CHAPTER 5. CONTINUED AIRWORTHINESS
5-1. GENERAL
a. Bilateral agreements provide for close cooperation between countries in the resolution of safety issues that can arise from in-service operation of any product exported/imported and approved or accepted under the terms of the agreement. When a safety concern arises, the FAA cooperates with its partner to determine the appropriate corrective action to be taken by operators or owners of affected U.S.-registered aircraft. The FAA expects exporting CAA’s to keep it informed of corrective actions that they believe are required for the safety of U.S.-registered aircraft.
b. The FAA also works closely with its counterpart authority to approve changes to type designs. These changes may consist of design improvements, changes necessary for continued airworthiness, repair information, or customer options.
5-2. CONTINUED AIRWORTHINESS DOCUMENTS
a. Continued Airworthiness Service documents (e.g., service bulletins, structural repair manuals, supplemental structural inspection documents), approved by the airworthiness authority of the country where an affected product is manufactured, are considered to be FAA-approved unless otherwise noted in a specific bilateral agreement. However, service bulletins or other similar instructions classified as "mandatory" by the exporting CAA are not mandatory under 14 CFR unless required by an FAA AD.
b. Owners or operators of affected U.S.-registered aircraft or engines, propellers, appliances and parts (i.e., products) are not required under U.S. law to comply with service documents or directives issued by the airworthiness authorities of other countries unless an FAA AD is issued under 14 CFR part 39. FAA AD’s are published in the Federal Register. AD’s issued during the current calendar year are available on the Internet at http://av-info.faa.gov. Information for ordering ADs can also be obtained from the FAA’s Delegation & Airworthiness Programs Branch, AIR-140, P.O. Box 26460, Oklahoma City, Oklahoma, 73125.
c. The FAA is committed to sharing safety critical information as soon as possible with its bilateral partners. FAA maintains an automated data-base of all service difficulty reports received from the aviation community, including reports on imported products. This data is available on the Internet at http://av-info.faa.gov.
d. The FAA has filed an official difference with ICAO over the ICAO requirement for states to require that a system exists to transmit continuing airworthiness information to type design organizations. (See ICAO Annex 8, Part II, paragraph 4.2.5.) Instead, the FAA shares significant information with the certificating 41
authority. In addition the FAA makes its Service Difficulty Reporting (SDR) system database available on the Internet at the address listed in c. above.
5-3. NOTIFICATION OF UNSAFE CONDITION AND MANDATORY CONTINUING
AIRWORTHINESS ACTIONS
a. When an exporting CAA issues a mandatory continuing airworthiness action for an unsafe condition that exists in a product, the FAA evaluates the information provided by the exporting CAA about the unsafe condition to determine whether the condition is likely to exist or develop on another product of the same type design. The exporting CAA should provide the FAA the following information:
(1) Make, model, and serial numbers of the affected product;
(2) Description of the unsafe condition, reasons for the mandatory action, and its impact on the affected aircraft and its continued operation;
(3) Description of the cause of the unsafe condition (e.g., stress, corrosion, fatigue, design problem, quality control, suspected unapproved part);
(4) The means by which the unsafe condition was detected and, if resulting from in-service experience, the number of occurrences;
(5) Corrective actions and corresponding compliance times, with a list of the relevant manufacturer’s service information, including reference number, revision number and date;
(6) The number of aircraft operating in the U.S. (important to the FAA) vs.
the number of aircraft worldwide needing corrective action;
(7) A statement on the availability of parts; and
(8) An estimate of the number of labor hours and the cost of parts required for the corrective actions.
b. When an exporting CAA does not issue a mandatory continuing airworthiness action, but the FAA determines that one may be necessary, the exporting CAA should facilitate the manufacturer’s providing sufficient information, including service bulletins, to the FAA in a timely manner for use in evaluating the need for an AD.
c. Continued airworthiness information should be sent to the FAA’s Delegation & Airworthiness Programs Branch, AIR-140, P.O. Box 26460, Oklahoma City, Oklahoma, 73125.
5-4. DESIGN CHANGES.
a. Following the type certification of an aircraft, it frequently becomes necessary to revise data on the aircraft type design. Major changes to a type design not great enough to require an application for a new TC, sought by the TC holder, may be issued as amendments to the type certificate issued under 14 CFR 21.29, or otherwise approved by the FAA. A certification procedure similar to that described in Chapter 2 is conducted and adjusted for the magnitude and complexity of the design change. The FAA retains the right to determine whether the proposed change is substantial enough to require a new type certificate for the changed type design.
b. Major changes to a type certificated design (for aircraft, aircraft engines, and propellers) which do not require an application for a new type certificate may also be approved through the issuance of a U.S. STC. Minor changes made by the type certificate holder are considered approved by the FAA upon approval by the exporting CAA under its normal procedures.
c. Each voluntary change in the type design of an aircraft or engine that may increase fuel venting or exhaust emissions is an “emissions change” as specified in 14 CFR 21.93, and requires further demonstration of compliance with 14 CFR part 34.
