technical consultants in specific, specialized topics who use their technical expertise to help AIR apply regulatory policies and practices to certify state-of-the-art technology, influence the research agendas of U.S. and foreign aviation industries, military, academia, and other research institutions, and interact with and assist other U.S. Government agencies and foreign CAAs in technology-related issues. The PM must include the appropriate CSTAs in the IP coordination process when significant technical issues arise involving practices to certify state-of-the-art technology.
7. Design, Manufacturing, and Airworthiness Division (AIR-100). When a significant issue pertains to technical policy or procedural policy overseen by any of the AIR-100 branches, the AIR-100 division must be coordinated with when formulating the “FAA POSITION” and “CONCLUSION.” When the FAA invokes an identical IP for numerous projects, this is indicative of mature policy suitable for written guidance such as methods, procedures, and practices acceptable to the FAA (e.g., an AC).
8. Manufacturing Inspection Office (MIO). A MIO oversees MIDOs and manufacturing inspection satellite offices (MISO) in its geographic area and provides organizational leadership and technical guidance to these offices. The MIO manages all geographically located production facilities and designees. They administer the airworthiness certification policies, office staffing, and internal budget allocation.
9. MIDO. A MIDO is a subordinate office to the MIO in its geographical area. This office oversees production certification, airworthiness certification, approval holders (manufacturing facilities), and designees, in its geographical area. MIDOs support ACOs during type certification programs, and they investigate and submit enforcement reports on noncompliance with 14 CFR parts. MIDOs investigate and ensure that corrective measures for service difficulties are implemented as identified in the quality system. When a significant issue pertains to manufacturing processes, production certification, or airworthiness certification, the program/project manager must include the MIDO in the issue paper coordination.
10. PM (Originator). The PM initiates or originates the IP. The PM:
• Obtains concurrence from the ACO,
• Transmits the IP to the accountable directorate through the PO,
• Coordinates with the applicant and obtains the applicant’s position (when necessary, discusses and clarifies the FAA’s position with the applicant),
• Obtains concurrence from the AEG, MIDO, AIR-100, and CSTAs as needed,
Appendix B B-3
• Obtains accountable directorate concurrence and approval of the IP,
• Develops the conclusion and transmits it to the applicant, and
• Places results in the official project file.
11. Project ACO (PACO). The PACO is the ACO working a certification project. The PACO may need to coordinate with the CMACO if the project is a follow-up certification activity such as an STC or PMA.
2. Project Team. The project team normally for an aircraft certification project usually consists of the following:
• A PM,
• E ngineers or technical specialists,
• F light test pilots and flight test engineers,
• M anufacturing inspectors,
• A EG operations and airworthiness inspectors, and
• A project officer and other persons at the discretion of the accountable directorate.
No te 1: The certification project team is comprised of the individuals needed to conduct a certification project. A TCB is an FAA management team (see appendix C).
N ote 2: For engine or propeller certification projects, the project team composition could be slightly different.
3. Project Officer. The project officer (PO) provides regulatory or policy input to the project team or TCB through the PM and routes the IP through the accountable directorate’s specialists and manager, in order to keep them apprised of the issue and to obtain their concurrence. Quite often the PO acts as the PM for validation projects.
4. Technical Specialist. For type certification projects, new IPs can be proposed to the TCB by technical specialists for technical issues in their areas, through the PM, at any time during the process before final type certification.
5. TCB or Project Team. The TCB is the FAA management team responsible for acquainting the applicant with the certification process, resolving significant problems, processing and coordinating issue papers, and establishing a schedule for the overall accomplishment of the type certification project. A TCB is established only for projects of a certain magnitude. When a TCB
Appendix B B-4 is not necessary, the certification team manages the project and performs any functions of the TCB to the degree necessary.
Appendix C C-1 A ppendix C. Terms and Definitions
1. Amended TC An approval for a change to a TC, made by the TC holder.
Only the holder of the TC may apply for an amended TC.
2. Certificating A uthority (CA) The aviation authority responsible for the original type certificate or supplemental type certificate. Certificating authority means the FAA for applicants/certificate holders located in the United States, and the European Aviation Safety Agency (EASA) for applicants/certificate holders located in the European Community and with Joint Aviation Authorities (JAA) member states, for products under JAA procedures. The certificating authority may also be referred to as the exporting civil aviation authority (CAA).
3. Certification Plan The applicant’s intended means for showing that a product complies with the applicable regulations.
4. Methods of C ompliance (MoC) Analyses, tests, or inspections used by the applicant to demonstrate compliance with the certification and validation airworthiness standards. MoC include descriptions of methodologies employed, assumptions used in applying the methodologies, and discussions of the procedures used to verify the methodologies.
5. Organization D esignation Authorization (ODA) An authorization by the FAA for an organization comprised of an ODA unit(s) using approved procedures to make approvals on behalf of the FAA.
