(d) Implementation Procedures for Airworthiness (IPA) Negotiation.
Following the successful completion of a technical assessment, and after a BASA Executive Agreement has been proposed to the foreign government by the U.S.
Department of State, the FAA and the CAA co-develop the details of the Implementation Procedures for Airworthiness (IPA). A BASA IPA may include procedures for the reciprocal acceptance of design approvals, production and surveillance oversight, continued airworthiness activities, design change approvals, and export airworthiness approvals. The scope of the IPA can be modified over time (e.g., expanded to cover additional activities) or changed and/or canceled without affecting the Executive Agreement or other IP’s.
1-5. HOW BILATERAL AGREEMENTS WORK
a. General. Title 49 U.S.C. 44704 requires the FAA to make certain “findings” or determinations of compliance to U.S. airworthiness standards before issuing a type certificate, production certificate, or airworthiness certificate. In the case of a type certificate, the FAA is required to find that the design of the product meets the U.S.
airworthiness standards applicable to the product. 49 U.S.C. 44704(d) requires the FAA to determine that a product conforms to a design previously approved by the FAA, and that it is in a condition for safe operation before issuing a U.S. airworthiness certificate for that product. The statute permits the FAA Administrator to exercise discretion in how these findings will be made, the level of direct FAA involvement necessary, and what constitutes competent evidence for making the required findings.
b. Findings Process under Bilateral Agreements. The FAA makes its findings for the airworthiness certification, approval, or acceptance of civil aeronautical products imported to the U.S. by working through, and in cooperation with, the CAA of the exporting country. Generally, the FAA predicates its findings on statements from the exporting authority which certifies to the FAA that the design and performance of the product meet the U.S. or equivalent airworthiness standards; that the exported product (including complete aircraft) conforms in construction and manufacturing processes to the approved design; and, at the time of export certification by the exporting authority, that the product is determined by the exporting authority to be in a condition for safe operation.
c. Maintenance of the Bilateral Relationship. Once an agreement is negotiated, sustaining the relationship is equally important to the FAA. FAA field offices interact with other CAA’s on daily activities such as validation projects, export activities, and harmonization work. BASA IPA’s commit the FAA to meet periodically with its counterpart authority to review the IPA and any certification system changes. The FAA wants to ensure that there is a common understanding of each other’s requirements. In addition, the FAA and its partners conduct visits as needed to ensure both authorities meet the commitments they have made in their bilateral agreements. Each bilateral partner country has been assigned to an FAA Directorate for this enhanced formal cooperation. These country assignments are listed in appendix 2.
1.6 TECHNICAL ASSISTANCE AND COOPERATION BETWEEN AUTHORITIES
a. The global manufacturing environment creates challenges for the FAA and other civil aviation authorities in carrying out their regulatory duties around the world.
Upon request and after mutual agreement, the FAA and the CAA may provide technical assistance to each other when significant activities are conducted in either country.
These technical assistance activities help avoid any undue burden imposed on either authority. Types of assistance may include, but are not limited to, determination of compliance (e.g., witnessing tests, performing inspections, reviewing reports, obtaining data) and surveillance and oversight (e.g., conducting inspections on production parts, conducting investigations of service difficulties).
b. Under the U.S. Freedom of Information Act (FOIA), information the FAA has in its possession must be disclosed unless a FOIA exemption applies to that information. Exemptions include proprietary data such as trade secrets and financial or commercial information. As bilateral partners, the FAA and the CAA agree that they will not release proprietary data obtained from either authority to anyone other than an FAA or CAA employee without written consent of the design approval holder or other data submitter.
c. Upon request, the FAA and the CAA cooperate by providing information of service incidents, accidents, and suspected unapproved parts involving civil aeronautical products imported under their Implementation Procedures.
1-7. AIRWORTHINESS SAFETY OBJECTIVES AND FUNCTIONS. The procedures and practices applied by the FAA for the airworthiness certification of civil aeronautical products to be imported to the U.S. are intended to achieve four fundamental objectives, namely that:
a. The design and performance of the product meet the applicable U.S.
airworthiness and environmental standards or standards determined by the FAA to be equivalent;
b. Each particular civil aeronautical product presented for U.S. airworthiness certification, approval, or acceptance for installation on a U.S. type certificated and U.S.-registered aircraft conforms to an FAA-approved design and is in a condition for safe operation;
c. The companies responsible and the CAA having regulatory responsibility for product design integrity and manufacturing quality control are clearly defined and have adequate technical capability, so as to ensure that safety issues which may arise with the product in service will be satisfactorily resolved in a timely manner; and
d. The FAA can meet its regulatory responsibilities under Title 49 U.S.C. in administering applicable regulatory requirements of 14 CFR without undue burden.
