Subject: AIRWORTHINESS
CERTIFICATION OF CIVIL AIRCRAFT,
ENGINES, PROPELLERS, AND RELATED
PRODUCTS IMPORTED TO THE UNITED STATES 11/17/2004 AIR-40
21-23B
1. PURPOSE. This advisory circular (AC) provides information on the Federal Aviation Administration's (FAA) objectives, regulations, and general practices for United States of America (U.S.) airworthiness certification or acceptance of civil aeronautical products imported to the U.S. It has been updated to reflect the latest Bilateral Aviation Safety Agreement Implementation Procedures for Airworthiness.
2. CANCELLATION. Advisory Circular 21-23A, Airworthiness Certification of Civil Aircraft, Engines, Propellers, and Related Products Imported to the United States, dated October 20, 2000, is canceled.
3. RELATED REGULATIONS AND ADVISORY MATERIAL
a. Title 49, United States Code (Title 49, U.S.C.), Subtitle I, Department of Transportation, and Subtitle VII, Aviation Programs.
b. Title 14, Code of Federal Regulations (14 CFR), part 21, Certification Procedures for Products and Parts.
c. FAA Advisory Circulars (AC) inform the aviation public of nonregulatory material of interest. The latest revision of the following AC’s provide detailed guidance and information to applicants for design approval of imported products:
(1) AC 00-2.15, Advisory Circular Checklist and Status of Other FAA Publications;
(2) AC 00-44, Status of Federal Aviation Regulations;
(3) AC 20-62, Eligibility, Quality, and Identification of Aeronautical Replacement Parts;
(4) AC 20-110, Index of Aviation Technical Standard Orders;
(5) AC 21-12, Application for U.S. Airworthiness Certificate, FAA Form 8130-6;
(6) AC 21.17-1, Type Certification – Airships;
(7) AC 21.17-2, Type Certification – Fixed Wing Gliders (Sailplanes) Including Powered Gliders;
(8) AC 21.17-3, Type Certification of Very Light Airplanes under FAR 21.17(b);
(9) AC 21-20, Supplier Surveillance Procedures;
(10) AC 21-24, Extending a Production Certificate to a Facility Located in a Bilateral Airworthiness Agreement Country;
(11) AC 21-27, Production Certification Multinational/Multicorporate Consortia;
(12) AC 21-28, Airworthiness Certification of U.S. Produced Aircraft and Engine Kits Assembled Outside the United States;
(13) AC 21-29, Detecting and Reporting Suspected Unapproved Parts;
(14) AC 21-37, Primary Category Aircraft; and
(15) AC 45-2, Identification and Registration Marks.
AC 00-2.15, Advisory Circular Checklist and Status of Other FAA Publications, provides ordering information for all ACs. AC 00-2.15 and other free AC’s may be ordered from:
U.S. Department of Transportation Subsequent Distribution Office Ardmore East Business Center 3341 Q 75th Avenue Landover, MD 20785
Requests for copies can be faxed to 301/386-5394. AC 00-2.15 is also available via the Internet t: a http://www.airweb.faa.gov/Regulatory_and_Guidance_Library
d. FAA Orders prescribe the responsibilities and procedures for FAA personnel. The latest revision of the following Orders provide detailed guidance and information to applicants for design and production approval:
(1) Order WA 0000.5, Washington Headquarters Directives Checklist;
(2) Order 8110.4, Type Certification Process;
(3) Order 8100.5, Aircraft Certification Directorate Procedures;
(4) Order 8100.7, Aircraft Systems Evaluation Program;
ii
(5) Order 8100.14, Interim Procedures for Working with the European Community on Airworthiness Certification and Continued Airworthiness
(6) Order 8110.10, FAA Approvals of Major Modifications/Alterations;
(7) Order 8110.42, Parts Manufacturer Approval Procedures;
(8) Order 8120.2, Production Approval and Certificate Management Procedures;
(9) Order 8120.10, Suspected Unapproved Parts Program;
(10) Order 8130.2, Airworthiness Certification of Aircraft and Related Products;
(11) Order 8130.20, Registration Requirements for the Airworthiness Certification of U.S.
Civil Aircraft;
(12) Order 8130.21, Procedures for Completion and Use of FAA Form 8130-3, Airworthiness Approval Tag;
(13) Order 8130.27, Certification and Operation of Aircraft under the Experimental Purpose(s) of Research and Development;
(14) Order 8150.1, Technical Standard Order Procedures; and
(15) Order 8300.10, Airworthiness Inspectors Handbook.
