AC 21-29D

1 Advisory Circular Subject: Detecting and Reporting Suspected Unapproved Parts Date: February 13, 2018 Initiated By: AIR–600 AC No: 21-29D Change 1 1 PURPOSE.

This change is issued to include information on how to subscribe to the email “govdelivery” system to receive an email alert for FAA Unapproved Parts Notifications (UPN) when posted to the FAA Suspected Unapproved Parts, UPN webpage.

2 PRINCIPAL CHANGES.

 Instruction on how to receive email alerts for UPNs from the federal governments’ bulletin service (govdelivery) is added to page 7, paragraph 10, of this advisory circular.

 Updates the contact information on page 7, paragraph 11, following the FAA Aircraft Certification Service reorganization process accomplished on 7/24/2017.

PAGE CONTROL CHART Remove Pages Dated Insert Pages Dated 7 9/30/16 7 2/13/18 Dr. Michael C. Romanowski Director, Policy & Innovation Division, AIR-600 Aircraft Certification Service

Advisory Circular Subject: Detecting and Reporting Suspected Unapproved Parts Date: July 12, 2017 Initiated By: AIR–100 AC No: 21-29D 1 PURPOSE.

This advisory circular (AC) provides guidance to the aviation community for detecting suspected unapproved parts (SUP) and reporting them to the Federal Aviation Administration (FAA). Appendix A contains FAA Form 8120-11, Suspected Unapproved Parts Report, (with instructions) which serves as a standardized means of reporting. See appendix B for definitions specific to this AC.

2 AUDIENCE.

This AC is applicable to all personnel involved in producing, selling, and distributing aircraft parts and to all persons who perform maintenance, preventive maintenance or alterations.

3 CANCELATION.

AC 21-29C, Detecting and Reporting Suspected Unapproved Parts, dated July 22, 2008 (including subsequent changes) is cancelled.

4 CHANGES.

This publication changes the responsible organization for the SUP program from FAA’s Flight Standards Service (AFS) to the Aircraft Certification Service (AIR). It also deletes obsolete material, reorganizes selected sections, clarifies selected definitions, and moves the definition section to appendix B.

5 DETECTION OF SUP.

The airworthiness of aeronautical products may be compromised if a part’s approval status is suspect or unknown. Positive identification of unapproved parts has proven to be difficult because they can closely resemble approved parts. The following guidelines offer a means to use in your facility’s receiving section to evaluate received parts (and their sources). These steps will help prevent the procurement, acceptance, and installation of unapproved parts into aircraft and aviation components.

5.1 Supplier Evaluations.

FAA regulation 14 CFR, part 21, Certification Procedures for Products and Articles, requires that a production approval holder’s (PAH) quality system provide a means of determining that supplier-produced components (e.g., materials, parts, and subassemblies) or services (e.g., processes, calibration etc.), conform to FAA-approved design data. The process should include criteria for the initial evaluation, selection, periodic or ongoing evaluations, and disapproval of suppliers. The FAA strongly encourages PAHs to conduct initial onsite evaluations based on multiple risk factors.

Guidance on this function may be found in AC 21-43, Production Under 14 CFR Part 21, Subparts F, G, K, and O.

5.1.1 Although the supplier evaluation function is not required for repair stations and non- PAH holder facilities, repair stations are required to ensure each person maintaining or altering, or performing preventive maintenance, shall do that work in such a manner and use materials of such a quality, that the condition of the aircraft, airframe, aircraft engine, propeller, or appliance worked on will be at least equal to its original or properly altered condition. To ensure that only aviation quality materials are used in the repair of parts and components these facilities may elect to follow the guidance provided in AC 20-154, Guide for Developing a Receiving Inspection System for Aircraft Parts and Material and AC 20-62 Eligibility, Quality, and Identification of Aeronautical Replacement Parts, to help prevent introduction of un-airworthy parts into inventories.

5.2 Procurement Process.

Establish a procedure to ensure the procurement of approved parts prior to purchasing parts and material for installation in type certificated (TC) products. This procedure should include the following at a minimum:

5.2.1 Methods of identifying distributors and/or suppliers who have a documentation system and receiving inspection system that ensures the traceability of their parts to an FAA- approved source. (FAA AC 00-56, Voluntary Industry Distributor Accreditation Program, contains a list of accredited distributors whose traceability meets minimum standards described in that AC. See “Note” in paragraph 5.2.2 below.)

5.2.2 Methods of screening unfamiliar distributors and/or suppliers to determine if the parts present a potential risk of being unapproved. The following situations may raise questions:

 A quoted or advertised price that is significantly lower than the price quoted by other distributors and/or suppliers of the same part.

