U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Detecting and Reporting Suspected Unapproved Parts Date: 8/17/11 Initiated by: AFS-300 AC No: 21-29C Change: 2
1. PURPOSE. This advisory circular (AC) provides updated information and guidance to the aviation community for detecting suspected unapproved parts (SUP) and reporting them to the Federal Aviation Administration (FAA). Appendix 1 contains FAA Form 8120-11, Suspected Unapproved Parts Report, which serves as a standardized means of reporting.
2. PRINCIPAL CHANGES. This change updates AC 21-29C, Detecting and Reporting Suspected Unapproved Parts. Also included is information regarding who to contact with questions regarding the information in this AC and where to obtain a copy.
PAGE CONTROL CHART Remove Pages Dated Insert Pages Dated 2 thru 3 7/22/08 2 thru 3 8/17/11 5 thru 6 9/28/07 5 thru 6 8/17/11 9 thru 10 7/22/08 9 thru 10 8/17/11
ORIGINAL SIGNED by /s/ John McGraw for
John M. Allen Director, Flight Standards Service
U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Detecting and Reporting Suspected Unapproved Parts Date: 7/22/08 Initiated by: AFS-300 AC No: 21-29C Change: 1
1. PURPOSE. This advisory circular (AC) provides updated information and guidance to the aviation community for detecting suspected unapproved parts (SUP) and reporting them to the Federal Aviation Administration (FAA). Appendix 1 contains FAA Form 8120-11, Suspected Unapproved Parts Report, which serves as a standardized means of reporting.
2. RELATED REGULATIONS.
a. Title 14 of the Code of Federal Regulations (14 CFR):
(1) Part 1, Definitions and Abbreviations.
(2) Part 21, Certification Procedures for Products, Articles and Parts.
(3) Part 43, Maintenance, Preventive Maintenance, Rebuilding, and Alteration.
(4) Part 45, Identification and Registration Marking.
(5) Part 91, General Operating and Flight Rules.
(6) Part 145, Repair Stations.
b. Title 49 CFR part 7, Public Availability of Information.
c. Title 49 of the U.S. Code (49 U.S.C.), §§ 44701, 44702, and 44704.
3. DEFINITIONS. Not withstanding specific definitions in part 1, the following definitions apply to terms used in this AC:
a. Administrator. The FAA Administrator or any person to whom authority is delegated in the matter concerned.
b. Approved Parts. This AC uses the term “approved parts” in a colloquial sense. The term approved parts is not synonymous with “a part that has received a formal FAA approval.”
Identify approved parts as parts that have met one of the following requirements:
(1) Produced in accordance with a Parts Manufacturer Approval (PMA) issued under part 21 subpart K.
(2) Produced in accordance with a Technical Standard Order (TSO) authorization issued by the Administrator under part 21 subpart O.
(3) Produced during the type certificate (TC) application process under part 21 subpart B, or the Supplemental Type Certificate (STC) application process under part 21 subpart E, prior to the issuance of the certificate and determined to conform to the approved TC or STC data (refer to part 21, § 21.9).
(4) Produced under a TC without a separate production authorization and an Approved Production Inspection System (APIS) in accordance with part 21 subpart F.
(5) Produced under a Production Certificate (PC) in accordance with part 21 subpart G.
NOTE: If produced under PC authority, this includes parts produced by a licensee under a licensing agreement. The term licensing agreement refers to § 21.132, which allows any person to apply for a PC if he or she holds or has rights to the benefit of a TC from the TC owner. The term licensing agreement does not imply or infer that a PC holder may grant production approval to any party on behalf of the FAA. It is not considered a licensing agreement if a PC holder grants authority to a supplier to ship parts directly to a PC holder’s customer.
(6) Produced in accordance with an approval under a Bilateral Airworthiness Agreement (BAA) under part 21 subpart N.
(7) Approved in any other manner acceptable to the Administrator (§ 21.8).
NOTE: Parts that have been inspected and/or tested by persons authorized to determine conformity to FAA-approved design data may also be deemed acceptable. Military surplus parts (defined as parts which have been originally released as surplus by the military, even if subsequently resold by manufacturers, owners/operators, repair facilities, or any other suppliers of parts), may fall under these conditions. Refer to the current edition of AC 20-62, Eligibility, Quality, and Identification of Aeronautical Replacement Parts, for information regarding eligibility and traceability of replacement parts.