Consult AC 00-2.15 to obtain ordering information for these publications.
4. DEFINITIONS
a. Airworthiness Directives (AD) are substantive regulations issued by the FAA in accordance with 14 CFR part 39. An AD is issued when (1) an unsafe condition has been found to exist in a particular aircraft, aircraft engine, propeller, or appliance, and (2) that condition is likely to exist or develop in other aircraft, aircraft engines, propellers, or appliances of the same type design. Once an AD is issued, no person may operate a product to which the AD applies except in accordance with the requirement of that AD.
b. Appliance is any instrument, mechanism, equipment, part, apparatus, appurtenance, or accessory, including communications equipment, that is used or intended to be used in operating or controlling an aircraft in flight, is installed in or attached to the aircraft, and is not part of an airframe, aircraft engine, or propeller.
c. Bilateral Airworthiness Agreement (BAA) means a government-to-government executive agreement between the U.S. and the government of another country (contracting State) to facilitate the airworthiness approval or acceptance of civil aeronautical products exported from one contracting State to the other. BAA’s are not trade agreements; rather, they iii
are technical cooperation agreements, intended to provide a framework for the airworthiness authority of the importing State to give maximum practicable credit to airworthiness certification functions performed by the airworthiness authority of the exporting State using its own domestic certification system.
d. Bilateral Aviation Safety Agreement (BASA) means a government-to-government agreement, consisting of one Executive Agreement and one or more Implementation Procedures, to facilitate the recognition of procedures for the reciprocal acceptance of:
(1) Airworthiness approvals of civil aeronautical products;
(2) Environmental approval and environmental testing;
(3) Approval and monitoring of maintenance facilities and alteration or modification facilities;
(4) Approval and monitoring of maintenance personnel;
(5) Approval and monitoring of crews;
(6) Approval and monitoring of flight operations;
(7) Flight simulator qualification evaluations; and
(8) Approval and monitoring of aviation training establishments.
These agreements are replacing BAA’s.
e. Civil Aeronautical Product (herein also referred to as “product”) means any civil aircraft, aircraft engine, or propeller or subassembly, appliance, material, part, or component to be installed thereon.
f. Environmental Standards means the regulations governing the certification of designs with regard to noise characteristics, fuel venting, and exhaust emissions of civil aeronautical products.
g. Implementation Procedures for Airworthiness (IPA) means the procedural document authorized by the BASA Executive Agreement for design approval, production activities, export airworthiness approvals, post-design approval activities and technical assistance between authorities. This document defines the civil aeronautical products and parts eligible for import into the U.S. and the counterpart BASA signatory country. It defines the interface requirements and activities between the authorities for the import and continued support of those civil aeronautical products.
h. Imported to the U.S., as used within the context of this AC, means, for aircraft, a foreign manufactured aircraft intended to be placed on the U.S. registry. For all other foreign iv
manufactured products, means intended for installation on a U.S.-registered aircraft even though the aircraft in either case is not operated in the U.S. (Guidance on special airworthiness certification is found in other FAA advisory materials.)
i. Maintenance Implementation Procedures means the procedural document authorized by the BASA Executive Agreement related to the performance of maintenance, alterations and modifications on civil aeronautical products. This document defines the process for reciprocal acceptance of each authority's recommendations for the certification, renewal, and acceptance of eligible repair stations and maintenance organizations.
j. New
( 1) For an aircraft, means an aircraft that is still owned by the manufacturer, distributor, or dealer, if there is no intervening private owner or lease or time-sharing arrangement, and the aircraft has not been used in any pilot school and/or commercial operation.
(2) For an aircraft engine or propeller, means an aircraft engine or propeller that is still owned by the manufacturer, distributor, or dealer; and has never been installed on an aircraft, has no time in service other than testing by the manufacturer, and meets all technical requirements for a new product.
k. Rebuilt Product means a product that uses new or used parts that conform to new part tolerances and limits or to approved oversized or undersized dimensions that has undergone the following by the original manufacturer:
( 1) Has been disassembled, cleaned, inspected, repaired as necessary, and reassembled to the extent possible; and
( 2) Has been tested to the same tolerances and limits as a new product.
l. Schedule of Implementation Procedures (SIP) means the procedural document, similar to an IPA that is associated with some BAA’s. It facilitates the approval process for aircraft and other aeronautical products being imported or exported between the U.S. and a foreign country.
m. Used means an aircraft, engine, or propeller that is not new, as defined in paragraph (j) above.