 A delivery schedule that is significantly shorter than that of other distributors and/or suppliers (when the stock of a like item is exhausted).

 Sales quotes or discussions from unidentified distributors that imply an unlimited supply of parts, components, or material are available to the end user.

 A distributor or supplier’s inability to provide substantiating documentation that the part was produced in accordance with an FAA approval or inspected, repaired,

3 overhauled, rebuilt preserved, or altered, pursuant to 14 CFR, part 43 Maintenance, Preventive Maintenance, Rebuilding, and Alteration.

The situations presented above are not conclusive and the FAA does not intend to imply that such situations will always lead to unapproved parts. In many cases a purchaser can confirm that the parts are approved parts or can be returned to an airworthy condition through ordinary due diligence. Traceability to approved design and production approval should be requested by purchasers on their purchase orders for all parts intended for use on TC products. In order to establish appropriate traceability documentation requirements for a particular category of parts, please refer to the “Documentation Matrix” in Appendix 1 of FAA AC 00-56.

Note: To assist in alleviating issues regarding lack of documentation and to improve traceability, the FAA published AC 00-56. AC 00-56 describes a system for the voluntary accreditation of civil aircraft parts distributors based on voluntary industry oversight and provides information that one may use for developing accreditation programs. Do not discourage purchasers conducting business with participants in this program from implementing their own procurement and acceptance procedures (outlined in this AC). The Aviation Suppliers Association maintains a listing of participants in the voluntary program at: http://aviationsuppliers.org.

5.3 Receiving Inspection.

Your internal procedures should include a means of identifying unapproved parts and preventing their acceptance. An effective receiving inspection should address the following suggested areas:

5.3.1 Confirm that the packaging of the part identifies the supplier or distributor and is free from alteration or damage.

5.3.2 Verify that the actual part and delivery receipt reflect the same information as the purchase order regarding part and serial number.

5.3.3 Verify that the identification on the part has not been tampered with (e.g., serial number stamped over, label or part/serial numbers improper or missing, vibro-etch or serial numbers located at other than the normal location).

5.3.4 Ensure that the parts’ shelf life and/or life limit has not expired, if applicable.

5.3.5 Conduct a visual inspection of the part and supporting documents to the extent necessary to determine if the part is traceable to an FAA-approved source. For detailed guidelines on the identification of replacement parts refer to AC 20-62. The following are examples of positive forms of identification:

 FAA Form 8130-3, Airworthiness Approval Tag.

 Repair station work order from an FAA-certificated source.

 European Aviation Safety Agency (EASA) Form 1 or Transport Canada Civil Aviation (TCCA) Form One, Authorized Release Certificate Maintenance records or release document with approval for return to service.

4  FAA Technical Standard Order (TSO) markings.

 FAA Parts Manufacturer Approval (PMA) markings.

 Shipping ticket/invoice from Production Approval Holder (PAH).

 Direct ship authority letter from PAH.

5.3.6 Evaluate any visible irregularities (e.g., altered or unusual surface, absence of required plating, evidence of prior usage, scratches, new paint over old, attempted exterior repair, pitting, or corrosion).

5.3.7 Conduct random sampling of standard hardware packaged in large quantities in a manner that corresponds to the type and quantity of the parts.

5.3.8 Segregate suspect parts and attempt to resolve any issues regarding the part’s questionable status through your supplier prior to initiating a SUP report (i.e., obtain necessary documentation if not provided or determine if irregularities resulted from shipping damage and handle accordingly).

Note: For purposes of this AC, the term “part” does not include raw materials (e.g., sheet metal stock, sealants, lubricants, raw forgings, casting, or billet material).

5.3.9 For guidelines on how to set up a receiving inspection system, refer to AC 20-154.

5.4 AC 20-62, Eligibility, Quality, and Identification of Aeronautical Replacement Parts.

AC 20-62 was published to promote compliance with FAA regulations and to offer further guidance and clarification relevant to the eligibility of aeronautical replacement parts. This AC includes definitions of various terms (e.g., “surplus” and “as is”) and outlines a means by which the installer can make the required determinations.

Note: Aircraft parts that are for sale but are not represented as being airworthy or eligible for installation on a TC product are not considered a SUP. It is not contrary to the CFR as such, to sell aircraft parts as is or for decorative purposes. It is essential that the buyer request and receive the necessary documentation to substantiate the status of the part if it is intended to be installed in a TC product.

6 SUP REPORTING PROCEDURES.

SUP reports may originate from numerous sources such as incoming/receiving inspections, audits, facility surveillance, complaints, congressional inquiries, accident or incident investigations, or various service difficulty reports.

