(3) If the application is for a product in a category not previously certificated by the exporting CAA, or the product is of a level of complexity that has not been previously certificated by the exporting CAA, the exporting CAA should notify the FAA of that fact. This notification should be made as soon as the exporting CAA becomes aware of this type of pending application, so that the FAA may plan the scope of its validation program.
d. FAA Technical Involvement. In accordance with the bilateral agreement, the FAA's technical involvement in the design approval (particularly, the issuance of type certificate and type certificate amendments) is intended to accomplish the following functions:
(1) To provide for FAA familiarity with the general design, performance, and operational characteristics of the product for which U.S. type certification or design approval is sought, for the purpose of establishing the U.S. certification basis to the extent necessary, and for FAA to meet its post-certification responsibilities after the product enters service on the U.S. registry;
(2) To establish the U.S. type certification basis and the means of compliance for the product under application by determining the U.S. airworthiness and environmental standards that would be applied to a similar product if it were to be produced in the U.S.;
(3) To understand the airworthiness certification system (including the airworthiness and environmental standards, policies, and certification practices) applied by the exporting authority in their domestic certification of the product. This will include an understanding of the level of exporting CAA involvement with prototype conformity inspections, tests, and flight programs;
(4) To compare the airworthiness and environmental standards, policies, and practices applied by the exporting authority in their domestic certification with the U.S. type certification basis or design requirements and certification policies and practices;
(5) To define and explain any additional technical conditions that should be met for FAA certification to provide for equivalency with the applicable U.S.
airworthiness and environmental standards;
(6) To maintain sufficient liaison and technical dialogue with the exporting authority to ensure that technical questions and issues which might affect U.S.
certification of the product are identified and resolved between the FAA and the exporting authority as early as possible; and
(7) To provide for effective management of the certification project and for the most cost-effective utilization of FAA's resources on the project.
e. FAA Project Management. The FAA Directorate, upon receipt of an application for a type certificate will establish where project management responsibility will reside. The FAA will give high priority to the establishment of the project management office and notification to the exporting authority. The FAA will notify the exporting CAA of the Project Manager.
f. Communications. An applicant for an FAA type certificate may request technical meetings or may correspond directly with the FAA to discuss and resolve technical issues that may arise in the certification program. However, because the FAA relies heavily on the exporting CAA's understanding of FAA's position on such issues, it is imperative that the exporting CAA is included in any such meetings or correspondence. The FAA will normally seek the exporting CAA's opinions before significant issues are resolved and may decline to meet with the applicant to discuss and resolve technical issues unless the exporting CAA is adequately represented at the meeting. Similarly, correspondence will usually be answered through, coordinated with, or copied to the exporting CAA.
g. Familiarization Briefing.
(1) The FAA will notify the exporting CAA prior to each familiarization meeting. As part of this notification, the FAA will identify special requirements and issues related to the specific aeronautical product that must be addressed by the exporting CAA and the foreign applicant. The exporting CAA should acknowledge FAA’s notification and advise FAA whether it is able to support an FAA validation team during the requested period.
(2) The exporting CAA should arrange a familiarization meeting with the FAA, the exporting CAA, and the applicant to discuss the product design, including all novel or unusual features of the product, the validation process, and the approved or proposed domestic exporting CAA certification basis. The meeting should also identify any operational safety issues associated with the product. For products with a prior service history, but not previously type certificated by the FAA, the applicant and the exporting CAA should plan to brief the FAA on the product's service history, including corrective measures taken to preclude reoccurrence of incidents or accidents.
(3) The meeting should be held at a location mutually agreeable to the exporting CAA, the FAA, and the applicant.
(4) At this meeting the FAA will work to establish the U.S. type certification basis and the means of compliance for the product under application by determining the U.S. airworthiness and environmental standards that would be applied to a similar product if it were to be produced in the U.S. The extent to which these activities are accomplished at the meeting will depend on the FAA’s familiarity with the product and applicant, the applicant’s familiarity with the FAA’s process and, in general, the overall preparedness of all parties.