5. ABBREVIATIONS
a. ACO : FAA Aircraft Certification Office
b. AEG : Aircraft Evaluation Group
c. ATC : Additional Technical Condition
d. BAA : Bilateral Airworthiness Agreement
v
e. BASA : Bilateral Aviation Safety Agreement
f. CAA : Civil Aviation Authority
g. CFR : U.S. Code of Federal Regulations
h. FAA : Federal Aviation Administration, U.S.A.
i. ICAO : International Civil Aviation Organization
h. ICAW : Instructions for Continued Airworthiness
i. IP : Implementation Procedures (BASA)
j. IPA : Implementation Procedures for Airworthiness
k. JAA : Joint Aviation Authorities
n. MIP: Maintenance Implementation Procedures
l. MMEL : Master Minimum Equipment List
p. PC : Production Certificate
q. SFAR : Special Federal Aviation Regulation
q. SIP : Schedule of Implementation Procedures
r. STC : Supplemental Type Certificate
t TC : Type Certificate
s. TSO : Technical Standard Order
v. TSOA : Technical Standard Order Authorization
w. USC: United States Code
6. GENERAL
a. The FAA does not issue standard airworthiness certificates, nor grant airworthiness approvals, for aeronautical products manufactured in a country with which the U.S. does not have a BAA or a BASA with IPA for the kinds of products concerned. The FAA must issue a type certificate prior to the issuance of an FAA standard airworthiness certificate.
b. Information provided in this AC is intended to offer guidance for the most common situations encountered in the design approval process leading to FAA type certification or vi
issuance of letter of TSO design approval, and to FAA airworthiness certification or approval of civil aeronautical products to be imported to the U.S. Procedures and practices dealing with unique situations should be cleared in advance with the Aircraft Certification Service, FAA Headquarters, Washington, D.C.
c. Suggestions or comments for future revision of this AC should be addressed to the Director, Aircraft Certification Service, Federal Aviation Administration, 800 Independence Avenue, SW., Washington, D.C. 20591.
John Hickey Director, Aircraft Certification Service vii (and viii)
CONTENTS
Paragraph Page
CHAPTER 1. INTRODUCTION
1-1. GENERAL 1
1-2. AIRCRAFT CERTIFICATION SERVICE’S INTERNATIONAL VISION AND MISSION 1
1-3. FAA AIRCRAFT CERTIFICATION SERVICE ORGANIZATION 1
1-4. BILATERAL AGREEMENTS 3
1-5. HOW BILATERAL AGREEMENTS WORK 7
1-6. TECHNICAL ASSISTANCE AND COOPERATION BETWEEN AUTHORITIES 7
1-7. AIRWORTHINESS SAFETY OBJECTIVES AND FUNCTIONS 8
CHAPTER 2. PRODUCT DESIGN APPROVAL PROCEDURES
2-1. GENERAL 9
2-2. AIRCRAFT, AIRCRAFT ENGINES, PROPELLERS 10
2-3. TYPE CERTIFICATION PROCEDURES 11
2-4. TC AMENDMENTS AND STC’S 22
2-5. ACTIONS TO TRANSFER, SURRENDER, OR REVOKE AN FAA TYPE CERTIFICATE 23
2-6. DESIGN APPROVAL PROCEDURES FOR APPLIANCES -- FAA LETTER OF TSO DESIGN APPROVAL 24
2-7. LETTER OF PARTS DESIGN APPROVAL [RESERVED] 25
FIGURE 2-1. EXAMPLES OF TECHNICAL DATA, BY PRODUCT, NORMALLY
REQUESTED BY THE FAA FOR TYPE CERTIFICATION 26
FIGURE 2-2. EXAMPLES OF TECHNICAL DATA NORMALLY REQUIRED BY THE FAA FOR SUPPLEMENTAL TYPE CERTIFICATION 27
CHAPTER 3. AIRWORTHINESS APPROVAL OF IMPORTED PRODUCTS
3-1. GENERAL 29
3-2. AIRCRAFT 31
3-3. AIRCRAFT ENGINES, PROPELLERS, MATERIALS, PARTS AND APPLIANCES (RELATED PRODUCTS) 35
3-4. REBUILT PRODUCTS 37
3-5. SPECIAL MAINTENANCE RECORDS CONSIDERATION 37
3-6.-3-9. [RESERVED] 37 ix
Paragraph Page
CHAPTER 4. PRODUCTION APPROVALS
4-1. GENERAL 39
4-2. MANUFACTURING LIMITATIONS RELATED TO A BILATERAL AGREEMENT 39
4-3. EXTENSIONS OF FAA PRODUCTION APPROVALS TO COUNTRIES OUTSIDE THE U.S. 39
4-4. PRODUCTION UNDER LICENSE TO A U.S. APPROVAL HOLDER 40
4-5. CAA SURVEILLANCE ASSISTANCE ON BEHALF OF THE FAA 40
CHAPTER 5. CONTINUED AIRWORTHINESS
5-1. GENERAL 41
5-2. CONTINUED AIRWORTHINESS DOCUMENTS 41
