AC 21-18 DATE 8/20/82
ADVISORY CIRCULAR
BILATERAL AIRWORTHINESS AGREEMENTS
DEPARTMENT OF TRANSPORTATION Federal Aviation Administration Washington, D.C.
0 Advisory US.Depot hnent of lra,sportation CircularFederal Aviation Adn*ll11tallon Subject: BILATERAL AIRK>Rm:INE.SS Due: 8/20/82 AC No: 21-18 ~ Initialed by: Am-1 Olange:
1. PURPOOE. '!his Advisory Circular (AC) makes available to interested persoos cq,ies of all 01rrent U.S. Bilateral Airworthiness Agreements (BAA) tCXJether with an explanatioo of their intent.
2. REIATED READING MATERIAL. A document titled, "Export/InFort Ai:rworthiness Cert1ficat100 of C1v1l Aeronautical Products (FAA-P-8110-1)," was issued oo 3/1/82 by the Office of Ai:cworthiness. The p.1rpose of the docl.ment is to provide infonnation oo Federal Aviation Administration (FAA) policies and practices oonceming U.S. ai:rworthiness certification of export/i.nport civil aeronautical products. It is also intended to provide assistance in under standing a number of international certification issues and will be UErlated fran time to tine as resolution of the issues progresses. '!he docunent also provides a thoroogh discussion oonceming the BAA, their :inplementation, and their relationship with international oonventions and trade agreements to which the U.S. is a signatory-including the Aircraft Agreerrent and Standards Code concluded during the nest recent round of M.lltilateral Trade Negotiations (MIN) held under the General Agreement a, Tariffs and Trade ( ~) • Extracts from the docunent are included in paragraph 3. Copies of FAA-P-8110-1 may be c::t>tained £ran the Aircraft Engineering Division (Am-100), Office of Airworthiness, Federal Aviation Administration, 800 Independence Avenue, SW., washington, D.C.
20591.
3. DISCCSSIOO.
a. A Bilateral Ai:rworthiness Agreenent is an "Executive Agreement," concluded at the government-to-governrrent level by an exchange of diplomatic notes, with an appropriate Department of State (IX)S) official signing for the U.S.
b. There are no U.S. Statutes, FAA regulations, or International Agreements or Conventions that require a BAA to exist with the i.nporting oountry for export of u.s.-manufactured aeronautical products. In fact, many
u.s.-manufactured civil aeronautical products are exported to and accepted by many countries which have oot entered into a BAA with the U.S. Countries do not usually seek, nor does the U.S. encourage, BAA's unless the other country has an aeronautical product manufacturing industry and desires to export such products to the U.S.
-------------------~-------~ ··- --- For sale by the S111,eriuternlent of Doc.-uruents. U.S. Go,·ernment Printin:; Office. Washlngton, D.C. 20402
AC 21-18 8/ZJ/82
c. '!he 8"'s are mt a:>nsidered to be Trade AQreements1 rather, they me technical agreements (which nay be broad or limited- in E!Cqle} intended auy tD facilitate the reciprocal acceptance of test results, certificates, or narks of conformity issued by the airworthiness authority of tha exporting coontey. · Without such arrangements, product manufacturers oould incur a substantial, unnecessary l:urden of %el)etitive certification testing am analysis for each importing oountry, witb:>ut reo:,gnition of the efforts mnpleted for danestic certification. 'ftle ~'s are intended to reduce these blrdens by facilitating liaison between the FM an:3 the airworthiness authorities of the other Contracting State to ensure that the airworthiness (safety) standards of the importing oountry are satisfied through naximum U9e of the exp::>rting country's certification system.
d. When a foreign g::,yernment requests a 8" with the u.s., or i:equests that an existing ~nent be revised, the FM-acting through the Interagency Group on International Aviation (IGIA)-suanits the request for review by interested Executive Branch departnents an:1 agencies (e.g., D:!:fense, State, Coomerce, labor, Off ice of the U.s. Trade Representative). If the finding is positive, the IX5 asks the FM to conduct an evaluation of the i:equesti(JJ country's airworthiness certification system.
e. '!he FM. includes in its evaluation an assessnent of: the foreign airworthiness autoority's technical cmipetence, capabilities, regulatory authority, arx1 efficacy; the foreign country's airworthiness laws am regulations~ and the foreign Wustry 's cwerall state-of-the-art in design an:1 manufacturing capability for the SC'Ope of the cgreenent !lDught. 'Ile ccuntry•s need for a 81\A t.o exy::ort products into the u.s. is also assessed to :,:reclude needless agreerents. If FM.'s assessments are p:>sitive, the I05 am FAA personnel then decide the specific scope, substance, am text of a draft BAA, usually with representatives of the other country's ainiOrthiness auttx>rity.
