iv
c. Bilateral Airworthiness Agreement (BAA) means a government-to-government executive agreement between the U.S. and the government of another country (contracting State) to facilitate the airworthiness approval or acceptance of civil aeronautical products exported from one contracting State to the other. BAA’s are not trade agreements; rather, they are technical cooperation agreements, intended to provide a framework for the airworthiness authority of the importing State to give maximum practicable credit to airworthiness certification functions performed by the airworthiness authority of the exporting State using its own domestic certification system.
d. Bilateral Aviation Safety Agreement (BASA) means a government-togovernment agreement, consisting of one Executive Agreement and one or more Implementation Procedures, to facilitate the recognition of procedures for the reciprocal acceptance of:
(1) Airworthiness approvals of civil aeronautical products;
(2) Environmental approval and environmental testing;
(3) Approval and monitoring of maintenance facilities and alteration or modification facilities;
(4) Approval and monitoring of maintenance personnel;
(5) Approval and monitoring of crews;
(6) Approval and monitoring of flight operations;
(7) Flight simulator qualification evaluations; and
(8) Approval and monitoring of aviation training establishments.
These agreements are replacing BAA’s.
e. Civil Aeronautical Product (herein also referred to as “product”) means any civil aircraft, aircraft engine, or propeller or subassembly, appliance, material, part, or component to be installed thereon.
f. Environmental Standards means the regulations governing the certification of designs with regard to noise characteristics, fuel venting, and exhaust emissions of civil aeronautical products.
g. Implementation Procedures for Airworthiness (IPA) means the procedural document authorized by the BASA Executive Agreement for design approval, production activities, export airworthiness approvals, post-design approval activities and technical assistance between authorities. This document defines the civil aeronautical
v products and parts eligible for import into the U.S. and the counterpart BASA signatory country. It defines the interface requirements and activities between the authorities for the import and continued support of those civil aeronautical products.
h. Imported to the U.S. , as used within the context of this AC, means, for aircraft, a foreign manufactured aircraft intended to be placed on the U.S. registry. For all other foreign manufactured products, means intended for installation on a U.S.-registered aircraft even though the aircraft in either case is not operated in the U.S. (Guidance on special airworthiness certification is found in other FAA advisory materials.)
i. Maintenance Implementation Procedures means the procedural document authorized by the BASA Executive Agreement related to the performance of maintenance, alterations and modifications on civil aeronautical products. This document defines the process for reciprocal acceptance of each authority's recommendations for the certification, renewal, and acceptance of eligible repair stations and maintenance organizations.
j. New
(1) For an aircraft, means an aircraft that is still owned by the manufacturer, distributor, or dealer, if there is no intervening private owner or lease or time-sharing arrangement, and the aircraft has not been used in any pilot school and/or commercial operation.
(2) For an aircraft engine or propeller, means an aircraft engine or propeller that is still owned by the manufacturer, distributor, or dealer; and has never been installed on an aircraft, has no time in service other than testing by the manufacturer, and meets all technical requirements for a new product.
k. Rebuilt Product means a product that uses new or used parts that conform to new part tolerances and limits or to approved oversized or undersized dimensions that has undergone the following by the original manufacturer:
(1) Has been disassembled, cleaned, inspected, repaired as necessary, and reassembled to the extent possible; and
(2) Has been tested to the same tolerances and limits as a new product.
l. Schedule of Implementation Procedures (SIP) means the procedural document, similar to an IPA that is associated with some BAA’s. It facilitates the approval process for aircraft and other aeronautical products being imported or exported between the U.S. and a foreign country.
m. Used means an aircraft, engine, or propeller that is not new, as defined in paragraph (j) above.
vi
5. ABBREVIATIONS
a. ACO : FAA Aircraft Certification Office
b. AEG : Aircraft Evaluation Group
c. ATC : Additional Technical Condition
d. BAA : Bilateral Airworthiness Agreement
e. BASA : Bilateral Aviation Safety Agreement
f. CAA : Civil Aviation Authority
g. CFR : U.S. Code of Federal Regulations
h. FAA : Federal Aviation Administration, U.S.A.