5-3. NOTIFICATION OF UNSAFE CONDITION AND MANDATORY CONTINUING AIRWORTHINESS ACTIONS 42
5-4. DESIGN CHANGES 43
5-5. APPROVAL OF DESIGN DATA USED TO SUPPORT REPAIRS 43
APPENDIX 1. AIRCRAFT CERTIFICATION SERVICE ORGANIZATIONAL CHART (1 page)
APPENDIX 2. ACCOUNTABLE FAA DIRECTORATES (2 pages)
APPENDIX 3. BILATERAL AGREEMENTS RELATED TO AIRWORTHINESS (4 pages)
APPENDIX 4. SUMMARY OF PRODUCTS ELIGIBLE FOR U.S. IMPORT UNDER BILATERAL AGREEMENTS (6 pages) x
CHAPTER 1. INTRODUCTION
1-1. GENERAL. Aircraft airworthiness certification in the U.S. is a public safety function performed by the FAA with the purpose of ensuring the safety and environmental acceptability of U.S.-registered civil aircraft operating in air commerce. A U.S. statute--49, U.S.C. 106(g)--sets forth the duties and powers of the FAA Administrator in the safety regulation of civil aeronautics, including airworthiness certification of civil aeronautical products.
a. Title 49 U.S.C. 44701(a) charges the FAA Administrator with prescribing and revising minimum standards required in the interest of safety for appliances and for the design, material, construction, quality of work, and performance of aircraft, aircraft engines, and propellers. The U.S. airworthiness standards set forth by the FAA within 14 CFR, subchapter C are promulgated to implement this statute.
b. Title 49 U.S.C. 44711(a)(1) makes it unlawful for any person to operate in air commerce any U.S. registered civil aircraft for which there is not an airworthiness certificate currently in effect, or in violation of the terms of that airworthiness certificate.
c. Title 49 U.S.C. 44704 specifies and defines the FAA Administrator’s role in establishing requirements and issuing Type Certificates, Supplemental Type Certificates, Production Certificates, and Airworthiness Certificates. Additional information about these certificates can be found in Chapters 2, 3, and 4 of this Advisory Circular (AC).
1-2. AIRCRAFT CERTIFICATION SERVICE’S INTERNATIONAL VISION AND MISSION The Aircraft Certification Service’s International Vision is that of a global network of airworthiness authorities working cooperatively to promote the highest level of public confidence in the safety of the international air transportation system with the lowest practicable regulatory burden to that system. Its mission is working in partnership with the global aviation community to continuously improve the safety of the international air transportation system and achieve international harmonization of aircraft certification standards, practices, and procedures. Bilateral agreements facilitate cooperation between the FAA and its partner aviation authorities, and minimize duplicative certification activities related to the import and export of aeronautical products.
1-3. FAA AIRCRAFT CERTIFICATION SERVICE ORGANIZATION
a. The FAA Aircraft Certification Service organizational structure is shown in appendix 1.
b. Four Aircraft Certification Directorates have been established to develop and ensure standard application of technical policies in the type certification of particular 1
kinds of products. These directorates and assigned product responsibilities are as follows:
(1) Small Airplane Directorate (ACE-100) in Kansas City, Missouri, responsible for regulations and policy pertaining to: a) normal, utility, and acrobatic category airplanes weighing 12,500 lbs. or less and having seating configurations, excluding pilot seats, of 9 seats or fewer, b) commuter category, (propeller driven, multiengine) airplanes weighing 19,000 lbs. or less, with seating configurations, excluding pilot seats, of 19 seats or fewer; c) manned free balloons, and d) special classes of small aircraft, including gliders, primary category airplanes, and airships (14 CFR parts 23 and 31).