Similarly, each voluntary change in the type design of an aircraft that may increase the noise levels of that aircraft is an “acoustical change,” requiring demonstration of compliance with 14 CFR part 36.
d. Changes described in service bulletins, structural repair manuals, supplemental inspection documents, etc., with a CAA approval statement are accepted by the FAA and can be considered to be FAA-approved only under bilateral agreements. Such approval pertains to the aircraft type design only, and further FAA evaluation of installation or operational implications may be necessary.
5-5. APPROVAL OF DESIGN DATA USED TO SUPPORT REPAIRS. Repair data used to support minor repairs must be acceptable to the Administrator. Repair data used to support major repairs must be approved by the Administrator or conform to the provisions of a bilateral agreement. The FAA may accept design data to support repairs when approved by the CAA under the conditions included in a BASA IPA.
43 (and 44)
Appendix 1
APPENDIX 1. AIRCRAFT CERTIFICATION SERVICE ORGANIZATIONAL CHART
Director, AIR-1 Deputy Director, AIR-2 International Policy Office, AIR-40 Special Assistants, AIR-3 & AIR-4 Engine & Propeller Directorate ANE-100 Rotorcraft Directorate ASW-100 Planning & Program Management Division AIR-500 Engineering Division AIR-100 Production & Airworthiness Division AIR-200 Small Airplane Directorate ACE-100 Transport Airplane Directorate ANM-100 SingaporeBrussels = Located outside of Washington Headquarters 1 (and 2)
Appendix 2
APPENDIX 2. ACCOUNTABLE FAA DIRECTORATES
Engine and Propeller Directorate ANE-100 Regulatory and policy responsibility for all aircraft engines, propellers, and auxiliary power units.
12 New England Executive Park Burlington, Massachusetts 01803 Telephone: (781) 238-7100 Fax: (781) 238-7199
Bilateral Countries Assigned to ANE: Belgium, Canada, Japan, Singapore, Taiwan, and United Kingdom
Rotorcraft Directorate ASW-100 Regulatory and policy responsibility for normal and transport category rotorcraft.
2601 Meacham Blvd.
Fort Worth, TX 76137-4298 Telephone: (817) 222-5100 Fax: (817) 222-5959
Bilateral Countries Assigned to ASW: Indonesia, Italy, and South Africa
Small Airplane Directorate ACE-100 Regulatory and policy responsibility for:
1. Normal, utility, and acrobatic ca tegory airplanes weighing less than 12,500 pounds and having passenger configurations of 9 seats or fewer;
2. Commuter category airplanes weighing 19,000 pounds or less, with passenger configurations of 19 seats or fewer; and
3. Primary category aircraft, gliders, airships, and hot air balloons.
DOT Building 901 Locust, Room 301 Kansas City, MO 64106-2641 Telephone: (816) 329-4100 Fax: (816) 329-4106
Bilateral Countries Assigned to ACE: Austria, Argentina, Australia, Czech Republic, Germany, Malaysia, New Zealand, Poland, Romania, Russia, and Switzerland
Appendix 2
APPENDIX 2. ACCOUNTABLE FAA DIRECTORATES (Continued)
Transport Airplane Directorate ANM-100 Regulatory and policy responsibility for all transport category airplanes.
1601 Lind Avenue, SW Renton, WA 98055-4056 Telephone: (425) 227-2104 Fax: (425) 227-1100
Bilateral Countries Assigned to ANM: Brazil, China, Denmark, Finland, France, Israel, Netherlands, Norway, Spain, and Sweden
NOTE: For countries not listed above, contact the International Policy Office, AIR-40.
Appendix 3
APPENDIX 3. BILATERAL AGREEMENTS RELATED TO AIRWORTHINESS (AS OF SEPTEMBER 30, 2004)
COUNTRY AGREEMENT TYPE APPLICATION/SCOPE OF U.S. ACCEPTANCE 1 Argentina • BAA
• Schedule of Implementation Procedures All aeronautical products, including components 2 Australia • BAA All aeronautical products and certain components 3 Austria • BAA All aeronautical products 4 Belgium • BAA All aeronautical products and certain components 5 Brazil • BAA (replaced)
• Brazil Bilateral Aviation Safety Agreement – Executive Agreement
• Implementation Procedures for Airworthiness All aeronautical products and certain components.
Also recognizes Supplemental Type Certificate and maintenance.