(8) Produced as standard parts that conform to established industry or U.S. specifications (refer to definition in subparagraph 3l, Standard Part).
NOTE: Standard parts are not required to be produced under FAA approval; therefore, it is incumbent upon the installer (and the producer) to determine that the part conforms. The part must be identified as part of the approved type design or found to be acceptable for installation under part 43. Refer to the AC 20-62 for additional guidance on this matter.
(9) Produced by an owner or operator for the purpose of maintaining or altering their product.
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(10) Fabricated by a repair station or other authorized person during repair/alteration in accordance with an STC or field approval, (that is not for sale as a separate part), in accordance with part 43 and the current edition of AC 43-18, Fabrication of Aircraft Parts by Maintenance Personnel.
(11) Fabricated by a qualified person in the course of a repair for the purpose of returning a product to service (that is not for sale as a separate part) under part 43.
(12) Produced as a commercial part as defined in § 21.1.
NOTE: In summary, approved parts are produced in accordance with the means outlined in part 21.
c. Commercial Parts. An article that is listed on an FAA-approved Commercial Parts List included in the design approval holder’s Instructions for Continued Airworthiness required by § 21.50.
d. Aviation Safety Hotline. The Aviation Safety Hotline office handles all SUP reporting to the FAA. Use these toll-free telephone numbers to report unsafe practices that affect aviation safety, including the manufacture, distribution, or use of an SUP: 1-(800)-255-1111 or 1-(866)-835-5322. The caller’s identification is kept confidential, if requested.
e. Counterfeit Part. A 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 as original or genuine.
f. Distributors. Brokers, dealers, resellers, or other persons or agencies engaged in the sale of parts for installation in TC aircraft, aircraft engines, propellers, and appliances.
g. Part(s) Not Eligible for Installation. A part that is not eligible for installation on an FAA TC product. This also includes parts that are determined to be approved parts, but are awaiting maintenance.
h. Product. An aircraft, aircraft engine, or propeller, as defined in part 21.
i. Production Approval Holder (PAH). The holder of a PC, APIS, PMA, or Technical Standard Order Authorization (TSOA) who controls the design and quality of a product or part thereof.
j. Reporter. Any person who furnishes information regarding an SUP.
k. Anonymous Reporter. One who deliberately withholds personal information that might reveal their identity.
l. Confidential Reporter. One who requests his or her personal information to be confidential. (The reporter should check the box on FAA Form 8120-11 to indicate that the reporter is requesting confidentiality.) Information provided for law or regulatory enforcement purposes will receive protection under the Freedom of Information Act (FOIA) to the greatest Par 3 Page 3
extent allowed. If the reporter requests confidentiality, do not release details relevant to the SUP report that could reveal the reporter’s identity outside the agency.
m. Standard Part. A part manufactured in complete compliance with an established industry or U.S. Government or international specification that includes design, manufacturing, test and acceptance criteria, and uniform identification requirements. It also includes a type of part that the Administrator has found demonstrates conformity based solely on meeting performance criteria, and is in complete compliance with an established industry or U.S.
Government specification, which contains performance criteria, test and acceptance criteria, and uniform identification requirements. The specification must include all information necessary to produce and conform to the part, and be published so that any party may manufacture the part.
Examples include, but are not limited to, National Aerospace Standards (NAS), Army/Navy (AN) Aerospace Standards (AS), Military Standard (MS), Society of Automotive Engineers (SAE), SAE Sematec, Joint Electron Device Engineering Council, Joint Electron Tube Engineering Council, and American National Standards Institute (ANSI).
n. Supplier. Any person who furnishes aircraft parts or related services, at any tier, to the producer of a product or part thereof.
o. SUP. A part, component, or material that is suspected of not meeting the requirements of an approved part. A part that, for any reason, a person believes is not approved. Reasons may include findings such as different finish, size, color, improper (or lack of) identification, incomplete or altered paperwork, or any other questionable indication.
NOTE: Address an approved part used in the wrong application as a potential part 43 violation. It is not an SUP.
p. Unapproved Part. A part that does not meet the requirements of an approved part (refer to definition of approved parts in subparagraph 3b). This term also includes parts that may fall under one or more of the following categories:
(1) Parts shipped directly to the user by a manufacturer, supplier, or distributor, where the parts were not produced under the authority of (and in accordance with) an FAA production approval for the part (e.g., production overruns where the parts did not pass through an approved quality system).