6.1 Disclosure of Information.

It is the FAA’s policy to encourage the disclosure of information regarding aviation safety. Reporters may be concerned with the potential repercussions of reporting the discovery of parts that are alleged to be unapproved. Although reports may be submitted anonymously, requesting the reporter’s name enables the FAA to verify information and provide confirmation and/or follow up to the reporter.

6.2

6.2.1

6.2.2 7

7.1

7.1.1

7.1.2

7.1.3

7.1.4

7.1.5

7.1.6

7.2 8

8.1

8.1.1 FAA Form 8120-11, Suspected Unapproved Parts Report.

FAA Form 8120-11 includes instructions to complete the form, and provides the information needed to initiate a SUP investigation. The form is included in this AC and may be found at any FAA office or on the FAA Web site at the following URL:

http://www.faa.gov/aircraft/safety/programs/sups. If you complete the form online it may be submitted electronically to the FAA Hotline.

You may also send a completed form to the FAA Hotline Office via e-mail at FAAHotline@faa.gov, or you can mail a completed form to the address listed below:

Federal Aviation Administration Office of Audit and Evaluation 800 Independence Avenue, SW Washington, DC 20591 Attn: AAE-300, Room 911 A SUP report can no longer be initiated by calling. It has to be done by e-mail or mailed through the postal service.

RELATED REGULATIONS.

Title 14 of the Code of Federal Regulations (14 CFR):

Part 1, Definitions and Abbreviations.

Part 21, Certification Procedures for Products and Articles.

Part 43, Maintenance, Preventive Maintenance, Rebuilding, and Alteration.

Part 45, Identification and Registration Marking.

Part 91, General Operating and Flight Rules.

Part 145, Repair Stations.

Title 49 CFR, part 7, Public Availability of Information.

RELATED READING MATERIAL.

You can find this AC and the materials below at http://www.faa.gov/regulations_policies/advisory_circulars/ or on the Regulatory and Guidance Library at http://rgl.faa.gov.

AC 00-56, Voluntary Industry Distributor Accreditation Program.

8.1.2 AC 20-154, Guide For Developing a Receiving Inspection System for Aircraft Parts and Material.

8.1.3 AC 20-62, Eligibility, Quality, and Identification of Aeronautical Replacement Parts.

8.1.4 AC 21-43, Production Under 14 CFR Part 21, Subparts F, G, K, and O.

8.1.5 AC 21-45, Commercial Parts.

8.1.6 AC 43-18, Fabrication of Aircraft Parts by Maintenance Personnel.

8.1.7 FAA Order 1070.1, FAA Hotline Program.

8.1.8 FAA Order 8120.16, Suspected Unapproved Parts Program.

8.1.9 FAA Order 8120.22, Production Approval Procedures.

8.1.10 FAA Order 8120.23, Certificate Management of Production Approval Holders.

9 BACKGROUND.

9.1 Unapproved Parts.

The FAA devised the SUP Program in 1995 to address the issue of “unapproved” parts entering the U.S. aviation system. The goal of the SUP program was, and continues to be, to mitigate the potential safety risk posed by the entry of unapproved parts in the U.S. aviation community by identifying and preventing their installation into aircraft and other aviation products.

9.2 SUP Program Office.

The FAA established the SUP Program Office in 1995. That office developed the procedures required to investigate reports of suspect parts and increased the aviation community’s awareness of the dangers involved with unapproved aircraft parts. In July, 2007, the FAA issued Notice N-8900.12, Processing Reports of Suspected Unapproved Parts, which realigned the responsibility for the SUP program to the FAA’s Flight Standards Service (AFS) and the Aircraft Certification Service (AIR).

9.3 SUP Program Responsibilities.

In July, 2008, the FAA issued Order 8120.16, Processing Reports of Suspected Unapproved Parts, revising the procedures for coordinating, investigating, and processing SUP reports. The order stipulated that the Aviation Safety Hotline (now changed to FAA Hotline) would receive SUP reports from the aviation community and forward the reports to AFS or AIR, based on functional responsibility. Data and information management, and centralized points-of-contact for specific duties within the FAA remained at the national and regional/directorate levels.

9.4 SUP Program Operations.

The FAA employs a national reporting system (FAA Hotline Program) to receive reports of potential unapproved parts entering the aviation system primarily at the supply and repair level of aircraft maintenance. The SUP program, administered by AIR and AFS, employs surveillance, investigation, community wide notification, and where warranted, enforcement actions to address the problem of unapproved parts in the aviation system. AIR was designated as the office of responsibility for the SUP program in November 2012. See FAA Order 8120.16 for additional information.