6 Canada • BASA Executive Agreement
• Implementation Procedures for Airworthiness All aeronautical products, including components 7 China • BAA Schedule of Implementation Procedures Applies to fixed-wing aircraft not exceeding 12,500 lbs., commuter category airplanes up to 19 passengers with a maximum certificated takeoff weight of 19,000 lbs. or less, and TSO appliances 8 Czech Republic • BAA
• Operating Procedures All aeronautical products 9 Denmark • BAA All aeronautical products and certain components 10 Finland • BAA Applies to gliders and aircraft appliances 11 France • BAA (replaced)
• Bilateral Aviation Safety Agreement Executive Agreement
• Implementation Procedures for Airworthiness Applies to all aeronautical products and certain components. Also recognizes STC’s on French products.
Appendix 3 APPENDIX 3. BILATERAL AGREEMENTS RELATED TO AIRWORTHINESS (Continued) (AS OF SEPTEMBER 30, 2004) 2
COUNTRY AGREEMENT TYPE APPLICATION/SCOPE OF U.S. ACCEPTANCE 12 Germany • BAA (replaced)
• BASA Executive Agreement Implementation Procedures for Airworthiness (Revision 1) Applies to all aeronautical products and certain components. Also recognizes Supplemental Type Certificates on U.S.
and German products.
13 Indonesia • BAA
• Schedule of Implementation Procedures Applies to production oversight in Indonesia under licensing agreements with U.S.
manufacturers 14 Israel • BAA (replaced)
• Bilateral Aviation Safety Agreement—Executive Agreement
• Implementation Procedures for Airworthiness (Revision 1) All aeronautical products, appliances, and components. Also recognizes STC’s on U.S.
and Israeli airplanes.
15 Italy • BAA (replaced)
• Bilateral Aviation Safety Agreement-Executive Agreement
• Implementation Procedures for Airworthiness All aeronautical products and certain components.
Also recognizes STC’s on Italian products.
16 Japan • BAA All aeronautical products and certain components 17 Malaysia • Bilateral Aviation Safety Agreement-Executive Agreement
• Implementation Procedures for Airworthiness (Revision 1) Technical Standard Order appliances and small airplanes up to 9 passengers with a maximum certificated takeoff weight of 12,500 lbs.
18 Netherlands • BAA (replaced)
• Bilateral Aviation Safety Agreement- Executive Agreement
• Implementation Procedures for Airworthiness Aircraft products and certain components. Also recognizes STC’s on Dutch products.
Appendix 3 APPENDIX 3. BILATERAL AGREEMENTS RELATED TO AIRWORTHINESS (Continued) (AS OF SEPTEMBER 30, 2004) 3
COUNTRY AGREEMENT TYPE APPLICATION/SCOPE OF U.S. ACCEPTANCE 19 New Zealand • BAA (replaced)
• Bilateral Aviation Safety Agreement Executive Agreement
• Implementation Procedures for Airworthiness Fixed-wing airplane not exceeding12,500 lbs., certain components, and Technical Standard Order appliances. Also recognizes STCs on New Zealand products.
20 Norway • BAA (including Agreement) All categories of civil aircraft and appliances 21 Poland • BAA (including Amendments)
• Annex to the BAA (Amendments incorporated) Certain components;
gliders; piston engines of 1500 horse power or less;
associated propellers;
helicopters; turbine engines; fixed-wing aircraft not exceeding 12,500 lbs.;
and commuter category airplanes up to 19 passengers with a maximum certified take-off weight of 19,000 lbs. or less.
22 Romania • BAA (replaced)
• Bilateral Aviation Safety Agreement- Executive Agreement
• Implementation Procedures for Airworthiness Gliders and very light airplanes. Recognizes STCs on Romanian products.
23 Russia • Bilateral Aviation Safety Agreement—Executive Agreement
• Implementation Procedures for Airworthiness All metal airplanes up to 9 passengers with a maximum certified take off weight of 12,500 lbs with FAA-certified engines, propellers, and avionics;
cargo transport category airplanes with FAA certified engines, propellers, and avionics; and approved metallic materials.
Appendix 3 APPENDIX 3. BILATERAL AGREEMENTS RELATED TO AIRWORTHINESS (Continued) (AS OF SEPTEMBER 30, 2004) 4
COUNTRY AGREEMENT TYPE APPLICATION/SCOPE OF U.S. ACCEPTANCE 24 Singapore • BAA (replaced)
• Bilateral Aviation Safety Agreement—Executive Agreement
• Implementation Procedure for Airworthiness Technical Standard Order appliances 25 South Africa • BAA (including Amendment) All categories of civil aircraft 26 Spain • BAA (including Amendment) All categories of civil aircraft and appliances 27 Sweden • BAA (replaced)
• Bilateral Aviation Safety Agreement—Executive Agreement
• Implementation Procedures for Airworthiness All aeronautical products and certain components.
