19 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 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:
equals or 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);
Applicant’s National Standards + FAA Additional Technical Conditions U.S. Type Certification Basis U.S. Standards U.S. Type Certification Basis
(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
(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
21 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 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
22 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
24 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 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]
26 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.
27 (and 28) 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
29 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.
(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 and aircraft type certificated under the provisions of 14 CFR 21.21 but manufactured outside the U.S. (e.g., under a licensing agreement).
(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.
(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.