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.
FIGURE 2-2. EXAMPLES OF TECHNICAL DATA
NORMALLY REQUESTED BY THE FAA FOR SUPPLEMENTAL TYPE CERTIFICATION
ALL PRODUCTS
a. Certification compliance checklist
b. Aircraft Flight Manual supplement
c. Master documentation list
d. Master drawing list.
e. Manufacturing and installation instruction drawings
f. Maintenance/repair manual supplements
g. Weight and balance data
h. Instructions for Continued Airworthiness.
27 (and 28)
CHAPTER 3. AIRWORTHINESS APPROVAL OF IMPORTED PRODUCTS
3-1. GENERAL
a. Aircraft and related products manufactured outside of the U.S. being imported to the U.S. may be eligible for FAA airworthiness acceptance, if they have received some form of FAA design approval and are accompanied by an export certificate of airworthiness or equivalent certifying statement issued by the CAA of the country of manufacture, or by the exporting CAA of a "third country," in accordance with the provisions of a bilateral agreement, as discussed in paragraph 3-2(e).
(1) Export certificates of airworthiness or other certifying statements, issued by either the FAA or an exporting CAA, officially document the airworthiness condition of the exported product. These certificates may facilitate airworthiness certification by the authority of the new country of registry, but do not constitute "airworthiness certificates" within the meaning of 49 U.S.C. 44704(d) or 14 CFR part 21, Subpart H.
(2) Any deviations from the FAA-approved design must be noted on the certifying statement. Any such deviation must be resolved by the installer before the product is eligible for installation approval on U.S. type certificated and U.S.-registered aircraft, or on an engine or propeller to be installed on a U.S. type certificated and U.S.- registered aircraft. In no case may any aircraft be operated unless there is an appropriate airworthiness certificate or special flight permit issued to and valid for that aircraft.
b. FAA airworthiness approvals for civil aeronautical products to be imported to the U.S. are generally handled in the following manner:
(1) U.S. Airworthiness Certificates are issued for the approval of complete aircraft in accordance with the procedures outlined in paragraph 3-2 below.
(2) New aircraft engines, propellers, appliances and parts thereof are considered to meet the regulatory requirements for approval when the product is accompanied by a certification from the appropriate exporting authority, attesting that the product conforms to the FAA-approved design and is in a condition for safe operation as outlined in paragraph 3-3 below.
c. The FAA requirements for the airworthiness approval of civil aeronautical products imported to the U.S. are set forth in the following regulations.
(1) Aircraft. 14 CFR part 21, subpart H, establishes the procedural requirements for U.S. airworthiness certification of complete aircraft. These regulations apply to both new and used aircraft that do not already have a U.S. airworthiness certificate.
(a) 14 CFR 21.183(c) pertains to the issuance of U.S. standard airworthiness certificates for import aircraft type certificated by the FAA under 14 CFR
21.29 and may be applied to aircraft type certificated under the provisions of 14 CFR
21.21 but manufactured outside the U.S. (e.g., under a licensing agreement).
(b) 14 CFR 21.183(d) pertains to the issuance of U.S. standard airworthiness certificates to other aircraft imported to the U.S. and type certificated by the FAA, such as used aircraft.
(c) 14 CFR 21.184(b) pertains to the issuance of special airworthiness certificates for primary category aircraft imported into the U.S. that have been type certificated by the FAA under 14 CFR 21.29. Such an aircraft is eligible for a Special Airworthiness Certificate if the exporting CAA of the country in which the aircraft was manufactured issues a certifying statement that the aircraft conforms to an approved type design that meets the criteria of 14 CFR 21.24 (a)(1) and is in a condition for safe operation.
(d) 14 CFR 21.185(c) pertains specifically to the issuance of U.S.
restricted category airworthiness certificates to aircraft imported to the U.S. which have been type certificated by the FAA in the restricted category under the provisions of 14 CFR 21.29.
(e) 14 CFR 21.190(d) pertains specifically to the issuance of special airworthiness certificates for light-sport aircraft manufactured outside the United States. Aircraft certificated under this section must be manufactured in a country with which the U.S. has a BAA concerning airplanes, a BASA IPA concerning airplanes or an equivalent airworthiness agreement. Additionally, the aircraft must be eligible for an airworthiness certificate, flight authorization, or similar certification in its country of manufacture.