Also recognizes STC’s on Swedish products.
28 Switzerland • BAA (including Amendment) All aeronautical products and certain components 29 United Kingdom • BAA (replaced)
• Bilateral Aviation Safety Agreement—Executive Agreement
• Implementation Procedures for Airworthiness All aeronautical products and certain components.
Also recognizes STC’s on U.K. products.
Other Agreements
American Institute of Taiwan & The Taipei Economic and Cultural Representative Office
• Bilateral Aviation Safety Agreement—Executive Agreement
• Implementation Procedures for Airworthiness Technical Standard Order appliances
Appendix 4
APPENDIX 4. SUMMARY OF PRODUCTS ELIGIBLE FOR U.S. IMPORT
UNDER BILATERAL AGREEMENTS (AS OF SEPTEMBER 30, 2004)
Conformity Inspection Third Country Provisions Maintenance Current Agreement Date(s) See Reference Notes Number
BILATERAL
COUNTRIES (Revised 2004) Aircraft New Replacement/Modification Parts For Exported Aircraft Aircraft Engines New Replacement/Modification Parts for Exported Engines Propellers New Replacement/Modification Parts for Exported Propellers Appliances New Replacement/Modification Parts for Exported Appliances Materials Parts Subassemblies
Argentina X X X X X X X X X X X 1991 2 Australia X X X X X X X X X X X X 1975 1, 2, 3 Austria X X X X X X 1959 Belgium X X X X X X X X X X X X 1973 1, 2 Brazil X X X X X X X X X X X X 2004 1, 2,4 Canada X X X X X X X X X X X X X 1984 2000 1, 2, 5 China X X X X X X 1995 2, 6 Czech Republic X X X X X X X X 1970 Denmark X X X X X X X X X X X X 1982 2 Finland X X X X 1974 7 France X X X X X X X X X X X X X 2001 1, 2, 8 Germany X X X X X X X X X X X X X
2002 1, 2, 9 Indonesia 1992 10 Israel X X X X X X X X X X X 2003 11 Italy X X X X X X X X X X X X 2002 1, 2,12 Japan X X X X X X X X X X X X 1977 1, 2 Malaysia X X X X X X 2002 2,13 Netherlands X X X X X X X X X X X X 2002 1, 2,14 New Zealand X X X X X X X 2003 2, 15 Norway X X X X 1978 Poland X X X X X X X X X X X X 1976, 1980 2, 9 Romania X X 2002 17 Russia X X X X X 1998 2, 18 Singapore X X X X X X 2004 1, 2, 19 South Africa X X X X X X X X X X X 1955, 1984 2 Spain X X X X 1978 Sweden X X X X X X X X X X X X 2002 1, 2 Switzerland X X X X X X X X X X X 1977 2 United Kingdom X X X X X X X X X X X X 2002 1, 2, 20 Page 1
Appendix 4
APPENDIX 4. SUMMARY OF PRODUCTS ELIGIBLE FOR U.S. IMPORT UNDER BILATERAL AGREEMENTS (Continued) (AS OF SEPTEMBER 30, 2004)
Other Agreements
Taiwan X X X X X 2003 2
EXPLANATION OF NOTES
1. These bilateral agreements contain a third-country provision that provides for import/export certification of products by the CAA of a country other than the country of manufacture. In these instances, the exporting country must certify that the products conform to the design covered by the certificate or approval of the importing country (which would be other than country of manufacture) and that the products are in proper state of airworthiness.
This provision only applies when all three countries (i.e., manufacturing, importing, and exporting countries) have similar agreements for the reciprocal acceptance of such certifications covering the same class of products. The specific text of the applicable bilateral agreements should be consulted for any limitations.
2. The U.S. has bilateral agreements with these countries which provide for the reciprocal acceptance of conformity inspections (certificates of conformity) for components (i.e., materials, parts, and subassemblies) produced within the limits of each particular bilateral, provided that:
a. An agreement exists between the manufacturers in the importing and exporting countries;
b. The component is of such complexity that a determination of conformity cannot readily be made by the manufacturer in the importing country;
c. The airworthiness authorities of the importing country have notified the airworthiness authorities of the exporting country of the applicable design, test, and quality control requirements; and
d. The authority of the exporting country is willing to undertake the conformity inspection task.
3. The U.S./Australian BAA contains a two-party country provision, which provides for:
a. Reciprocal certification whereby Australia can issue an export certificate for a U.S.-manufactured product located in that country which is to be exported to the U.S.
b. Conversely, the U.S. can issue an export certificate for an Australian-manufactured product which is located in the U.S. and which is to be exported to Australia.