Once a draft eA1\ is reached, the text is sul::mitted to the In; for final review.
The IX>S exchanges diplc:rnatic notes, thereby concludir¥J the IP.A.
f. In the exercise of his resp::>nsibilities lnder Title VI of the Federal Aviation Act of 1958, as amended (FA Act), the Administrator must act consistently with international agreements to \l.hich the u.s. is a J:Brty to neet the reauirements of Section 1102 of the FA Act. Sinc-e Executive Agreements nust be oonsistent with U.S. Statutes, BAA 1s cannot be entered into mless they provide for the Administrator's cxxnplianoe with Title VI of the m Act.
g. Indeed, while the FM cg>lies a different process for the ainiOrthiness certification of imported products, the oojectives of Title VI of the r1\ Act are in oo way diminished cy- the ff\A. The issuance of a certificate for an ~rted product cx,nstitutes a finding cy- the Administrator that the awropriate
u.s. airworthiness standards, or starrlards that prO\Tide an equivalent level of safety, have reen met.
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• 8/20/82 AC 21-18
h. All of the existing BAA's provide, in effect, within the terms and sc:cpe of each agreenent, that:
( 1) The irrporting State 11 shall give the same validity to the certification ••• (by the exporting State) of a:>rrpliance with the applicable requirements notified by the inporting State ••• as if the certification had been made by its~ aeronautical authority in accordance with its CMn applicable laws, regulations, and requirements";
(2) 11 The aeronautical authorities of the importing State shall have the right to make acceptance of any certification by the aeronautical authorities of the exporting State dependent up:,n the product meeting any additional requirements which the importing State finds necessary to ensure that the product meets a level of safety equivalent to that provided by the applicable laws, regulations, and requirements which 1,,,0uld be effective for a similar product produced in the importing State";
(3) "The aeronautical authorities of each Contracting State shall keep aeronautical authorities of the other Contracting State wrrently infonred on all relevant laws, regulations, and requirements in their State";
(4) "In the case of oonflicting interpretations of the laws, regulations, or requirei'llents pertaining to certifications or approvals under this Agreerrent, the interpretations of the aeronautical authorities of the Contracting State whose law, regulation, or requirement is being interpreted shall prevail" : and ( 5) "Either Contracting ·' State may terminate (the) Agreement at the expiration of not less than 60 days after giving written notice of that intention to the other State."
NOI'E: (Quoted statements taken from U.S./U.K. Bilateral Airworthiness Agreement. Others may differ slightly b..lt are the same in substance).
i. The language in subparagraph h(1) provides for the certification made by the foreign airworthiness authority to be considered conpetent evidence by the Administrator to make the findings required by Section 603 of the FA Act.
Subparagraphs h(2) thru (4) provide prerogatives to ensure that the Administrator's findings can be creditably made relative to rompliance with U.S. airworthiness standards. Subparagraph h(S) provides for termination of the BAA at the discretion of either party, for any reason, including a loss of confidence in the cx:>mpetc,.ce or acceptability of the foreign authority's certification. Therefore, when a U.S. Type Certificate, or other form of design approval (e.g. , for materials, parts, and appliances) is issued to approve the design of products using BAA procedures, the provisions of ooth Section 603(a) and Section 1102 of the FA Act are net by the Administrator. The Type Certificate has the sarre technical and legal significance, meaning, and value as Par 3 3
AC-21-18 8/20/82 if it \'Jere issued under p:-ocedures typically applied to a danestic ai;:plicant. • Federal Aviation Regulations {FAR) § 21.29 (b), which ceals with the issuance of type certificates for imp,rt products, reinforces this p,int by stating:
"A product type certificated under this section is considered to b::! type certificated ~"1.der the ooise standards of Part 36 of the Federal Aviation Regulations where canpliance therewith is certified (by tie foreign ain«>rthiness authority), and L11der the ain.orthiness standards of that r:art of the Federal Aviation Regulations with W'lich canpliance is certified (by the foreign ain.orthiness authority} or to mich an equivalent level of safety is certified. • • • "
j. '!'he role played by the FM. in evaluating the technical arrl regulatory canpetence and capabilities of the foreign airworthiness system and authority before new or amended B.Z\A.'s are concluded and (during the d?tailed discussion of the agreements, and t¥ the continuous liaison maintained by the FM with the foreign authorities) further assures the integrity of the Administrator's findings made throuqh procedures consistent with the EA.l\'s. Moreover, the BAA's provide for FM familiarization with the µ::-cx:luct teing certificated and provide for sufficient involvement by the FM to understand the foreign certification process and standards-thus, to assure that the objectives of the U.S.
airworthiness standards are satisfied. lastly, as rrentioned before, all agreements may be cancelled after ootice by either i:arty should the situation change in a country where a FAA fails to prcx:luce the required safety results.
k. 'Ihe FM implements the PAA. 1 s through the ex:p:,rt arrl imp:,rt certification regulations of the Federal Aviation Regulations Part 21. • Pertinent procedural requirements contained in Part 21 are:
(1) FAR § 21.29 for the issuance of type certificates for imp::,rt aircraft, aircraft engines, and pro~llers.