(5) The composition of the Project Certification Team should be addressed at the familiarization meeting. The composition of the team should include specialist representation that reflects the technology level of the certification project. The FAA and the exporting CAA will mutually agree on a plan to ensure adequate compliance finding capability.
(6) For engines, propellers, and less complex aircraft projects, technical familiarization may be streamlined if agreed by both authorities.
h. Additional Technical Meetings
(1) In addition to the initial familiarization meeting, other technical meetings may be necessary to ensure that any additional technical conditions that have been communicated to the exporting CAA are well understood, and that any outstanding technical issues are resolved. These meetings should be held as early as possible in the certification process in order to avoid last minute design changes. All technical meetings will normally be arranged through the exporting CAA and will normally have both authorities’ representatives in attendance.
(2) Early in the program, based on the known design and information presented in the familiarization and technical meetings, the FAA will identify the areas in which further activity will be required (e.g. required data, reports, tests and test witnessing, areas of concern or special emphasis). The FAA’s anticipated level of activity will be documented in writing. This agreement may be revised if the initial design definition is incomplete or subsequent design changes are made.
(3) During the type certification program the FAA may request additional technical design data, may review the product, and may fly the product for familiarization purposes. In addition, the FAA may request data or briefings on the design to advise the exporting CAA on acceptable means of compliance with the U.S.
type certification basis.
i. Establishment of the U.S. Type Certification Basis
(1) New type certificates. The FAA certification basis is established for the product in accordance with 14 CFR part 21. The certification basis includes the applicable airworthiness standards, found in 14 CFR parts 23, 25, 27, 29, 31, 33, and 35, and environmental standards, found in 14 CFR parts 34 and 36. The date of application to the FAA determines the U.S. type certification basis, unless otherwise provided in the applicable bilateral agreement. The applicable bilateral agreement should be consulted before establishing FAA’s certification basis.
(a) In certifying that an applicant’s design meets the requirements for a U.S. TC, the exporting CAA may find compliance with the:
(i) Applicable U.S. airworthiness standards in effect on the date of application for the U.S. TC and environmental standards in effect on the date of U.S.
type certification; or
(ii) The exporting CAA’s domestic airworthiness and environmental standards and all other airworthiness requirements the FAA may prescribe to provide a level of safety equivalent to the U.S. airworthiness standards in effect on the date of application for U.S. type certification, and environmental requirements the FAA may prescribe to provide noise, fuel venting, and exhaust emission levels that are no greater than those provided by the U.S. environmental standards in effect on the date of U.S. type certification.
(b) If the foreign type certification basis precedes the FAA certification basis, the exporting CAA must consider the U.S. regulatory changes that have occurred since the date of application for the exporting CAA’s TC. In general, the FAA may require the applicant to comply with additional technical conditions in the interests of safety. These additional technical conditions identify important applicable regulatory differences between the requirements and regulations of the exporting CAA and those of the FAA. Such differences include those that have significant impact on airworthiness, design, operational limitations, and operating characteristics, and those that have significant differences in means of compliance. Additional technical conditions may include policies, special conditions, and mandatory airworthiness actions taken to correct unsafe conditions.
(2) Additional requirements/special conditions. The FAA will also review all novel and unusual design features for development of special conditions, if any. FAA special conditions are an integral part of the U.S. type certification basis.
(a) The FAA issues special conditions under 14 CFR 21.16 and 21.101 if the FAA finds that the applicable U.S. airworthiness standards do not contain adequate or appropriate safety standards for an aircraft, aircraft engine, or propeller because of a novel or unusual design feature of the product. FAA special conditions are issued through the public rulemaking procedures of 14 CFR part 11 and contain such safety standards for the particular product as the FAA finds necessary to establish a level of safety equivalent to that established in the applicable FAA airworthiness standards. FAA special conditions issued for products exported to the U.S. are the same as would be issued for a similar product produced in the U.S.