9 CHAPTER 2. PRODUCT DESIGN APPROVAL PROCEDURES
2-1. GENERAL
a. Requirement for a Bilateral Agreement. Product design approvals will not be granted to an applicant located in a country with which the U.S. has not concluded a bilateral agreement for the export and import airworthiness certification of such products (i.e., a BAA or a BASA).
b. Categories of Design Approvals. The FAA grants design approvals of civil aeronautical products to be imported to the U.S. in the following forms.
(1) Type Certificates (TC), including type certificate amendments, are issued for the design approval of aircraft, aircraft engines, and propellers.
(2) Supplemental Type Certificates (STC) are issued for approval of major changes to a type certificated design (aircraft, aircraft engines, and propellers) that are not great enough to require a new application for a type certificate. The holder of a type certificate usually has the type certificate amended for these purposes.
(3) Letters of TSO design approval are issued to approve the design of appliances to be manufactured outside the U.S., which meet the minimum performance standards of an FAA Technical Standard Order.
(4) Letters of parts design approval [reserved].
c. Application Priority. The FAA does not normally issue a type design approval for a product manufactured outside the U.S. (i.e., the state of design is other than the U.S.), unless the product is intended for use under U.S. registry or for operation by a U.S. operator under lease or charter. Approvals may be granted for engines, propellers, or appliances to be incorporated into the design of a U.S.-registered aircraft or U.S.- manufactured product. Foreign applicants for U.S. design approval should provide the FAA with evidence that the product will be imported into the U.S., or will be installed on a U.S.-registered or U.S.-manufactured product. This information, when provided at the time of application, will help the FAA to establish project priorities.
d. References to FAA Airworthiness Regulations. The FAA's procedural regulations for the design approval of products, including products imported to the U.S., are set forth in 14 CFR part 21 (part 21). Applicable airworthiness standards are set forth in:
(1) 14 CFR parts 21 through 35, for various kinds of products.
(2) A series of Technical Standard Orders (TSO) identified in the current version of AC 20-110, Index of Technical Standard Orders, for articles (parts, materials, processes, or appliances).
(3) 14 CFR parts 21 and 36 for standards concerning aircraft noise.
(4) 14 CFR part 34 for standards concerning fuel venting and exhaust emissions for turbine engine powered airplanes.
e. Relationship to International Civil Aviation Organization Airworthiness Standards. ICAO has airworthiness standards for engines, propellers, aeroplanes, and helicopters, defined in Annex 8, Airworthiness of Aircraft. The references listed in 2-1(d) above meet or exceed these ICAO requirements, except where differences have been filed with ICAO. ICAO also has aircraft noise, fuel venting, and exhaust emissions standards defined in Annex 16, Volumes I and II.
f. Applicability of U.S. Design Approvals. An FAA type design approval for a product (e.g., aircraft) is required:
(1) As a prerequisite for the issuance of a U.S. standard or certain types (i.e., primary, limited, and restricted) of special airworthiness certificates;
(2) To permit a non-U.S.-registered aircraft to be operated under lease or charter by a U.S.-certificated air carrier or commercial operator under parts 121 or 135;
or
(3) To permit certain products (e.g., engines, appliances) to be installed on an aircraft having a U.S. standard airworthiness certificate.
2-2. AIRCRAFT, AIRCRAFT ENGINES, PROPELLERS
a. General Airworthiness Requirements.
(1) Under 49 U.S.C. 44711(a)(1), any civil aircraft registered in the U.S. must have a valid airworthiness certificate before it can be operated in air commerce. Under 49 U.S.C. 44704(d), a civil aircraft (including its engines, propellers, and installed appliances) must conform to an FAA-approved type design and be found in a condition for safe operation to be eligible for a U.S. airworthiness certificate. Also under 49 U.S.C. 44704(d), a civil aircraft must be registered in the U.S. and appropriately marked
(i.e., with a registration number) before it can receive a U.S. airworthiness certificate.