i. ICAO : International Civil Aviation Organization
j. ICAW : Instructions for Continued Airworthiness
k. IP : Implementation Procedures (BASA)
l. IPA : Implementation Procedures for Airworthiness
m. JAA: Joint Aviation Authorities
n. MIP : Maintenance Implementation Procedures
o. MMEL : Master Minimum Equipment List
p. PC : Production Certificate
q. SFAR : Special Federal Aviation Regulation
r. SIP : Schedule of Implementation Procedures
s. STC : Supplemental Type Certificate tT C : Type Certificate
u. TSO : Technical Standard Order
v. TSOA : Technical Standard Order Authorization
vii (and viii)
6. GENERAL
a. The FAA does not issue standard airworthiness certificates, nor grant airworthiness approvals, for aeronautical products manufactured in a country with which the U.S. does not have a BAA or a BASA with IPA for the kinds of products concerned.
The FAA must issue a type certificate prior to the issuance of an FAA standard airworthiness certificate.
b. Information provided in this AC is intended to offer guidance for the most common situations encountered in the design approval process leading to FAA type certification or letter of issuance of TSO design approval, and to FAA airworthiness certification or approval of civil aeronautical products to be imported to the U.S.
Procedures and practices dealing with unique situations should be cleared in advance with the Aircraft Certification Service, FAA Headquarters, Washington, DC.
c. Suggestions or comments for future revision of this AC should be addressed to the Director, Aircraft Certification Service, Federal Aviation Administration, 800 Independence Avenue, S.W., Washington, DC 20591.
/s/ Elizabeth Erickson Director, Aircraft Certification Service
ix
CONTENTS Paragraph Page CHAPTER 1. INTRODUCTION 1
1-1. GENERAL 1
1-2. AIRCRAFT CERTIFICATION SERVICE’S INTERNATIONAL VISION AND 1
1-3. FAA AIRCRAFT CERTIFICATION SERVICE ORGANIZATION 1
1-4. BILATERAL AGREEMENTS 3
1-5. HOW BILATERAL AGREEMENTS WORK 7
1-6. TECHNICAL ASSISTANCE AND COOPERATION BETWEEN AUTHORITIES 8
1-7. AIRWORTHINESS SAFETY OBJECTIVES AND FUNCTIONS 8 CHAPTER 2. PRODUCT DESIGN APPROVAL PROCEDURES 9
2-1. GENERAL 9
2-2. AIRCRAFT, AIRCRAFT ENGINES, PROPELLERS 10
2-3. TYPE CERTIFICATION PROCEDURES 12
2-4. TC AMENDMENTS AND STC’S 23
2-5. ACTIONS TO TRANSFER, SURRENDER, OR REVOKE AN FAA TYPE CERTIFICATE 23
2-6. DESIGN APPROVAL PROCEDURES FOR APPLIANCES -- FAA LETTER OF TSO DESIGN APPROVAL 24
2-7. LETTER OF PARTS DESIGN APPROVAL [RESERVED] 25 FIGURE 2-1. EXAMPLES OF TECHNICAL DATA, BY PRODUCT,
NORMALLY REQUESTED BY THE FAA FOR TYPE CERTIFICATION 26 FIGURE 2-2. EXAMPLES OF TECHNICAL DATA NORMALLY REQUIRED BY THE FAA FOR SUPPLEMENTAL TYPE CERTIFICATION 27 CHAPTER 3. AIRWORTHINESS APPROVAL OF IMPORTED PRODUCTS 29
3-1. GENERAL 29
3-2. AIRCRAFT 30
3-3. AIRCRAFT ENGINES, PROPELLERS, MATERIALS, PARTS AND APPLIANCES (RELATED PRODUCTS) 35
3-4. REBUILT PRODUCTS 37
3-5. SPECIAL MAINTENANCE RECORDS CONSIDERATION 37
3-6.-3-9. [RESERVED] 37
x Paragraph Page CHAPTER 4. PRODUCTION APPROVALS 39
4-1. GENERAL 39
4-2. MANUFACTURING LIMITATIONS RELATED TO A BILATERAL AGREEMENT 39
4.3 EXTENSIONS OF FAA PRODUCTION APPROVALS TO COUNTRIES OUTSIDE THE U.S. 40
4-4. PRODUCTION UNDER LICENSE TO A U.S. APPROVAL HOLDER 40
4-5. CAA SURVEILLANCE ASSISTANCE ON BEHALF OF THE FAA 40 CHAPTER 5. CONTINUED AIRWORTHINESS 43
5.1. GENERAL 43
5.2. CONTINUED AIRWORTHINESS DOCUMENTS 43
5.3. NOTIFICATION OF UNSAFE CONDITION AND MANDATORY CONTINUING AIRWORTHINESS ACTIONS 44
5-4. DESIGN CHANGES 45
5.5 APPROVAL OF DESIGN DATA USED TO SUPPORT REPAIRS 45 APPENDIX 1. AIRCRAFT CERTIFICATION SERVICE (1 page) APPENDIX 2. ACCOUNTABLE FAA DIRECTORATES (2 pages) APPENDIX 3. BILATERAL AGREEMENTS RELATED TO AIRWORTHINESS (3 pages) APPENDIX 4. SUMMARY OF PRODUCTS ELEIGIBLE FOR U.S. IMPORT UNDER BILATERAL AGREEMENTS (5 pages)