(b) The FAA will work closely with the exporting CAA in the development of special conditions and processing of exemptions in order to provide the opportunity for the exporting CAA to coordinate, and the applicant to comment on the proposed special conditions. Such coordination will allow the FAA to benefit from the technical expertise of the exporting CAA and allow the exporting CAA to better understand how to make a finding of compliance, if so requested by the FAA.
(3) Environmental (Type) Certification Basis. The regulatory basis for compliance with 14 CFR parts 34 and 36 is the effective amendment on the date of FAA certification. An applicant for a TC, amended TC, or STC should show that the product 18
meets applicable airworthiness standards, special conditions, fuel venting and exhaust emission standards of 14 CFR part 34, and the noise standards of 14 CFR part 36.
(4) Development of Additional Technical Conditions (ATC). The FAA finding that the product meets the U.S. type certification basis will rely, to a great extent, on the exporting CAA’s certification of compliance to FAA requirements. If the exporting CAA elects to certify compliance with its own national standards and additional FAA technical conditions, this choice should be established by the exporting CAA early in the project so that the necessary comparisons of national standards can be completed and the additional FAA technical conditions can be established. The diagram below illustrates how the U.S. type certification basis can be determined:
Applicant’s National Standards + FAA Additional Technical Conditions equals U.S. Type Certification Basis
or
U.S. Standards U.S. Type Certification Basis equals
(a) If the findings of compliance are to the applicable U.S. standards, the FAA will not develop any ATC’s.
(b) If the findings of compliance are to the exporting CAA’s standards, the FAA may specify ATC’s as a condition for FAA approval of the type design. These ATC’s will account for:
(i) Differences in the basic airworthiness and environmental standards of the U.S. and the exporting state;
(ii) Noncompliance with the exporting CAA’s airworthiness or environmental standards because of exemptions or equivalent safety findings granted by the exporting CAA for its own domestic certification (provided there is a similar U.S.
requirement);
(iii) Special conditions issued by the FAA under 14 CFR 21.16 or
21.101 because of a novel or unusual design feature of the product that are not required in an equivalent manner by the exporting CAA’s airworthiness standards;
(iv) Mandatory airworthiness actions (i.e., AD’s) directed by the exporting CAA to correct unsafe conditions experienced during operation prior to application for FAA approval; and 19
(v) Optional conditions identified by the FAA to assist any eventual U.S. operator to comply with current U.S. operational or maintenance requirements.
(5) Changes to type certificates. The FAA certification basis for a change to a product is established in accordance with 14 CFR part 21.
(6) Application period. 14 CFR 21.17(c) specifies an application for type certification of a transport category aircraft is effective for 5 years and an application for any other type certificate is effective for 3 years. After that time period, compliance with later requirements may be necessary. In the case of certification of an imported product, these time periods may not be applicable if other provisions are included in a specific bilateral agreement. For example, where the imported product was certificated by the exporting CAA several years earlier, the certification basis may essentially be frozen at the original date of application in the exporting State if a bilateral agreement provides for this.
(7) Project Updating. Throughout the course of the project, the FAA will rely on the exporting CAA to advise them of the following developments:
(a) Novel or unusual design features that become apparent during design development that could necessitate: amendment of the U.S. type certification basis, the issuance of special conditions, or special discussions with the FAA on acceptable means of compliance;
(b) Previously specified changes to the exporting CAA’s certification basis, to include exemptions, etc., that could alter the FAA’s additional requirements or special conditions; and
(c) The need for FAA equivalent safety findings or exemptions from the U.S. type certification basis that may become apparent and are considered justified by the exporting CAA during design development.
j. Data Submittal & Design Review
(1) Technical data varies with the type and complexity of the product.