(2) Other Aeronautical Products. 14 CFR part 21, subpart K, prescribes procedural requirements for the approval of materials, parts, processes, and appliances.
14 CFR part 21, subpart N, establishes the procedural requirements for airworthiness approval or acceptance of aircraft engines, propellers, materials, parts, and appliances manufactured outside the U.S., including appliances for which a "letter of TSO design approval" has been issued under 14 CFR part 21, subpart O (21.601(b)(3) and 21.617).
d. Alteration, modification or repairs made to an aircraft or related product that are not in accordance with FAA accepted or approved data require coordination and approval of the FAA.
3-2. AIRCRAFT
a. Requirements for U.S. Airworthiness Certification
(1) FAA Regulations. FAA regulations concerning issuance of airworthiness certificates for U.S.-registered aircraft (new or used) are contained in 14 CFR part 21, Subpart H. Most of the requirements apply to aircraft manufactured either within or outside the U.S. Additional requirements in 14 CFR parts 36, 39, 45, 47, 49, and 91 (described below) must also be met before the aircraft can be certificated or operated in the U.S.
(2) U.S. Registration. A valid U.S. registration must be issued by the Civil Aviation Registry in Oklahoma City, OK, and, except for those aircraft to which the provisions of 14 CFR 45.22(a) or (b) apply, appropriate nationality and registration marks ("N" numbers) must be displayed on the aircraft before a U.S. airworthiness certificate in any category may be issued. Evidence of de-registration from the foreign registry, if appropriate, and U.S. registration is required prior to the issuance of a U.S.
airworthiness certificate. FAA requirements for U.S. registration are established in 14 CFR part 47. The recording of aircraft titles and security documents is addressed by 14 CFR part 49. Aircraft nationality and registration marking requirements are contained in 14 CFR part 45, Subpart C.
(3) Aircraft Identification. Prior to the issuance of a U.S. airworthiness certificate, the aircraft must have an identification plate in accordance with 14 CFR 21.182, which meets the requirements of 14 CFR part 45, subpart B.
Subpart B also contains requirements for marking aircraft engines and propellers.
(4) Noise and Emissions Requirements. In addition to meeting the airworthiness standards, an aircraft must meet the noise standards of 14 CFR 21.93(b),
21.183(e) or 21.185(d), Part 36, and operating requirements of part 91, subpart I, as applicable. The emissions standards of 14 CFR part 34, if applicable, must also be met to be eligible for a U.S. airworthiness certificate.
(5) Approved Flight Manuals, Markings, and Placards. The aircraft must be accompanied by an approved flight manual in the English language if a manual is identified on the FAA type certificate data sheet. Also, the aircraft must have the appropriate English language markings and placards specified in the FAA type certificate data sheet, flight manual, or other approved manual materials for operations as required by 14 CFR 91.9 (a) and (b), a current weight and balance report, and a list of installed equipment. Additional requirements are specified in 14 CFR 21.5 (a).
(6) Logbooks and Maintenance Records. Aircraft must be accompanied by the necessary logbooks and maintenance and alteration records as specified in 14 CFR part 91, subpart E, to determine the status of required inspections, life limits, etc.
(7) Airw orthiness Directives. Maintenance records, as specified in 14 CFR 91.417, must show that the aircraft complies with all applicable FAA AD’s 31
issued under 14 CFR part 39. The records required by 14 CFR 91.417 would satisfy that requirement.
(8) Aircraft Location. A U.S. airworthiness certificate is not issued to an aircraft located outside the U.S., unless the FAA finds no undue burden in administering the applicable regulations. Procedures have been established to use the services of the exporting CAA of the country of manufacture, or FAA-appointed designees, to mitigate the burden of completing U.S. airworthiness certification of aircraft located outside the U.S. A potential applicant for U.S. airworthiness certification should consult with the FAA to determine whether such services are possible in the applicant’s particular situation before the applicant makes firm commitments for the issuance of a U.S.
airworthiness certificate on an aircraft located outside the U.S.
b. Application for a U.S. Airworthiness Certificate
(1) Application for a U.S. airworthiness certificate should be made by the registered owner (or an agent of the owner) on an FAA Form 8130-6, "Application for Airworthiness Certificate." AC 21-12, “Application for U.S. Airworthiness Certificate, FAA Form 8130-6,” describes the details of the application.