6. Parts Manufacturer A pproval (PMA) An FAA design and production approval to manufacture replacement and modification parts that comply with the regulations. See Order 8110.42, Parts Manufacturer Approval Procedures.
7. Product For type certification, an aircraft, an aircraft engine, or a propeller. The word product has other meanings in different contexts such as export airworthiness approvals (see 14 CFR 21.1(b)).
Appendix C C-2
8. Significant Change As defined in Advisory Circular 21.101-1A, Establishing the Certification Basis of Changed Aeronautical Products, a change to the TC is significant to the extent it changes one or more of the following: general configuration, principles of construction, or the assumptions used for certification. The change is not extensive enough to be considered a substantial change (refer to 14 CFR 21.19). See Advisory Circular
21.101-1A for more information.
9. Supplemental Type C ertificate (STC) A TC that the FAA issues to an applicant who alters a product by introducing a major change in type design (as defined by 14 CFR 21.93(a)). The STC process is essentially the same as the TC with a few differences.
10. Technical Specialist For this document, “technical specialist” means any specialist involved in certification activities. The term is not restricted to an engineer with that job title.
11. Type Certificate (TC) A design approval issued by the FAA when the applicant demonstrates that a product complies with the applicable regulations. As defined by 14 CFR 21.41, the TC includes the type design, the operating limitations, the type design data sheet (TCDS), the applicable regulations, and other conditions or limitations prescribed by the Administrator. The TC is the foundation for other FAA approvals, including production and airworthiness approvals.
12. Type Certification Bo ard (TCB) An FAA management team responsible for acquainting the applicant with the certification process, resolving significant problems, and establishing a schedule for the overall accomplishment of the type certification project. A TCB is established only for projects of a certain magnitude. When a TCB is not necessary, the project team manages the project and performs any functions of the TCB to the degree necessary. The members of a TCB include:
a. The P ACO manager (or representative),
b. Accountable directorate project officer (for projects requiring directorate’s involvement),
c. Program/project manager, and
d. Other members including the managers, supervisors, or senior personnel from the appropriate engineering disciplines and flight test, manufacturing inspection, and assigned AEG personnel.
Appendix C C-3
The TCB may request other participants, such as those listed below, to join the certification team or participate on an advisory basis in the TCB meetings. Additional TCB Participants include:
a. ACO engineers, flight test pilots, and manufacturing inspectors,
b. Washington Headquarters specialists,
c. CSTAs,
d. Additional AEG and Flight Standards District Office’s personnel,
e. The project officer from the accountable directorate (if not serving as a board member),
f. Representatives of the CMACO, other ACOs, and directorates, and
g. The applicant and its representatives.
13. Type Certification Board Meeting (TCBM) Any formal meeting between the TCB and the applicant to coordinate the move to the next project phase or resolve issues preventing progress to the next phase. Examples include preliminary, interim, pre-flight, and final TCBMs.
14. Type Design The engineering definition of a particular product. The type design consists of the following (see 14 CFR 21.31):
a. Drawings and specifications,
b. Dimensions, materials, and processes,
c. Airworthiness limitations,
d. (for primary category aircraft, if desired) A special inspection and preventive maintenance program designed to be accomplished by an appropriately rated and trained pilot-owner, and
e. Any other data necessary to allow, by comparison, the determination of the airworthiness, noise characteristics, fuel venting, and exhaust emissions (where applicable), of later products of the same type.
Appendix C C-4
15. Type Validation Type certification of an imported product to the importing country’s applicable requirements or airworthiness standards. Process leads to issuance of new and amended type certificates when the FAA is the VA. When EASA is the VA, type validation leads to issuance of an EASA type certificate valid in all EASA member states. When a national aviation authority (NAA) of a non-EU JAA member state is the VA, type validation leads to a letter of recommendation for a TC from the JAA to the NAAs. The term also describes the general principles adopted by the FAA and EASA/JAA for determining appropriate VA involvement in validations, whether they are new or amended type certifications, or major level 1 design changes.
16. Validating Authority (VA) The aviation authority responsible for validating the CA type certificate or STC. Validating authority means EASA for applicants/approval holders located in the United States and FAA for applicants/approval holders in the European Community and JAA member states. Validating authority may also be called the importing authority.
17. Validation Authority Certification Basis Is comprised of the applicable airworthiness standards identified by the VA plus any exemptions, special conditions, and equivalent level of safety findings declared by the VA to establish design acceptance of an imported product or to certify the design change.
Appendix D D-1 Appendix D. Advisory Circular Feedback Information
If you have comments or recommendations for improving this advisory circular (AC), or suggestions for new items or subjects to be added, or if you find an error, you may let us know about it by using this page as a template and 1) emailing it to 9-AWA-AVS-AIR500- Coord@faa.gov or 2) faxing it to the attention of the AIR Directives Management Officer at 202-267-3983.
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An error has been noted:
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