(2) FAR § 21. 183 ( c) for issuance of standard ain.orthiness certificates for foreign-manufactured irnp:)rted aircraft.
(3) Subpart L for issuance of ex:p:,rt airworthiness awrovals.
( 4 ) FAR § 21 •500 for the approval of fore ign-manf actured engine arrl pro~llers.
(5) FAR § 21. 502 for the approval of foreign-manufactured material, parts, and appliances.
(6) FAR§ 21.617 for the issuance of a letter of Tuchnical Standard Order (TSO) design approval for foreiqn-rnanufactured a~liances.
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8/2JJ/82 AC 21-18
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1. Copies of the 24 current IM 's are contained in Apt;:endix 1 to this AC.
In those instanres where a::Jreerrents have simply been amended, rather than replaced, the oosic BAA and the amendment are included. The EPA 's are concluded by an exchange of diplomatic rotes and subsequently print.ea by the u.s.
Government Printing Office (GEO) under the Treaties Arrl Other International Acts Series (TIAS). To conserve i;:a~r, only the English versions are included in Awendix 1.
m. A footnoted natrix dlart is attached in App:mdix 2. '!he dlart indicates the scope of each J3i?IA., together with the official TJAS citation number and the year in which the agreenent (and any anenclment) was roncluded.
4. ADDRESSES OF FDREI~ CIVIL AIRWJRTHINESS AIB'HORITIES. Addresses, available telex, cable, telephone and AFI'N nuni>ers for foreign civil airworthiness authorities in the 24 countries with \ollich the U.S. has PAA's can re found in Appendix 3 to this N:..
5. REOOESTS FOR INFDRW\.TION A8JC.l'I' PJIJl.. 'S. Questions regarding the status of existing or pr-op::,sed BAA's should re directed to the Offire of International Aviation. Technical auestions regarding the existing PAA's ard their implementation should re directed to the Offire of Ainvorthiness.
6. KM 'IO ORDER. Additional ropies of AC 21-18 may re p..irchasea by writing to:
• Su~rintendent of Ix>cUJTents U.S. Government Printina Office Washinaton, D.C. 20402 )'~r Director of Air,,..Drthiness
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• APPENDIX 1 - COPIES CF BIIATERAL A!ruroRTHINESS AGREEMENI'S ( 168 pages) Agreements Between the United States of America arrl- Page No.
Australia. . . • • • • . . . . • • • • • . . 1 Austria. 7 Belgium••• . . • • • • 11 Brazil .•• . . . . . . . . . . . . . • • • • 17
• Canada • . • • • • • • • • • • • • • • • 23 Czechoslovakia • • • • • • • • • • • • • • 31
Denmark35
Finlaricl. . • . • . • . • . • . . . . . . . . • • • 43 France . • . • . • . . . . . . . . • • . • . • • 47 Federal Republic of Germany••• • •• 53 Israel • • • • • • • • • • . . • ••••••• 63 Italy. . . . . . . . . . . . . . . • . • • • 71 Jai:a,n. • • • • • • • • • • • • • • • • • • • 77 The Netherlands. • • • • • • • • • • • • • • 83 New Zealand. . . . • • • • • • • . • • . • • • 89 Nor"W"ay • • • • • • • • • • • • • • • • ... • • • • • • • • 97
Polana . . . . . . . . •107
Republic of Romania . ••• 119 Republic of Singap:>re. 125 Union of South Africa ••••••••••••• • 133 SJ)a.in. . • • • . • . • . • • • • • • . 139 Sweden. • •.••• • 147 Switzerland. • • • • • • • • • • • ••••••• 153 United Kinqdan of Great Britain and Northern Ireland •••••••••••••••• 163 APPFNDIX 2. SUMMARY rnART <F BIT.ATERAL AIRWORTHINESS AGREF,MEMI'S ( 4 paqes) APPENDIX 3. .Z:\DDRESS IJS'r CF CIVIL AER.ONAurICAL AUI'HORITIES (4 pages) Paqe i
AC 21-188/'2D/82 Appendix 1
• TREATIES A~D OTHER INTERNATIOXAL ACTS SERIES 8128
CERTIFICATES OF AIRWORTHINESS
FOR IMPORTED AERONAUTICAL
PRODUCTS AND COMPONENTS Agreement Between the
UNITED STATES OF AMERICA and AUSTRALIA
• Effected by Exchange of Notea Signed at Wa,hington December 24, 1974 and June 11, 1975 Page 1
AC 21-18 8/ZJ/82 Appendix 1
AUSTRALIA Certificates of Airworthiness for Imported Aeronautical Products and Components Agreement effected by exchange of note5 Signed at Waahington December 24, 1974 and June 11, 1975;
Entered ink> force June 11, 1975.