(2) Approved flight manuals, logbooks, and maintenance records should not be submitted to FAA, but should be made available for examination by the FAA upon request.
c. FAA Airworthiness Determination
(1) Title 49 U.S.C. 44704 (d) requires the FAA to make a finding that the aircraft under application conforms to an FAA type certificate (i.e., an FAA-approved type design), and that it is in a condition for safe operation before the FAA issues a U.S.
airworthiness certificate for an aircraft. The FAA may base its findings, wholly or partially, on a certification (e.g., an export certificate of airworthiness) issued by the exporting CAA, provided a bilateral agreement which provides for such acceptance exists between the U.S. and the other country.
(2) 14 CFR 21.183(c) and 21.185(c) provide that an "import aircraft," i.e., an aircraft type certificated under the procedures of 14 CFR 21.29, may be eligible for a U.S. airworthiness certificate in the appropriate category (e.g., standard or restricted) if the exporting CAA of the country of manufacture certifies, and the FAA finds, that the aircraft conforms to a design configuration approved under the applicable FAA type certificate and is found to be in a condition for safe operation.
d. CAA Export Certifications
(1) CAA certifications should be made by issuance of an export certificate of airworthiness which contains the certification statement noted on the corresponding FAA type certificate data sheet or a certification that the aircraft meets its FAA-approved type design and is in a condition for safe operation. The FAA expects that the aircraft 32
will have been fully assembled and flight-tested, and the engines and propellers will be performance tested, before a CAA export certificate is issued.
(2) The FAA will not normally issue a U.S. airworthiness certificate for an aircraft manufactured outside of the U.S. when no export certification is available. To be acceptable, aircraft manufactured outside of the U.S. must be controlled under bilateral procedures with assurance of conformity and condition provided by the exporting CAA in the country of manufacture. Without assurance in the form of an export certificate or a certifying statement from the exporting CAA of the country of manufacture, there is no practical way for an applicant to show, or for the FAA to find, conformance with the FAA-approved design and condition for safe operation.
(3) Various types of export certification documents are utilized by the exporting CAA. In some cases, these certifications may be in the form of an official exporting CAA certificate or may be made based on airworthiness forms signed by private persons, when so authorized by the exporting CAA. The FAA will accept various types of certifications, provided they represent a certification from the appropriate exporting CAA attesting conformity to the U.S. type design and condition for safe operation of the particular product being exported and are appropriately endorsed by the exporting CAA or a duly authorized designee (the CAA of the exporting country should confirm a designee's scope of authority when so requested by the FAA). These certifications serve to comply with the requirements for an export certificate of airworthiness for the purpose of 14 CFR 21.500 or 21.502 so long as the product is within the scope of the applicable bilateral agreement. In those instances where the certifying language differs from that stated in paragraph 3-2(d)(1), the FAA will request an explanatory letter from the exporting authority.
e. Used Aircraft from Third Countries
(1) When a used aircraft is being exported to the U.S. from a country other than the country of manufacture, the FAA will accept export certificates of airworthiness issued by the exporting CAA:
(a) Provided that the bilateral agreements between the U.S. and the exporting country and between the U.S. and the country of manufacture contain the appropriate provisions for the acceptance of products produced in another country with which both the U.S. and the exporting country have bilateral agreements (i.e., “third country” provisions); and
(b) When the exporting CAA certifies that the aircraft conforms to its FAA-approved type design and is found to be in a condition for safe operation. In such cases, the FAA considers it incumbent upon the authority issuing the export certificate to consult with both the CAA of the country of manufacture and the FAA to ensure that it has adequate knowledge of the type design approved by the FAA. Configuration variations, modifications, and major repairs that are not FAA-approved should be 33
identified, and FAA approval for these deviations should be obtained before the exporting CAA issues its export certificate of airworthiness.
