AC 21-18 DATE 8/20/82
ADVISORY CIRCULAR
BILATERAL AIRWORTHINESS AGREEMENTS
DEPARTMENT OF TRANSPORTATION Federal Aviation Administration Washington, D.C.
Advisory U.S. Department of Transportation Circular Federal Aviation Administration Subject: BILATERAL AIRWORIHINESS Date: 8/20/82 AC No: 21-18 AGREEMENTS Initiated by: AWS-1 Change:
1. PURPOSE. This Advisory Circular (AC) makes available to interested persons copies of all current U.S. Bilateral Airworthiness Agreements (BAA) together with an explanation of their intent.
RELATED READING MATERIAL. A document titled, "Export/Import Airworthiness Certification of Civil Aeronautical Products (FAA-P-8110-1)," was issued on 3/1/82 by the Office of Airworthiness. The purpose of the document is to provide information on Federal Aviation Administration (FAA) policies and practices concerning U.S. airworthiness certification of export/import civil sending nure of intert anal deification sues a van pated from time to time as resolution of the issues progresses. The document also provides a thorough discussion concerning the BAA, their implementation, and their relationship with international conventions and trade agreements to which the U.S. is a signatory-including the Aircraft Agreement and Standards Code concluded during the most recent round of Multilateral Trade Negotiations (MIN) held under the General Agreement on Tariffs and Trade (GATT). Extracts from the document are included in paragraph 3. Copies of FAA-P-8110-1 may be obtained from the Aircraft Engineering Division (AWS-100), Office of Airworthiness, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, D.C.
20591.
3_ DISCUSSION.
a. A Bilateral Airworthiness Agreement is an "Executive Agreement," concluded at the government-to government leve_ by an exchange or diplomatic notes, with an appropriate Department of State (DOS) official signing for the
b. There are no U.S. Statutes, FAA regulations, or International Agreements or Conventions that require a BAA to exist with the importing country 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 not 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 Superintendent of Documents. U.S. Government Printing Office. Washington, D.C. 20402
c. The BAA's are not considered to be Trade Agreements; rather, they are technical agreements (which may be broad or limited in scope) intended only to facilitate the reciprocal acceptance of test results, certificates, or marks of conformity issued by the airworthiness authority of the exporting country.
Without such arrangements, product manufacturers could incur a substantial, unnecessary burden of repetitive ortification testing and analysis for each importing country, without recognition of the efforts completed for domestic certification. The BA's are intended to reduce these burdens by facilitating liaison between the FAA and the airworthiness authorities of the other Contracting State to ensure that the airworthiness (safety) standards of the importing country are satisfied through maximum use of the exporting country's certification system.
d. When a foreign government requests a BAA with the U.S., or requests that an existing agreement be revised, the FAA-acting through the Interagency Group on International Aviation (IGIA)- submits the request for review by interested Executive Branch departments and agencies (e.9., Defense, State, Commerce, Labor, Office of the U.S. Trade Representative). If the finding is positive, the DOS asks the FAA to conduct an evaluation of the requesting country's airworthiness rtification system.
The FAA includes in its evaluation an assessment of: the foreign airworthiness authority's technical competence, capabilities, regulatory authority, and efficacy; the foreign country's airworthiness laws and regulations; and the foreign industry's overall state-of-the-art in design and manufacturing capability for the scope of the agreement sought. The country's need for a BAA to export products into the U.S. is also assessed to preclude needless agreements. If FAA's assessments are positive, the DOS and FAA personnel then decide the specific scope, substance, and text of a draft BAA, usually with representatives of the other country's airworthiness authority.
Once a draft BA is reached, the text is submitted to the DOS for final review.
The DOS exchanges diplomatic notes, thereby concluding the BAA.
f. In the exercise of his responsibilities under Title VI of the Federal Aviation Act of 1958, as amended (FA Act), the Administrator must act consistently with international agreements to which the U.S. is a party to meet the requirements of Section 1102 of the FA Act. Since Executive Agreements must be consistent with U.S. Statutes, BAA's cannot be entered into unless they provide for the Administrator's compliance with Title VI of the FA Act.