NOTE: This includes parts shipped to an end user by a PAH’s supplier who does not have direct ship authority from the PAH.
(2) New parts that have passed through a PAH’s quality system which do not conform to the approved design/data.
NOTE: Do not report parts damaged due to shipping or warranty issues as an SUP.
(3) Parts that have been intentionally misrepresented, including counterfeit parts.
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4. RELATED READING MATERIAL (current editions). You can find this AC on the MyFAA employee Web site at https://employees.faa.gov/tools_resources/orders_notices.
Inspectors can access this AC through the Flight Standards Information Management System (FSIMS) at http://fsims.avs.faa.gov. Operators and the public may find this information at http://fsims.faa.gov.
• AC 00-56, Voluntary Industry Distributor Accreditation Program.
• AC 20-62, Eligibility, Quality, and Identification of Aeronautical Replacement Parts.
• AC 21-43, Production Under 14 CFR Part 21, Subparts F, G, K, and O.
• AC 21-45, Commercial Parts.
• AC 43-18, Fabrication of Aircraft Parts by Maintenance Personnel.
• Order 8120.16, Processing Reports of Suspected Unapproved Parts.
• Order 8120.2, Production Approval and Certificate Management Procedures.
5. BACKGROUND.
a. Unapproved Parts. In 1993, the SUP Program was established to coordinate efforts and address issues posed by the entry of “unapproved” parts into the U.S. aviation system.
b. Task Force. In August 1995, the FAA convened a task force to thoroughly review SUP issues and devise a program plan that would build on past initiatives and increase the existing program’s effectiveness. A vision for the task force and SUP Program was set forth to promote the highest level of aviation safety by eliminating the potential safety risk posed by the entry of unapproved parts in the U.S. aviation community.
c. SUP Program Plan. To achieve this vision, the task force developed an SUP Program Plan. The plan included several special emphasis areas and specific recommendations. The recommendations identified the need for the FAA to establish an organizational structure capable of providing clear and consistent guidance, enhanced training, more timely SUP case processing, access to usable management information system data, and improved coordination with law enforcement authorities.
d. Functions. Following acceptance of the recommendations, the SUP Program Office was established effective November 13, 1995. Functions of the SUP Program Office include:
(1) Providing a primary point of contact (POC) for SUP issues.
(2) Providing technical support to FAA offices and industry.
(3) Developing basic SUP Program policy and guidance material.
(4) Developing and maintaining a parts reporting information system and analyzing data in that system.
(5) Disseminating SUP information to FAA offices, other government agencies, and industry.
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(6) Identifying SUP-related training requirements, overseeing training program development, and evaluating training.
e. SUP Program Office Responsibilities. On July 20, 2007, the SUP Program Office responsibilities, as outlined above, were realigned into Flight Standards Service (AFS) and the Aircraft Certification Service (AIR). Thereafter, the FAA will receive all SUP reports through the Aviation Safety Hotline office. SUP reports will then be processed by the respective service in accordance with established procedures.
6. DISCUSSION.
a. Outline of Regulations. A basic outline of the regulations may provide the necessary foundation to determine whether a part should be suspect. The following overview illustrates the relationships between aircraft certification, airworthiness certificate issuance, and continued airworthiness. To simplify this illustration, references herein pertain to standard category aircraft.
(1) Under 49 U.S.C §§ 44701, 44702, and 44704, the Administrator must issue a TC for aircraft, aircraft engines, propellers, and certain appliances when they are found to be properly designed and manufactured, perform properly, and meet the regulations and minimum standards.
The Administrator must issue an airworthiness certificate when the aircraft is found to conform to its TC and, after inspection, is in condition for safe operation.
(2) Part 21 defines the procedural requirements for the issuance of TCs and changes to those certificates, PCs, airworthiness certificates, and the requirements for approval of certain materials, parts, processes, and appliances.
(a) Aircraft manufactured under a TC or PC are eligible for a Standard Airworthiness Certificate in accordance with § 21.183. This section further provides other circumstances in which a Standard Airworthiness Certificate may be issued to an aircraft that is proven to conform to a type design approved under a TC or STC.