Consequently, the project management office may request additional data to establish the U.S. type certification basis and to become familiar with unique design features or manufacturing processes. The items listed in Figure 2-1 are examples of the technical data normally requested.
(2) The applicant should submit data to the exporting CAA for verification and transmittal to the FAA.
k. Issue Papers. An issue paper provides a means for the identification and resolution of significant technical, regulatory, and administrative issues that occur during 20
the certification process. The FAA will coordinate all issue papers and changes to issue papers with the exporting CAA. Such coordination will expedite the timely and mutually acceptable resolution of certification issues.
l. Environmental Approval
(1) Environmental Testing and Approval Procedures. The FAA is authorized to make findings of compliance to 14 CFR parts 34 and 36 based on FAA- witnessed tests conducted in accordance with FAA-approved test plans, and on FAA review and approval of all data and compliance demonstration reports submitted via the exporting CAA.
(2) Environmental Testing and Approval Process. The typical process for environmental testing and approvals should consist of the following actions:
(a) The applicant should submit environmental (noise, fuel venting, and exhaust emissions) compliance demonstration plans to the FAA for review, comment, and subsequent approval prior to undertaking U.S. environmental certification testing.
(b) The FAA, before issuing an original type certificate for an aircraft of any category, will assess the extent of noise abatement technology incorporated into the type design and determine whether additional noise reduction is achievable. The applicant should supply information and data as soon as possible after the application for type certification in each original type certification project and reflect noise reduction potentials that become evident during the design and certification process.
(c) The FAA conducts an evaluation of the measurement and analysis methods and practices, and data correction procedures of the applicant for aircraft noise certification under 14 CFR part 36, subparts B and H.
(d) Aircraft noise test plans and engine exhaust emissions test plans to be used for demonstrating U.S. environmental certification compliance should be submitted to the FAA for review and comment, and subsequent approval not less than 90 days prior to commencing testing.
(e) Proposed equivalent procedures to be used by the applicant during testing, data processing, data reduction, and data analysis should be specifically identified to the FAA and approved in advance by the FAA as part of items l.(2)(a) and
l.(2)(d) above.
(f) FAA personnel or FAA designated engineering representatives will witness compliance demonstration tests. Prior to the start of testing it is necessary to ensure the conformity of the test article (i.e., aircraft or engine configuration) to that identified in the FAA approved compliance demonstration test plans. Witnessing these tests is not delegated to the exporting CAA, unless specific bilateral agreement provisions have been implemented regarding environmental approvals.
(g) The FAA will review and comment on compliance demonstration reports. Approval of these reports will precede type certification approval.
m. Final Certification Meeting/Issuance of the Type Certificate. Upon issuance of its domestic TC and demonstrated compliance with the U.S. Type Certification basis, the exporting CAA should forward a certifying statement to the FAA, in accordance with 14 CFR 21.29(a)(1), as well as all additional requested materials.
The FAA, upon receipt and review of the documents, will prepare the TC and TC Data Sheet and forward them to the exporting CAA for transmittal to the applicant. A final meeting will be necessary only if there are areas of further discussion or if the sharing of information would be beneficial.
n. Evaluation of U. S. Operational and Maintenance Aspects. The FAA has established Aircraft Evaluation Groups (AEGs) located at the product-accountable Directorates. The AEGs are responsible for the Operational and Maintenance aspects of the Type Certification process.
(1) The AEG will conduct boards, as appropriate, on the foreign country’s products prior to their entry into U. S. operations. These Boards will be used to review:
1) the Maintenance Review Board (MRB) Report and associated Instructions for Continued Airworthiness (ICAW) documentation; 2) operational configuration, pilot training and licensing requirements; product maintainability; and 3) the formulation and approval of a Master Minimum Equipment List (MMEL). The AEG will be invited to participate in the familiarization meeting by the FAA Project Manager and will generate issue papers as appropriate to the type design. Compliance with AEG requirements for Instructions for Continued Airworthiness is required at the time of issuance of the product’s first U.S. standard airworthiness certificate (see 14 CFR 21.50(b)).