1 CHAPTER 1. INTRODUCTION
1-1. GENERAL. Aircraft airworthiness certification in the U.S. is a public safety function performed by the FAA with the purpose of ensuring the safety and environmental acceptability of U.S.-registered civil aircraft operating in air commerce. A U.S. statute--49, U.S.C. 106(g)--sets forth the duties and powers of the FAA Administrator in the safety regulation of civil aeronautics, including airworthiness certification of civil aeronautical products.
a. Title 49 U.S.C. 44701(a) charges the FAA Administrator with prescribing and revising minimum standards required in the interest of safety for appliances and for the design, material, construction, quality of work, and performance of aircraft, aircraft engines, and propellers. The U.S. airworthiness standards set forth by the FAA within 14 CFR, subchapter C are promulgated to implement this statute.
b. Title 49 U.S.C. 44711(a)(1) makes it unlawful for any person to operate in air commerce any U.S. registered civil aircraft for which there is not an airworthiness certificate currently in effect, or in violation of the terms of that airworthiness certificate.
c. Title 49 U.S.C. 44704 specifies and defines the FAA Administrator’s role in establishing requirements and issuing Type Certificates, Supplemental Type Certificates, Production Certificates, and Airworthiness Certificates. Additional information about these certificates can be found in Chapters 2, 3, and 4 of this Advisory Circular (AC).
1-2. AIRCRAFT CERTIFICATION SERVICE’S INTERNATIONAL VISION AND MISSION. The Aircraft Certification Service’s International Vision is that of a global network of airworthiness authorities working cooperatively to promote the highest level of public confidence in the safety of the international air transportation system with the lowest practicable regulatory burden to that system. Its mission is working in partnership with the global aviation community to continuously improve the safety of the international air transportation system and achieve international harmonization of aircraft certification standards, practices, and procedures. Bilateral agreements facilitate cooperation between the FAA and its partner aviation authorities, and minimize duplicative certification activities related to the import and export of aeronautical products.
1-3. FAA AIRCRAFT CERTIFICATION SERVICE ORGANIZATION
a. The FAA Aircraft Certification Service organizational structure is shown in appendix 1.
b. Four Aircraft Certification Directorates have been established to develop and ensure the standard application of technical policies in the type certification of
2 particular kinds of products. These directorates and assigned product responsibilities are as follows:
(1) Small Airplane Directorate (ACE-100) in Kansas City, Missouri, responsible for regulations and policy pertaining to: a) normal, utility, and acrobatic category airplanes weighing 12,500 lbs. or less and having seating configurations, excluding pilot seats, of 9 seats or fewer, b) commuter category, (propeller driven, multiengine) airplanes weighing 19,000 lbs. or less, with seating configurations, excluding pilot seats, of 19 seats or fewer; c) manned free balloons, and d) special classes of small aircraft, including gliders, primary category airplanes, and airships (14 CFR parts 23 and 31).
(2) Transport Airplane Directorate (ANM-100) in Renton, Washington, responsible for regulations and policy pertaining to all transport category airplanes (14 CFR part 25).
(3) Rotorcraft Directorate (ASW-100) in Fort Worth, Texas, responsible for regulations and policy for normal and transport category rotorcraft (14 CFR parts 27 and 29).