(2) Transport Airplane Directorate (ANM-100) in Renton, Washington, responsible for regulations and policy pertaining to all transport category airplanes (14 CFR part 25).
(3) Rotorcraft Directorate (ASW-100) in Fort Worth, Texas, responsible for regulations and policy for normal and transport category rotorcraft (14 CFR parts 27 and
29).
(4) Engine and Propeller Directorate (ANE-100) in Burlington, Massachusetts, responsible for regulations and policy for all aircraft engines, propellers, and auxiliary power units (14 CFR parts 33 and 35).
The addresses of these Directorates are provided in Appendix 2. Aircraft certification tasks within a particular geographic area are normally handled by an Aircraft Certification Office (ACO) that reports to one of the Aircraft Certification Directorates.
c. The Aircraft Engineering Division (AIR-100) and the Production and Airworthiness Certification Division (AIR-200) in Washington, DC, develop and oversee standard application of general type, production, airworthiness certification, and continued airworthiness policies (e.g., 14 CFR parts 21, 39, and certain provisions of
183), including those related to implementation of Bilateral Airworthiness Agreements and the airworthiness provisions of Bilateral Aviation Safety Agreements. The Aircraft Engineering Division (AIR-100) also develops and oversees standard application of technical policies concerning the approval of appliances covered by a Technical Standard Order (TSO).
d. The International Policy Office (AIR-40) in Washington, DC, is responsible for policy guidance on Bilateral Airworthiness Agreements (BAA), Bilateral Aviation Safety Agreements (BASA), and other international airworthiness issues, programs, and procedures. A single staff member, APC-100, is located in Singapore and performs functions similar to those of the Brussels branch. The Brussels Aircraft Certification International Policy Branch (AEU-100) located in Brussels, Belgium, provides support in Europe, Africa and the Middle East, to the Directorates and Divisions, the Flight 2
Standards Service, foreign civil airworthiness authorities, and U.S. and foreign manufacturers.
e. In addition to the organizations within the FAA’s Aircraft Certification Service (AIR), four other FAA offices provide support for AIR’s certification responsibilities.
(1) The Office of Environment and Energy (AEE) develops, recommends, and promulgates regulations establishing standards for aircraft noise, and regulations for fuel venting and exhaust emissions for turbine engine powered airplanes.
(2) The Flight Standards Service (AFS) through its Aircraft Evaluation Groups (AEG), evaluates operational and maintenance issues for new designs and inservice products. These AEG, located at the Aircraft Certification Directorates, integrate their activities with those of the Directorates during the type certification process.
(3) The Office of International Aviation (AIA), through its five International Area Offices, provides liaison between the FAA and foreign governments.
(4) The Office of the Chief Counsel (AGC) reviews all agreements between the FAA and other authorities and provides interpretations of all regulations and procedures.
1-4. BILATERAL AGREEMENTS
a. Purpose. Bilateral agreements are cooperative agreements between the U.S.
and the government of a foreign country for their mutual benefit. The FAA’s Aircraft Certification Service has responsibility under two kinds of bilateral agreements-- Bilateral Airworthiness Agreements and Bilateral Aviation Safety Agreements with Implementation Procedures for Airworthiness. Both agreements are based on a high degree of mutual confidence in the technical competence and regulatory capability of the aviation authority of the exporting country for performing aircraft certification functions within the scope of the agreement.
b. Bilateral Airworthiness Agreement
(1) A Bilateral Airworthiness Agreement (BAA) is an executive agreement between the U.S. and a foreign country that has a competent civil airworthiness authority and an aeronautical product manufacturing industry. A BAA is not a trade agreement. Instead, it is a technical agreement concerning the performance of airworthiness certification functions. BAA’s vary in scope, but all provide that "... the importing State shall give the same validity to the certification made by (the competent aeronautical authority of the exporting State) as if the certification had been made by its (the importing country's) own competent aeronautical authority in accordance with its own applicable laws, regulations, and requirements." One condition common to all of these agreements permits the importing State to prescribe additional technical 3