(2) The AEG will also review and make recommendations concerning the acceptability of the Aircraft Flight Manual and maintenance manuals against U.S.
operational requirements. These AEG activities are not part of the design approval process; however, AEG staff will integrate their activities to the maximum extent practicable with the design approval activities to ease the burden on all concerned. It is in the applicant's best interest to cooperate and work with the AEG, because this will, in turn, assist U.S. operators in meeting FAA operational requirements (under 14 CFR parts 91, 121, 135, etc.).
2-4. TC AMENDMENTS AND STC’s
a. The type certificate procedures and interrelationships described above also apply to TC Amendments and STC’s (if included in a bilateral agreement). The basic design approval procedures for U.S. type certification should be used for STC’s, but the certification procedure may be adjusted as appropriate for the magnitude and complexity of the design change. Figure 2-2 lists examples of technical data normally requested for supplemental type certifications.
b. Unless specifically covered by the applicable bilateral agreement, the FAA does not issue STC’s to non-U.S. applicants located outside the country where the affected aircraft, engine, or propeller was manufactured, because of the undue burden of administering the applicable requirements.
c. When included in a BASA IPA, applications for STC’s shall be forwarded to the FAA office responsible for the original FAA type certificate/validation of the product.
Application packages should include a full description of the major change and the proposed certification basis. If the application is for validation of an STC already issued by the exporting authority, the application package should include a statement certifying that the STC complies with FAA requirements for the product. If the application is for an STC project that is concurrently being evaluated by both the FAA and the exporting authority, the certifying statement by the exporting authority may be made at the end of the project.
2-5. ACTIONS TO TRANSFER, SURRENDER, OR REVOKE AN FAA TYPE
CERTIFICATE
a. General. ICAO guidelines provide for the transfer of continued airworthiness responsibilities to the new type design holder and its CAA when a TC moves between countries. Transfer of ICAO state of design responsibilities for TC’s and STC’s to or from the United States may only be accomplished for those products within the scope of the bilateral Implementation Procedures established between the FAA and the CAA.
Further, transfer of state of design responsibilities for STC’s may only be accomplished:
1) when a bilateral agreement specifically provides for acceptance of state of design responsibilities for STC’s; 2) for major changes to products within the scope of those bilateral Implementation Procedures; and 3) when the CAA has issued a type certificate or equivalent for the product being transferred. It is the option of the importing CAA whether or not to accept ICAO state of design responsibilities. It is important for industry to understand these conditions when contemplating the international sale or purchase of a type certificate.
b. Transfer of a Foreign TC or STC to a Person in the U.S.
(1) The FAA will accept ICAO state of design responsibilities for TC and STC transfers only from countries with which the U.S. has a bilateral agreement. Upon notification of a transfer or transfer request from the CAA type certificate holder to a U.S. applicant, the CAA should notify the product-accountable Directorate to establish procedures for the efficient transfer of the ICAO state of design responsibilities for the TC or STC to the U.S. Each transfer will be accomplished on a case-by-case basis through a special arrangement which identifies each authority’s responsibilities in the transfer process.
(2) The CAA should provide support to establish that the certificated product complies with the applicable requirements of the U.S. airworthiness regulations.
The CAA should provide the FAA with a compliance statement for the TC or STC 23
certifying that the applicable requirements of the U.S. airworthiness regulations have been met.
(3) Upon transfer of ICAO state of design responsibilities or at an agreedupon date, the FAA product-accountable Directorate will become responsible for complying with the continued airworthiness requirements of ICAO, Annex 8 to the Chicago Convention, Airworthiness of Aircraft, for the affected product, and will notify all member countries of the change in state of design responsibility. Responsibilities pursuant to the Chicago Convention will not extend to products that have not been found to meet the U.S. type design.
c. Surrender, Revocation, or Suspension of TC or STC. BASA IPA’s also provide procedures in cases where a TC or an STC is surrendered, revoked, or suspended. These procedures provide for immediate written notification and assurance of continued airworthiness responsibility to support the continued operational safety of the fleet.