10 UNAPPROVED PARTS NOTIFICATIONS (UPN) SUBSCRIBER INFORMATION.

10.1 To receive an email alert when new FAA UPNs are posted to the FAA Suspected Unapproved Parts UPN webpage, go to this website:

https://public.govdelivery.com/accounts//USAFAA/subscriber/new. Please enter an email address and click on “SUBMIT.” Enter a password if desired and then click on “SUBMIT” again.

10.2 The next screen will present FAA topic options. “FAA Unapproved Parts Notifications” is listed under the “Safety” section at the bottom of the page. Make your selection and click on “SUBMIT.” You are now subscribed to the govdelivery FAA UPN alerts.

11 WHERE CAN I FIND THIS AC?

11.1 You may find this AC on line at:

http://www.faa.gov/regulations_policies/advisory_circulars/

11.2 Questions.

Please direct questions or comments regarding this AC to the Policy and Innovation Division (AIR-600) at 202-267-1575.

11.3 Changes.

If you have any suggestions for improvements or changes to this document, you may use the template provided in appendix C.

Richard E. Jennings Acting Manager, Design, Manufacturing, and Airworthiness Division Aircraft Certification Service

Appendix A A-1 Appendix A. Sample Suspected Unapproved Parts Report Instructions for Completing FAA Form 8120-11, Suspected Unapproved Parts Report Privacy Act and Paperwork Reduction Act Statement:

An agency may not conduct or sponsor, and a person is not required to respond, to a collection of information unless it displays a currently valid OMB control number. The OMB control numb er for this form is 2120-0552. This information is collected by the FAA, under the authority of 49 USC 44701. The information will be used to support SUP investigations and management reports. Submission of this information is voluntary, with questions limited to reduce any burden on the reporter. Completion of this form is estimated to take less than 9 minutes.

Information collected is not available elsewhere and necessary to support the FA A’s commitment to prom ote safety . Information is routinely shared with law enfo rcement agencies for use in civil and criminal investigations. Information developed from this fo rm is covered under the Privacy Act system of records DOT/FAA 52 and the routine uses of that sy stem will apply. A reporter may request confidentiality of personal information to the extent permitted by the Freedom of Information A ct (5 USC 552) and the Privacy Act (5 USC 552a). Comments concerning the accuracy of this burden and suggestio ns for reducing the burden should be directed to the FAA at: 800 Independence Ave, SW, Washington DC 20591, Attn: Information Collection Clearance O fficer, AIO-20 An electronic copy of FAA Form 8120-11, Suspected Unapproved Parts Report, is available on the FAA website at http://www.faa.gov/aircraft/safety/programs/sups. You may complete the electronic FAA Form 8120-11 and send it to the FAA Hotline email: FAAHotline@faa.gov.

The instructions below correspond to numbered blocks on the Suspected Unapproved Parts Report:

1. Record the date the part was discovered.

2. Record the part name (or a description of the part).

3. Record the part number or identification number of the part.

4. Record the serial number on the part, if applicable.

5. Record the quantity of parts.

6. Record the assembly name and assembly number (where the part was or could be installed).

Record additional part numbers on page 3 or on a blank sheet of paper with the same information. Example:

Part Name: Strut | Part Number: 1234 | Serial Number: 678 | Quantity: 1 | Assembly Name: Main Landing Gear | Assembly Number: 56789X

7. Record the type of aircraft the part was (or could be) installed on.

8. Record the complete name and address of the company or person who produced, repaired, and/or sold the part. Do not list a P.O. Box address unless a street address is not available. Check the box that describes the company or person and provide the certificate number, if known (see explanations of participants below).

Air Carrier - An FAA-certificated company or person who undertakes directly by lease, or other arrangement, to engage in air transportation.

Supplier - A company or person who furnishes aircraft parts or related services, at any tier, to the producer of a product or part thereof.

Mechanic - A person holding an FAA mechanic certificate with airframe and/or powerplant ratings.

Production Approval Holder - A company or person holding one of the following three types of FAA production approvals:

production certificate, parts manufacturer approval, or technical standard order authorization.

Repair Station - An FAA-certificated repair station. Manufacturer - The original equipment manufacturer (OEM.)

Distributor - A broker, dealer, reseller or other person or agency engaged in the sale of parts.

Other - Record other type of business.

Owner/Operator - The owner or operator of an aircraft. Unknown

9. Record a brief narrative stating why you believe the part is not approved. Include a description of the part (improper configuration, suspect marking, different material, etc.), where it was obtained, and what type of documentation was supplied with it.

10. Record the complete name and address of the location where the part was found. Check the appropriate block to reflect the affiliation of the company or person who discovered the part.