The Secretary of State to the A.u.stralian Charge d'A.ffaires ad interim DECEMBER 24, 1974 Srn:
I refer to com·ersations w·hich have taken pJace beh,Pen represent atives of the Go,·ernment of the rnited States of America and the Gorernment of . .\.ustralia relating to the reciprocal acceptance of air worthiness certifications. in the course of w·hich discussions were held regarding appropriatp actions neressnry· to ,r-ork to'\'\·ards common safety objectives and to establish ·standarcls which will be as similar as practicable. It is my understan<ling that thl' two Governments haYe reached an agreement as set out below. It is also my understanding that this agreement does not relate to noise abatement or anti-pollution require men ts.
1. This .\gTeement applies to ci,·il aeronautical products (herein after referrecl to as ;'producti/') and certain components referred to in parag-rnph 3 of this Agreement "'°hen such products or components are produced in one Contracting State (hereinafter referred to as the "exporting State") and exported to the other Contracting State (hereinafter referred to as the "importing State~'), and to products produred in another State with which both Contracting States have agreements similar in scope for reciprocal acceptance of airworthiness certifications.
2. (a) If the competent authority of the exportin ."' State certifies that a product produced in that State complies rit~icr with its npplica hle laws. regulations ancl requirements as ,,ell as an~· additional re quirement -; ,,hirh mny haw heen prescribed hy the importing State nnder paragraph 4- of this Agre*7Jnent. or with the applicable laws, regulations nnd reqnirements of the importing State, as notified by the importing- State ns heing- npplicahle in the particular case, the importing- Stnte ~hall gin the same validity to the C'Htifiration as if the certification had heen macle by its own competent authority in accorclance ,vith its o"·n npp1icaLle In"·s. regnbtions and' requirements.
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AC 21-18 Appendix 1
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(b) In the case of a product produced in another State with which both Contracting States have agreements similar in scope for reciprocal acceptance of 11irworthiness certifications, if the competent authority of the State exporting the prod.net provides n certificntion that the product conforms to the design covered by the certificate or approval issued by the importing State and certifies thnt the procluct is in n proper state of airworthiness, the importing State shall give the snme vnliclitY to such certification as if the certification hnd. been made by its own· competent authority in accordance with its npplicnble laws, regnlntions nnd requirements.
(c) In the case of a product being exported by one Contracting State to the Contracting State where the product was originally pro duced, if the competent authority of the State exporting the product provides a certification that the product conforms to the design covered by the certificate or approval issued by the State importing the product and certifies that the product is in a proper state of air worthiness, the State importing the product shall give the same validity to such certification as if the certification had been made by its own competent authority in accordance with its applicable laws, regulations and requirements. This provision will apply only if the product was under the jurisdiction of either of the Contracting States continuously from the time it was exported from the Contracting State where it was produced to the other Contracting State.
3. In the case of a component which is produced in the exporting State fOi' export nnd use on a product which is or may be certificated or approved in the importing State, if the competent authority of the exporting State certifies thnt the component conforms to the applica ble design data, meets the applicable test requirements nnd has been produced in accordance with the applicable quality control require ments. which have been notified by the importing State to the export ing State, the importing State shal1 give the same validity to the certi fication as if the certification had been made by its own competent authority. This provision shall only apply to those components which are produced by a manufncturer in the exporting State pursuant to an agreement between thnt manufacturer and the product manufacturer in the importing State. Furthermore, it shall only apply in those in stances where, in the judgement of the importing State, the component is of such complexity that determination of conformity and quality control cannot readily be made at the time that the component is as sembled with the product.