(4) Engine and Propeller Directorate (ANE-100) in Burlington, Massachusetts, responsible for regulations and policy for all aircraft engines, propellers, and auxiliary power units (14 CFR parts 33 and 35).
The addresses of these Directorates are provided in appendix 2. Aircraft certification tasks within a particular geographic area are normally handled by an Aircraft Certification Office (ACO) that reports to one of the Aircraft Certification Directorates.
c. The Aircraft Engineering Division (AIR-100) and the Production and Airworthiness Certification Division (AIR-200) in Washington, DC, develop and oversee standard application of general type, production, airworthiness certification, and continued airworthiness policies (e.g., 14 CFR parts 21, 39, and certain provisions of 183), including those related to implementation of Bilateral Airworthiness Agreements and the airworthiness provisions of Bilateral Aviation Safety Agreements. The Aircraft Engineering Division (AIR-100) also develops and oversees standard application of technical policies concerning the approval of appliances covered by a Technical Standard Order (TSO).
d. The Brussels Aircraft Certification Staff (AEU-100) located in Brussels, Belgium, provide support in Europe, Africa and the Middle East, to the Directorates and Divisions, the Flight Standards Service, foreign civil airworthiness authorities, and U.S.
and foreign manufacturers. The staff deals with matters concerning the import and export of aeronautical products and their continued airworthiness. The staff consists of technical representatives from the four Directorates, the two Washington Divisions (AIR-100, AIR-200), and a technical liaison to Flight Standards.
e. The International Airworthiness Programs Staff (AIR-4) in Washington, DC, is responsible for policy guidance on Bilateral Airworthiness Agreements (BAA), Bilateral Aviation Safety Agreements (BASA), and other international airworthiness issues, programs, and procedures. A single International Airworthiness Program Staff member, APC-100, is located in Singapore and performs functions similar to those of the Brussels Aircraft Certification Staff.
f. In addition to the organizations within the FAA’s Aircraft Certification Service (AIR), four other FAA offices provide support for AIR’s certification responsibilities.
(1) The Office of Environment and Energy (AEE) develops, recommends, and promulgates regulations establishing standards for aircraft noise, and regulations for fuel venting and exhaust emissions for turbine engine powered airplanes.
( 2) The Flight Standards Service (AFS), through its Aircraft Evaluation Groups (AEG), evaluates operational and maintenance issues for new designs and inservice products. These AEG, located at the Aircraft Certification Directorates, integrate their activities with those of the Directorates during the type certification process.
(3) The Office of International Aviation (AIA), through its three International Area Offices, provides liaison between the FAA and foreign governments.
(4) The Office of the Chief Counsel (AGC) reviews all agreements between the FAA and other authorities and provides interpretations of all regulations and procedures.
1-4. BILATERAL AGREEMENTS
a. Purpose. Bilateral agreements are cooperative agreements between the U.S.
and the government of a foreign country for their mutual benefit. The FAA’s Aircraft Certification Service has responsibility under two kinds of bilateral agreements -- Bilateral Airworthiness Agreements and Bilateral Aviation Safety Agreements with Implementation Procedures for Airworthiness. Both agreements are based on a high degree of mutual confidence in the technical competence and regulatory capability of the aviation authority of the exporting country for performing aircraft certification functions within the scope of the agreement.
b. Bilateral Airworthiness Agreement.
(1) A Bilateral Airworthiness Agreement (BAA) is an executive agreement between the U.S. and a foreign country that has a competent civil airworthiness authority and an aeronautical product manufacturing industry. A BAA is not a trade agreement. Instead, it is a technical agreement concerning the performance of airworthiness certification functions. BAA’s vary in scope, but all provide that "... the importing State shall give the same validity to the certification made by (the competent
4 aeronautical authority of the exporting State) as if the certification had been made by its (the importing country's) own competent aeronautical authority in accordance with its own applicable laws, regulations, and requirements." One condition common to all of these agreements permits the importing State to prescribe additional technical conditions ". . . which the importing State finds necessary to ensure that the product meets a level of safety equivalent to that provided by its applicable laws, regulations, and requirements which would be effective for a similar product produced in the importing State." The U.S. concluded 27 BAA’s with foreign governments from 1938 through 1991. Twenty-two current BAA’s consist only of an Executive Agreement negotiated and concluded by the U.S. Department of State. Three BAA’s (with Argentina, China, and Indonesia) consist of an Executive Agreement and a Schedule of Implementation Procedures (SIP). Because modifying a BAA can be cumbersome, the U.S. has established a new, more flexible format, a Bilateral Aviation Safety Agreement, discussed below.