9• indeed, while the FAA applies a different process for the airworthiness certification of imported products, the objectives of Title VI of the FA Act are in no way diminished by the PA. The issuance of a certificate for an imported product constitutes a finding by the Administrator that the appropriate U.S. airworthiness standards, or standards that provide an equivalent level of satety, have been met.
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All of the existing BAA's provide, in effect, within the terms and scope of each agreement, that:
(1) The importing State".
certification... by the exporting State) of compliance with the applicable requirements notitled by the importing State... as if the certification hac been made by its own aeronautical authority in accordance with its own applicable laws, regulations, and requirementsi;
(2)ạ®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 upon 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 would be effective for a similar product produced in the importing Statei;
(3) "The aeronautical authorities of each Contracting State shall keep aeronautical authorities of the other Contracting State currently informed on all relevant laws, regulations, and requirements in their State";
(4) In the case of conflicting interpretations of the laws, regulations, or requirements pertaining to certifications or approvals under this Agreement, 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."
NOTE: (Quoted statements taken from U.S./U.K. Bilateral Airworthiness Agreement. Others may differ slightly but 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 competent 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 compliance with U.S. airworthiness standards. Subparagraph h(5) provides for termination of the BAA at the discretion of either party, for any reason, including a loss of confidence in the competence 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 both Section 603(a) and Section 1102 of the FA Act are met by the Administrator. The Type Certificate has the same technical and legal significance, meaning, and value as Par 3 3
AC-21-18 8/20/82 if it were issued under procedures typically applied to a domestic applicant.
Federal Aviation Regulations (FAR) § 21.29 (b), which deals with the issuance of type certificates for import products, reinforces this point by stating:
'A product type certificated under this section is considered to be type certificated under the noise standards of Part 36 of the Federal Aviation Regulations where compliance therewith is certified (by the foreign airworthiness authority), and under the airworthiness standards of that part of the Federal Aviation Regulations with which compliance is certified (by the foreign airworthiness authority) or to which an equivalent level of safety is certified. ..."
j. The role played by the FAA in evaluating the technical and regulatory competence and capabilities of the foreign airworthiness system and authority before new or amended BAA's are concluded and (during the detailed discussion of the agreements, and by the continuous liaison maintained by the FAA with the foreign authorities) further assures the integrity of the Administrator's findings made through procedures consistent with the BAA's. Moreover, the BAA's provide for FAA familiarization with the product being certificated and provide for sufficient involvement by the FAA to understand the foreign certification process and standards--thus, to assure that the objectives of the U.S.
airworthiness standards are satisfied. Lastly, as mentioned before, all agreements may be cancelled after notice by either party should the situation change in a country where a BAA fails to produce the required safety results.
K. The FAA implements the PAA's through the export and import 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 import aircraft, aircraft engines, and propellers.
(2) FAR § 21.183 (c) for issuance of standard airworthiness certificates for foreign-manufactured imported aircraft.
(3) Subpart L for issuance of export airworthiness approvals.
(4) FAR $ 21.500 for the approval of foreign-manfactured engine and propellers.
(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 Technical Standard Order (TSO) design approval for foreiqn-manufactured appliances.
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1. Copies of the 24 current BAA's are contained in Appendix 1 to this AC.
In those instances where agreements have simply been amended, ratner than replaced, the basic BAA and the amendment are included. The BAA's are concluded by an exchange of diplomatic notes and subsequently printed by the U.S.
Government Printing Office (GPO) under the Treaties And Other International Acts Series (TIAS). To conserve paper, only the English versions are included in Appendix 1.
m. A footnoted matrix chart is attached in Appendix 2. The chart indicates the scope of each BAA, together with the official TIAS citation number and the year in which the agreement (and any amendment) was concluded.