(2) The application for a U.S. airworthiness certification in these cases should cite 14 CFR 21.183(d) or 21.185(b) as the basis for certification. Although these regulations do not specifically require an exporting CAA’s certification, such certifications may be the only practicable way for the applicant to show, and for the FAA to find, conformity to the FAA-approved type design and that the aircraft is in a condition for safe operation. These procedures also apply in those instances where the bilateral agreement with the exporting country does not contain a "third country" provision when the export certificate of airworthiness issued by the exporting CAA is endorsed by the CAA of the country of manufacture.
(3) The procedures of paragraph 3-2 (d) may also be applied for U.S.- manufactured aircraft being returned from a registry of another country for U.S.
registration and airworthiness certification, provided the bilateral agreement between the U.S. and the last country of registry contain "third country" provisions.
(4) FAA inspections of a used aircraft may be conducted to determine that changes or modifications have not been made, and that the condition of the aircraft has not deteriorated subsequent to export certification by the exporting CAA. If the aircraft has been disassembled and reassembled subsequent to export certification by the exporting authority, flight testing may be required prior to issuance of a U.S.
airworthiness certificate.
(5) Cases may exist where it is impractical to obtain a U.S. airworthiness certificate for an aircraft that has been operated on the registry of another country subsequent to the issuance of an export certificate of airworthiness by the CAA of the country of manufacture. This includes U.S.-manufactured aircraft being returned to the U.S. registry. Before a U.S. airworthiness certificate can be issued:
(a) Applicants for the U.S. airworthiness certificate should assure themselves that they will be able to identify repairs and modifications and document the equipment installed and maintenance accomplished on the aircraft between the period of time the export certificate was issued and the date of application for the U.S.
airworthiness certificate; and
(b) An applicant must show that the aircraft has remained in, or has been returned to, its FAA-approved design configuration and is in a condition for safe operation. This may involve extensive inspections by designees, certificated persons, the exporting CAA of the country of manufacture, the aircraft manufacturer, or others, as appropriate, before a U.S. airworthiness certificate can be issued.
f. Aircraft Manufactured Outside the U.S. to a Design Not Approved by the FAA. Where an aircraft manufactured outside the U.S. was originally exported to a country other than the U.S., and the CAA of the country of manufacture has issued an 34
export certificate attesting to conformance to a design other than that approved by the FAA, such certificates may be useful to the applicant to establish a baseline for showing conformity to the U.S.-approved design after modification. In these cases, or when the export certificate of airworthiness may not be available, the applicant should obtain the following:
(1) A statement from the CAA of the country of manufacture which certifies that, when originally exported from that country, the aircraft met an FAA- approved design and/or identifies any differences between the configuration identified in their original export certification and the FAA-approved design; and
(2) The technical data necessary to convert the aircraft to its FAA-approved design configuration. This method may involve extensive inspections by designees, certificated persons, the CAA of the country of manufacture, the aircraft manufacturer, etc., as appropriate, before the applicant is in a position to show conformity to the FAA- approved design and condition for safe operation. Attempts to obtain a U.S.
airworthiness certificate via this method may prove to be impracticable for the applicant.
In some instances, the applicant may ultimately be unable to obtain the desired U.S.
airworthiness certificate.
3-3. AIRCRAFT ENGINES, PROPELLERS, MATERIALS, PARTS AND APPLIANCES (RELATED PRODUCTS)
a. Airworthiness Acceptance – New Aircraft Engines and Propellers
(1) 14 CFR 21.500 provides for the airworthiness acceptance of aircraft engines or propellers manufactured outside of the U.S. for which a U.S. type certificate has been issued. Such products are considered approved for installation on a U.S.-registered aircraft when a current export certificate of airworthiness has been issued by the exporting CAA of the country of manufacture which certifies that the engine or propeller:
(a) Conforms to its U.S. type certificate and is found to be in a condition for safe operation; and
(b) Has been subjected to a final operational check by the manufacturer.
b. Airworthiness Acceptance – New Materials, Parts, and Appliances
(1) 14 CFR 21.502(a) provides for the airworthiness acceptance of materials and parts (e.g., replacement/modification parts) manufactured in a foreign country with which the U.S. has an agreement for the acceptance of these materials and parts, when the country of manufacture issues a certificate of airworthiness for export certifying that the individual material or part conforms to FAA-approved design and is in a condition for safe operation. Parts imported into the U.S. are eligible for 35