2-6. DESIGN APPROVAL PROCEDURES FOR APPLIANCES -- FAA LETTER OF
TSO DESIGN APPROVAL
a. The FAA will issue a letter of TSO design approval only to manufacturers located in a country with which the U.S. has concluded a bilateral agreement applicable to the appliance in question. The exporting CAA is responsible for oversight of both the design and production of such appliances.
b. An applicant for a FAA letter of TSO design approval should apply through the exporting CAA with a request that the application and required data be forwarded to the FAA. The exporting CAA should contact the FAA for information concerning the latest FAA technical policy and procedures whenever the CAA receives an application for an FAA letter of TSO design approval to a TSO performance standard for which the CAA has not previously made compliance findings.
c. The FAA issues a letter of TSO design approval only for appliances of a kind for which a minimum performance standard has been published in an FAA Technical Standard Order (TSO) after:
(1) Receipt of all required data pertaining to the proper installation, performance, operation, and maintenance of the appliance;
(2) Receipt of other specific technical data requested by the FAA pertaining to the proposed installation, performance, operation, and maintenance of the appliance;
(3) Receipt and approval of any proposed deviation; and
(4) Receipt of a certifying statement from the exporting CAA that the appliance has been examined, tested, and found to meet the applicable FAA TSO or agreed upon standards that provide an equivalent level of safety.
d. The FAA design approval of appliances for which the U.S. airworthiness standards (minimum performance standards) are established in an FAA TSO can usually be accomplished by correspondence, as long as a complete data package has been forwarded by the exporting CAA. The TSO language should be carefully reviewed to ensure that all applicable data has been generated and submitted.
e. Installation Approval. An FAA Letter of TSO Design Approval does not constitute an installation approval for the TSO appliance on an aircraft. The installer must obtain installation approval from the applicable or cognizant authority for use on an aircraft registered by that authority.
2-7. LETTER OF PARTS DESIGN APPROVAL (RESERVED)
FIGURE 2-1. EXAMPLES OF TECHNICAL DATA, BY PRODUCT,
NORMALLY REQUESTED BY THE FAA FOR TYPE CERTIFICATION
1. AIRCRAFT.
a. A statement of the applicable U.S. design certification standards.
b. General interior arrangement configuration drawings.
c. Three-view drawing (exterior configuration).
d. Master drawing list.
e. Master equipment list.
f. Aircraft Flight Manual (including the Configuration Deviation List, if applicable).
g. Instructions for Continued Airworthiness.
h. Certification compliance (checklist).
i. Data and descriptive information needed by the FAA to approve/publish the type certificate data sheet.1/
j. Listing of service life for critical parts subject to fatigue, if this information is not provided elsewhere in the above data.
2. AIRCRAFT ENGINES.
a. Cross-section arrangement drawing.
b. Master drawing list.
c. Instructions for Continued Airworthiness.
d. Operating manual.
e. Installation manual.
f. Certification compliance (checklist).
g. Data and descriptive information needed by the FAA to prepare the type certificate data sheet.1/
h. Listing of service life for critical parts subject to fatigue, if this information is not provided elsewhere in the above data.
3. PROPELLERS.
a. General arrangement drawings and model description.
b. Master drawing list.
c. Installation manual.
d. Instructions for Continued Airworthiness.
e. Operating manual.
f. Certification compliance (checklist).
g. Data and descriptive information needed by the FAA to prepare the type certificate data sheet.1/
h. Listing of service life for critical parts subject to fatigue, if this information is not provided elsewhere in the above data.
____________
1/May be presented in the form of a draft type certificate data sheet prepared by the applicant.