4. ADDRESSES OF FOREIGN CIVIL AIRWORTHINESS AUTHORITIES. Addresses, available authorities in the 24 countries with which the U.S. has BAA's can be found in telex, cable, telephone and APIN numbers for toreign civil airworthiness "his d countries with which" Appendix 3 to this AC.
REQUESTS FOR INFORMATION ABOUT BAA'S. Questions regarding the status of existing or proposed BAA's should be directed to the Office of International Aviation. Technical questions regarding the existing BAA's and their implementation should be directed to the Office of Airworthiness.
6. HOW TO ORDER. Additional copies of AC 21-18 may be purchased by writing Superintendent of Documents U.S. Government Printina Office Washington, D.C. 20402 жива.
M. C. Beard Director of Airworthiness 5 Par 3
CONTENIS APPENDIX 1 - COPIES OF BILATERAL AIRWORTHINESS AGREEMENIS (168 pages) Agreements Between the United States of America and- Page NO.
Australia. .
Austria. .
Belgium..
Brazil.
Canada . .
Czechoslovakia Denmark. • Finland. • France .
Federal Republic of Germany. 53 Israel . 63 Italy. 71 Japan. • • 77 The Netherlands. 83 New Zealand. 89 Norway • 97 Poland . . 107 Republic of Romania. 119 Republic of Singapore. 125 Union of South Africa. 133 Spain.. 139 Sweden . 147 Switzerland. 153 United Kingdom of Great Britain and Northern Ireland . . 163 APPENDIX 2. SUMMARY CHART OF BILATERAL AIRWORTHINESS AGREEMENIS (4 pages) APPENDIX 3. ADDRESS LIST OF CIVIL AFRONAUTICAL AUTHORITIES (4 pages) Page i
Appendix 1 TREATIES AND OTHER INTERNATIONAL ACTS SERIES 8126
CERTIFICATES OF AIRWORTHINESS
FOR IMPORTED AERONAUTICAL
PRODUCTS AND COMPONENTS Agreement Between the
UNITED STATES OF AMERICA and AUSTRALIA Effected by Exchange of Notes Signed at Washington December 24, 1974 and June 11, 1975 Page 1
Appendix 1
AUSTRALIA Certificates of Airworthiness for Imported Aeronautical Products and Components Agreement ejected by exchange of notes Signed at Washington December 24, 1974 and June 11, 1975;
Entered into force June 11, 1975.
The Secretary of State to the Australian Charge d'Affaires ad interim DECEMBER 24, 1974 I refer to conversations which have taken place between representatives of the Government of the United States of America and the Government of Australia relating to the reciprocal acceptance of airworthiness certifications, in the course of which discussions were held regarding appropriate actions necessary to work towards common safety objectives and to establish standards which will be as similar as practicable. It is my understanding that the two Governments have reached an agreement as set out below. It is also my understanding that this agreement does not relate to noise abatement or anti-pollution requirements.
1. This Agreement applies to civil aeronautical products (hereinafter referred to as products") and certain components referred to in paragraph 3 of this Agreement when 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 produced 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 exporting State certifies that a product produced in that State complies either with its applicable laws. regulations and requirements as well as any additional requirements which may have been prescribed by the importing State under paragraph 4 of this Agreement. or with the appicable laws.
regulations and requirements of the importing State, as notined by the importing State as being applicable in the particular case. the importing State shall give the same validity to the certification as if the certification had been made by its own competent authority in accordance with its own applicable laws, regulations and requirements.
61-185 0-75 TIAS 8126 Page 2
Appendix 1
(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 airworthiness certifications, if the competent nuthority 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 importing State and certifies that the product is in a proper state of airworthiness, the importing State shall give the same validity to such certification as if the certification had been made by its own competent nuthority in accordance with its applicable laws, regulations and requirements.