These statutory requirements are reflected in 14 CFR parts 21 and 45.
(2) Under 14 CFR 21.181(a)(1), a standard U.S. airworthiness certificate on an aircraft remains valid as long as maintenance/preventive maintenance and alterations are performed in accordance with 14 CFR parts 43 and 91, and the aircraft
11 continues to be registered in the U.S. Section 43.13 requires, in effect, continuing conformity to the aircraft's FAA-approved type design or properly altered configuration.
Therefore, all replacement engines, propellers, materials, parts, and appliances installed on a U.S.-registered civil aircraft must be acceptable to the FAA. These requirements apply equally to U.S.-registered aircraft operated outside the U.S. and to aircraft operated within the U.S.
(3) Many civil aeronautical aircraft registered outside the U.S. (including foreign aircraft manufactured outside the U.S.) are subsequently returned to the U.S.
Design changes or repairs and modifications made on such an aircraft while that aircraft was operated on a registry of another country either must be removed and the aircraft returned to FAA-approved standards, or the changes must be approved by the FAA before a U.S. standard airworthiness certificate can be issued. Complete maintenance records, including those required by 14 CFR 91.417, must be provided and other maintenance requirements of 14 CFR parts 121 and 135 may apply which are outside the scope of this AC. Chapter 3 discusses airworthiness acceptance procedures for such aircraft.
(4) An FAA design approval (e.g., a U.S. type certificate) must be issued as a prerequisite for obtaining a production approval (e.g., production certificate).
However, an FAA production approval is not a prerequisite for issuing a U.S.
airworthiness certificate or approval. As explained in Chapter 4, the FAA does not usually issue production approvals to companies located outside of the U.S., but may extend production certificates to a facility located outside the U.S. under certain circumstances.
b. U.S. Operations
(1) An export certificate of airworthiness, issued by the airworthiness authority of an exporting country to facilitate U.S. airworthiness certification, does not constitute an authorization to operate an aircraft and, therefore, does not satisfy the requirement for a U.S. airworthiness certificate.
(2) A U.S. air carrier or commercial operator, certificated to operate under 14 CFR parts 121 or 135, may operate an aircraft under lease or charter that is not registered in the U.S., provided certain requirements are met, including establishing that the aircraft conforms to a type design approved by the FAA. The requirements that must be met in order for such aircraft to be operated are contained in 14 CFR 121.153 and 135.25.
2-3. TYPE CERTIFICATION PROCEDURES
a. General
(1) U.S. airworthiness standards for normal, utility, acrobatic, and commuter category airplanes are codified in 14 CFR part 23; standards for transport category airplanes are in 14 CFR part 25; standards for normal category rotorcraft are in 14 CFR part 27; standards for transport category rotorcraft are in 14 CFR part 29; standards for manned free balloons are in 14 CFR part 31; standards for aircraft engines are in 14 CFR part 33; and standards for propellers are in 14 CFR part 35.
(a) For certain special classes of aircraft for which standards have not been issued by the FAA under 14 CFR Subchapter C, such as gliders, airships, and nonconventional aircraft, the applicable requirements will be those portions of parts 23, 25, 27, 29, 31, 33, and 35 found by the Administrator to be appropriate for the aircraft and applicable to a specific type design, or such airworthiness criteria as the Administrator may find provides an equivalent level of safety to those parts. (See 14 CFR 21.17(b).)
(b) 14 CFR 21.24 provides for the issuance of type certificates for primary category aircraft manufactured either in the U.S. or manufactured in a country with which the U.S. has a bilateral agreement and imported to the U.S.
(2) 14 CFR part 21 provides for issuance of type certificates under either the procedures of 14 CFR 21.21 for approval of U.S.-manufactured products, or 14 CFR 21.29 for approval of products to be imported to the U.S. The procedures for issuance of these type certificates are different; once issued, however, both type certificates have equal status and validity. The major difference in these procedures is how FAA’s findings are made. Under 14 CFR 21.21, the FAA or its designees determine that the design meets the necessary requirements. Under 14 CFR 21.29, the FAA's findings are generally based on technical evaluations, inspections, and certifications made for the FAA by the exporting CAA of the applicant’s country.