11. Record the date the FAA Form 8120-11 is being submitted.

12. Check this box if you request anonymity (do not wish to provide your identity), and do not complete 13 or 14.

13. Record your name, address and phone number, if desired. This information will enable the FAA to contact you for additional information, if necessary.

14. Check this box if you request confidentiality of your personal information recorded in block 13.

15. Check this box if you have provided additional information (photos, invoices, certification statements, etc.).

Forward the completed FAA Form 8120-11, Suspected Unapproved Parts Report, to:

Federal Aviation Administration Office of Audit and Evaluation, (Room 911) 800 Independence Avenue, SW, Washington, DC 20591

Appendix A A-2

SUSPECTED UNAPPROVED PARTS REPORT

1. Date the Part Was Discovered: 2. Part Name:

3. Part Number: 4. Part Serial Number:

5. Quantity: 6. Assembly Name and Number:

Name:

Number:

7. Aircraft Make & Model:

Make:

Model:

8. Name, Address, and Description of the Company or Person Who Supplied or Repaired the Part:

Name: Street Address:

City: 1 State: j ZIP Code:State: Zip Code:

Country: Phone Number:

Check One of the Following Applicable to the Company or Person Who Supplied or Repaired the Part:

Air Carrier - Certificate # Supplier Mechanic - Certificate # Production Approval Holder Repair Station - Certificate# Manufacturer Distributor Other Owner/Operator Unknown

9. Description of the Issue: (attach additional sheet if necessary)

10. Name and Address of (the Company or Person) Where the Part Was Discovered:

Name: Street Address:

City: │ State: │ ZIP Code:State: │ State: │ ZIP Code:Zip: │ State: │ ZIP Code:

Country: Phone Number:

Check One of the Following Applicable to the Company or Person Who Discovered the Part:

Air Carrier - Certificate# FAA Inspector Mechanic - Certificate# DOT/Office of Inspector General Repair Station - Certificate # Defense Criminal Investigation Service Distributor Other Government Agency Supplier Foreign Civil Aviation Authority Production Approval Holder Owner/Operator Unknown Other

11. Date of This Report:

12 .

Check this box if you request anonymity - Do not complete block 13.

13. Name and Address of the Reporter:

Name: Street Address:

City: State: Zip Code:

Country: Phone Number:

14.

Check this box if y o u request confidentiality.

15.

Check this box if you have attached additional information.

FAA Form 8120-11 (6/2016) Supersedes Previous Edition Local Reproduction Authorized OMB Approved 2120-0552 Expires 6/2019

Appendix A A-3 FAA Form 8120-11 (1/2016) Supersedes Previous Edition Local Reproduction Authorized

(1) FAA Form 8120-11, Suspected Unapproved Parts Report Continuation Sheet Page ( ) of ( ) Part Name Part Number Serial Number Quantity Assembly Name Assembly Number

Appendix B B-1 Appendix B. Definitions B.1 B.1.1 B.1.2 B.1.3 B.1.4 B.1.5 B.1.6 DEFINITIONS.

The following definitions apply exclusively to terms used in this AC.

Approved Part.

The term “part” is contained in the definition of article, (“a material, part, component, process, or appliance”) as defined in 14 CFR part 21.1. For the purposes of this AC, an approved part may be produced pursuant to § 21.8 or § 21.9 and is not restricted to FAA production approvals (e.g. PMA, TSOA). Please refer to the cited regulations for further information on FAA approval criteria.

Note 1: For continuity purposes, the word “part” will continue to be used throughout this AC to mean any component or item intended to be used on a product.

Note 2: Be advised that a part produced pursuant to an FAA approval, as well as other acceptable manufactured parts, is not always and unconditionally eligible for installation, because it may be defective, lack required maintenance, or have reached a life limit or other limit and thus may not be airworthy.

Commercial Part:

An article that is listed on an FAA-approved commercial parts list included in a design approval holder’s instructions for continued airworthiness. (See FAA AC 21- 45, paragraph 5 for further information on commercial parts).

Counterfeit Part.

A type of “unapproved part” made or altered to imitate or resemble an approved part without authority or right, and with the intent to mislead or defraud by passing the imitation as original or genuine.

Note: Counterfeit parts may be new parts that are deliberately misrepresented as being designed and produced under an approved system or other acceptable method, even though they were not so designed and produced.

Distributors.

Brokers, dealers, resellers, or other persons or agencies engaged in the sale of parts for installation in type certificated (TC) aircraft, aircraft engines, propellers, and appliances.

FAA Hotline. The FAA no longer has a hotline number for SUP reporting to the FAA.

Part(s) Not Eligible for Installation.