(c) In the case of a product being exported by one Contracting State to the Contracting State where the product was originally produced, 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 airworthiness, 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 for export and 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 that the component conforms to the applicable design data, meets the applicable test requirements and has been produced in accordance with the applicable quality control requirements. which have been notified by the importing State to the exporting State, the importing State shall give the same validity to the certification 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 manufacturer in the exporting State pursuant to an agreement between that manufacturer and the product manufacturer in the importing State. Furthermore, it shall only apply in thosc instances 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 assembled with the product.
4. The competent authority of the importing State shall have the right to rescribe any additional requirements which the importing State finds necessary to ensure that the product meets a level of safety equivalent to that provided by its applicable laws, regulations and requirements which would be effective for a similar product produced in the importing State. These additional requirements may include any special conditions which the importing State considers necessary for safety because of novel or unusual design features of the particular TIAS 8126 Page 3
Appendix 1 product. The competent authority of the importing State shall promptly advise the competent authority of the exporting State of any such additional 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 determining whether major design changes and major repairs made under the control of the competent authority of the importing State comply with the laws, regulations and requirements under which the product was originally certificated or approved.
7. The competent nuthority of each Contracting State shall keep the competent authority of the other Contracting State currently informed of all relevant laws. regulations and requirements in its State.
8. In the case of conflicting interpretations of the laws. regulations or requirements pertaining to certifications or approvals under this Agreement, the interpretation of the competent authority of the Contracting State whose law, regulation or requirement is being interpreted shall prevail.
9. For the purposes of this Agreement:
(a) "Product" means an aircraft, engine, propeller or appliance;
(b) "Aircraft" means a civil aircraft of any category, whether used in public transportation or for other purposes, and includes replacement and modication parts therefor;
(c) "Engine" means an engine intended for use in an aircraft as defined in (b) and includes replacement and modification parts
(d) "Propeller" means a propeller intended for use on an aircraft as defined in (b) and includes replacement and modification parts
(e) "Appliance" means an instrument, equipment, mechanism, apparatus or accessory used or intended to be used in operating an aircraft, which is installed in, intended to be installed in, attached to.
or intended to be attached to an aircraft as defined in (b), but is not part of an airframe, engine or propeller, and includes replacement and modification 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 craft, engine, propeller or appliance;
(g) "Produced in one Contracting State" means that the product or component as a whole is fabricated in the exporting State, even though portions thereof may have been fabricated in another State;
(h) *Applicable laws, regulations and requirements" means:
(i) Those airworthiness laws, regulations and requirements TIAS 8126 Page 4
Appendix 1 which are effective on the date on which application is made for certification of the product in the importing State; or
(11) for a product of a type currently in production, those airworthiness requirements which were required to be used for the certification 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 product in the exporting State. together with such other airworthiness requirements as the competent authority of the importing State considers necessary to establish a level of safety equivalent to that required for similar products produced in the importing State and were notified to the exporting State prior to the date of application for
(iii) for a product of a type no longer in production, such airworthiness 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 perform 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 necessary to implement this Agreement, and to ensure that redundant certification, testing and analysis are avoided.
11. Each Contracting State shall keep the other Contracting State advised as to the identity of is competent authority.
12. Either Contracting State may terminate this Agreement at the expiration of not less than 180 days after giving written notice of that intention to the other State.
13. This Agreement shall terminate and replace the Agreement between our two Governments for the reciprocal acceptance of certificates of airworthiness, effected by Exchange of Notes at Washington on Vovember 20, 1959. 1] If the foregoing is acceptable to your Government, I propose that.
this note together with your confirmatory reply to that effect should constitute an agreement between our two Governments to enter into force on the date of vour reply.
Accept. Sir, the renewed assurances of my high consideration.
For the Secretary of State:
RAYMOND J WALDMANN The Honorable G. N. UPTON, Charge d' Affaires ad interim of Australia.
' TIAS 4358; 10 UST 1915.
TIAS 8126 Page 5 (and 6)