(2) Except for Canada, the BAA’s between the U.S. and other countries do not address FAA acceptance of maintenance work performed outside the U.S. This AC, therefore, does not address such maintenance on U.S.-registered aircraft or on products to be installed on U.S.-registered aircraft. Separate maintenance agreements (Maintenance Implementation Procedures) with Germany, France, and Ireland have been concluded as of August 2000. Contact the Continuous Airworthiness Maintenance Division, Flight Standards Service, for more information.)
c. Bilateral Aviation Safety Agreement.
(1) In order to facilitate the FAA’s need to include additional aviation safety areas in a bilateral agreement, the U.S. has established a new format that separates the agreement to cooperate in the performance of civil aviation responsibilities from the technical procedures which implement that agreement. This format, called a Bilateral Aviation Safety Agreement (BASA), consists of an Executive Agreement, which is similar for all countries, and one or more Implementation Procedures (e.g., for airworthiness, maintenance, and flight simulators). Like a BAA, a BASA provides for technical cooperation between the FAA and its counterpart aircraft certificating authority, and, like a BAA, a BASA with airworthiness implementation procedures is intended to facilitate reciprocal airworthiness certification of civil aeronautical products imported or exported between the two signatory countries. A BASA, however, provides more flexibility than does a BAA and may include other procedures besides airworthiness.
(2) Countries are candidates for a BASA with the United States only if a determination has been made that its aviation regulatory system meets ICAO standards
(i.e., Category 1 of FAA’s International Aviation Safety Assessment Program).
(3) The signatories of the Executive Agreement are the Department of State and its foreign ministry counterpart, while the signatories of the Implementation Procedures (IP) are the FAA and its counterpart civil aviation authority. The FAA and
5 its counterpart can modify or add IP’s as needed without changing the Executive Agreement.
(4) Appendix 3 lists the countries with which the U.S. has established bilateral agreements, the type of the agreement (BAA or BASA), and the scope (i.e., products eligible for U.S. acceptance) of the agreement. Because the products eligible for U.S. import can vary from agreement to agreement, the provisions of a bilateral agreement with a particular country should be carefully reviewed. The texts of BAA’s and BASA’s with IPA’s are available on the Internet at:
www.faa.gov/avr/air/air4/4home.htm.
d. Technical Assessment Process. Before recommending a new agreement related to airworthiness, the FAA conducts a technical assessment of the certification system in the candidate BASA partner country. This assessment, which is very comprehensive, typically lasts between two and seven years. The assessment is conducted on a cost-reimbursable basis. The objective of the technical assessment is to determine whether the certification system in the BASA partner country is sufficiently comparable to the U.S. system to ensure similar results.
(1) Areas of assessment:
(a) National Legislation: The FAA reviews the scope and provisions of the partner country’s aviation regulations vis a vis the country’s legislation.
(b) Mission/Mission Priorities: The FAA reviews the mission and scope of the counterpart authority’s work program.
(c) Organization: The FAA examines the organizational structure of the partner country’s aviation authority, its delegations of authority, the location of its offices and its staffing, and its plans and mechanisms for ongoing improvement.
(d) Personnel: The FAA examines the roles, responsibility, and authority of the CAA’s personnel and the delegation of these roles and responsibilities to others.
The FAA also examines the personnel’s experience and training (including technical and on-the-job training).
(e) Approval Documents: The FAA examines the CAA’s approval documents, including design approvals, production quality assurance system approvals, airworthiness certifications, continued airworthiness documents, and delegation of responsibility documents.
(f) Standards/Policies: The FAA reviews procedural and regulation/rulemaking processes of the authority. It examines current policies, operating orders, and guidance material and reviews certification procedures. The FAA also reviews the authority's design standards and production and airworthiness regulations.