-L The competent authority of the importing State shall hav1! the right t<, ··<>scribe any additional requirements which the importing State finds rn•cessary to ensure that the product meets a level of safety equivalent to that provided by its applicable laws, regulations and requirements '\Thich would be effective for a similar product produced 1n the importing State. These additional requirements may include nny special conditions which the importing State considers necPssary for safety because of novel or unusual design features of the particular TIAS 8126
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AC 21-18 S/'2IJ/82 Appendix 1 product. Th£' competent authority of the importing State she.II promptly ndvise the competent authority of the exporting State of any such n<l<litionnl requirements.
5. The competent authority of each Contracting State shall keep the competent authority of the other Contracting State fully informed of all mandatory airworthiness modifications and special inspections which it determines are necessary in respect of imported or exported products to which this Agreement applies.
6. The competent authority of the exporting State shall, in respect of a product produced in that State, assist the competent authority of the importing State in \1etermining whether major design changes and major repairs made under the control of the competent authority of the importing Stnte comply with the Jaws! regulations anrl re quirements under which the product was originally eertificate<l or approved.
7. The competent nuthority o:f each Contracting State shall keep the competent authority of the other Contracting State currently in formed o:f all rele,·ant laws. regulations and requirements in its State.
8. In the case of conflicting interpretations o:f the laws, regulations or requiremrnts pertaining to certifications or approva1s under this Agreement, the interpretation of the competent authority of the Con tre.cting State whose law, regulation or requirement is being inter preted shall prevail.
9. For the purposes of this Agreement:
(9:.) "Product" means an aircraft. engine, propeller or appliance;
(b) "Aircraft" mea:'.ls a civil aircraft o:f any category, whether used in public transportation or foc other purposes, and includes re placement and modification parts therefor;
(c) "Engine" means an engine intended for use in an aircraft as· defined in (b) and includes replacement and modification parts therefor;
(d) "Propel1er·~ means a propeller intended for use on e.n aircraft as defined in (b) and includes replacement and modification parts therefor;
(e) "Appliance" means nn instrument, equipment , mechanism, apparatus or accessory used or intended to be used in opera.ting an aircraft, which is installed in, intended to be installed in, attached to, or intended to be attached to an aircraft ,ls defined in (b), but is not part of an airframe, engine or propeller. and includes replacement e.nd modificatiol'. parts therefor:
(f) "Component" means a material, part, or sub-assembly not covered in (b), (c), (d), or (e) for use on or in an a;·:raft, engine, propeller or appliance;
(g) BProduced in one Contracting State'~ means that the product or component as a whole is fahricated in the exporting State~ even thoui:rh portions thereof nrn:-,· ha,·e been fabricated in another State;
(h) "Applicable laws, regulations and requirements': means:
( i) Those airworthiness la ":s, n'gulations and requirements TIAS 8126
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AC 21-18 Appendix 1
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(ii) for a product of a t~·pe eurrent]y in production, those nirworthines.s requirements which were required to be used for the cer tification of the product in the exporting State or those requirements of the importing State applicable to a similar product of the importing .State at the date of applicaion for type certification of the former pro<luct in the exporting State. together with such other airworthiness requirements as the competent authority of the importing State con siders necessnry to establish a level of safety eqnirnhmt to that re quired for similar products produced in the importing State and were notified to the exporting State prior to the date of application for certification in the importing State; or
(iii) for a product of a type no longer in production, such air worthiness requirements as the competent authority of the importing State finds acceptable in the particular case; and
(i) "The competent authority" for the purposes of paragraphs 2 and 3 of this Agreement, includes a person holding a delegation from the competent authority of a Contracting State to exercise powers or perhsrm functions relating to the certification of airworthiness of products or components under the law of that Contracting State.
10. The competent authority of each Contracting: State shall make such mutual arrangements in respect'of procedures as it deems neces sary to implement this Agreementi and to ensure that redundant certification~ testing and analysis are aYoided.
11. Each Contracting State shall keep the other Contraeting State arlYise<l as to the i<lentity·of is competent authority.
12. Either Contracting ~tate may terminate this Agreement at the expiration of not less than 180 days after gh·ing written notice of that intention to the other State.
13. This Agreement sha1l terminate and replace the .Agreement be t,rnen our two GoYernments for the reciprocal acreptance of certifi cates of airworthiness, effected by Exchange of Kotes nt ,vashington on XoYember 201 1959.[l] If the foregoing is acceptable to your Government, I propose that.
this note together with your confirmatory reply to that effect should constitt1te an agreement between our two Governments to enter into force on the date of your reply. .
Accept. Sir: the renewed assurances of my high consideration .
For the Secretary of State:
RAYMOXD J ,VALD!\UXX The Honorable G.K.rPTox, (' harg<' rl'A ffafres ad interim of Australia.
1 TIAS -1358; 10 L'ST 1915.
TIAS 8126
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