(3) Under 14 CFR 21.29, a type certificate may be issued for an aircraft, engine, or propeller manufactured in a foreign country with which the U.S. has a bilateral agreement for the acceptance of these products for import (and that is to be imported into the U.S.) if:
(a) The original exporting CAA (where the product was manufactured) certifies to the FAA that the product has been examined, tested, and found to meet the applicable airworthiness, noise, fuel venting, and exhaust emissions standards established by the FAA or by the exporting CAA (with any other noise, fuel venting and exhaust emission requirements prescribed by the FAA Administrator) for the product;
(b) The applicant has submitted the required technical data concerning aircraft noise and airworthiness;
(c) The manuals, placards, listings, and instrument markings required by applicable airworthiness requirements are presented in the English language; and
(d) The applicant has submitted the technical data required by the FAA (reference Figure 2-1).
(4) The applicant must show that the airworthiness and environmental requirements applied by the exporting CAA for U.S. certification will provide compliance with the U.S. type certification basis.
(5) Design approvals for major changes and alterations (including model changes) to products will usually be issued in the form of an amendment to the existing TC (or letters of TSO design approval) or as an STC (see Section 2-4).
(6) Minor changes, product design improvements, or service instructions
(e.g., service bulletins, structural repair manuals, supplemental structural inspection documents) other than those described in paragraph 2-3 (a) (4) will be considered FAA approved, if approved by the exporting CAA under its normal procedures. However, service bulletins or other similar instructions classified as "mandatory" by the exporting CAA are not mandatory in the U.S. regulatory system unless required by an FAA AD.
(7) For products imported from a JAA member country, the FAA/JAA Type Validation Principles should be followed for FAA type certification.
b. Primary Category Aircraft. Under 14 CFR 21.24, a type certificate may be issued for a primary category aircraft manufactured in a foreign country with which the U.S. has a bilateral agreement and from which the aircraft is to be imported into the U.S. if the CAA of the exporting country certifies to the FAA that:
(1) The applicant has completed the engineering analysis necessary to demonstrate compliance with the applicable airworthiness requirements;
(2) The applicant has conducted appropriate flight, structural, propulsion, and systems tests necessary to show that the aircraft, its components, and its equipment are reliable and function properly;
(3) The type design complies with the airworthiness standards and noise requirements established for the aircraft under 14 CFR 21.17(f);
(4) No feature or characteristic makes the aircraft unsafe for its intended use;
(5) The required manuals, placards, listings, instrument markings, and documents are submitted in English; and
(6) Other requirements as established by 14 CFR 21.24 (a) and (b) are met.
c. Application for FAA Type Certification
(1) An application for a U.S. TC, in accordance with 14 CFR 21.15, should be sent to the exporting CAA. Applications may be submitted for products that already were issued an exporting CAA TC, or for products where application for type certification has been made to that exporting CAA. The exporting CAA should ensure the application to the FAA has the following information:
(a) The exporting CAA’s Type Certificate and TC Data Sheet, if available, a definition of the national airworthiness and environmental standards upon which the authority’s design approval was (or is to be) based, and the U.S.
airworthiness and environmental standards the authority believes to be satisfied by its own standards.
(b) A description of all novel or unusual design features known to the applicant or the exporting CAA at the time of application which might necessitate issuance of FAA special conditions under 14 CFR 21.16 or 21.101, or which might require a special review of acceptable means of compliance;
(c) All known or expected exemptions or equivalent level of safety findings relative to the exporting CAA’s national standards for design approval that might affect compliance with the applicable U.S. airworthiness and environmental standards.
(d) A planning date for FAA type certification; and
(e) Available information on U.S. market potential, including specific customers and U.S. content of the product, if known.
(2) Except for Canadian products, the exporting CAA should forward applications to the Aircraft Certification Service Directorates as follows:
(a) Small and commuter category airplanes, manned free balloons, and special classes of small aircraft, including gliders, primary category airplanes, and airships, to the Small Airplane Directorate in Kansas City, Missouri;
(b) Transport category airplanes to the Transport Airplane Directorate in Renton, Washington;
(c) Normal and transport category rotorcraft to the Rotorcraft Directorate in Fort Worth, Texas; and
(d) Engines and propellers to the Engine and Propeller Directorate in Burlington, Massachusetts. Appendix 2 contains a list of addresses for the FAA Aircraft Certification Service Directorates. NOTE: For Canadian products, see the Canadian IPA.
(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.
16 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
17 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
18 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