NOTE: Part 21 requires PAH establishing and maintaining a quality system which ensures that each part presented for approval conforms to its approved design and is in a condition for safe operation.
(b) As stated on the Standard Airworthiness Certificate: “This airworthiness certificate is effective as long as the maintenance, preventive maintenance, and alterations are performed in accordance with parts 21, 43, and 91.”
(3) Part 43 contains regulations for maintenance, preventive maintenance, rebuilding, and alteration.
(a) In accordance with the general performance rules in § 43.13(a), the person performing maintenance, preventive maintenance, or alteration must use the methods, techniques and practices prescribed in the current manufacturer’s maintenance manual, or instructions for continued airworthiness (ICA) prepared by its manufacturer; or other methods, techniques, and practices acceptable to the Administrator. The tools, equipment, and test apparatus necessary to assure completion of the work in accordance with accepted industry standards must be used, and Page 6 Par 5
a special equipment or test apparatus recommended by the manufacturer (or an equivalent acceptable to the Administrator) must also be used.
(b) In accordance with part 43, § 43.13(b), the work must be done in such a manner, using material of such 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 (with regard to aerodynamic function, structural strength, resistance to vibration, deterioration, and other qualities affecting airworthiness).
(4) Part 45 prescribes the requirements for identification of aircraft, aircraft engines, and propellers manufactured under the terms of a type of PC, identification of certain replacement and modified parts produced for installation on TC’d products, and nationality and registration marking of U.S.-registered aircraft.
(5) Part 91 subpart E refers to maintenance, preventive maintenance, and alterations. This section includes the owner/operator’s responsibilities to maintain the aircraft in an airworthy condition, to have it maintained and inspected in accordance with part 43, and to ensure record entries are made approving the aircraft for return to service. A part installed, not meeting the approval requirements of part 21, invalidates the airworthiness certificate, as this is one of the conditions necessary to keep the certificate in effect. Aircraft without an effective airworthiness certificate are therefore considered to be unairworthy.
b. Airworthy. To determine that the installation of a part complies with the applicable regulations, the installer of the part is ultimately responsible for establishing that the part conforms to its type design and is in a condition for safe operation (Airworthy).
c. AC 20-62. To enable compliance with the regulations, and to offer further guidance and clarification relevant to the eligibility of aeronautical replacement parts, AC 20-62, was published. 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 that are not represented as being airworthy or eligible for installation on a TC’d 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 imperative that the buyer request and receive the necessary documentation to substantiate the status of the part.
7. DETECTION. The airworthiness of aeronautical products would be in question if the design and quality of the parts are unknown. Positive identification of unapproved parts can be difficult if the parts display characteristics similar to that of an approved part. The following guidelines offer a means by which approved parts (and their sources) may be assessed.
a. Procurement Process. Establish a procedure to ensure the procurement of approved parts prior to purchasing parts and material for installation in TC’d products. This procedure should include the following at a minimum:
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(1) Methods of identifying distributors and/or suppliers who have a documentation system, and receiving inspection system that ensure the traceability of their parts to an FAA-approved source.
(2) Methods of screening unfamiliar distributors and/or suppliers to determine if the parts present a potential risk of being unapproved. The following are situations that may raise questions:
(a) A quoted or advertised price that is significantly lower than the price quoted by other distributors and/or suppliers of the same part.
(b) A delivery schedule that is significantly shorter than that of other distributors and/or suppliers (when the stock of a like item is exhausted).
(c) Sales quotes or discussions from unidentified distributors that create the perception that an unlimited supply of parts, components, or material is available to the end user.
(d) A distributor and/or supplier’s inability to provide substantiating documentation that the part was produced in accordance with an FAA approval, or inspected, repaired, overhauled, preserved, or altered in accordance with the CFR.
NOTE: To assist in alleviating issues regarding lack of documentation and improve traceability, the FAA published AC 00-56. The AC 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 (as outlined in this AC). The Aviation Suppliers Association maintains a listing of participants in the voluntary program on the Internet at the following address: http://aviationsuppliers.org.
b. Acceptance Procedures. Procedures should include a means of identifying SUP during the receiving inspection and prevent their acceptance. Address the following suggested areas:
(1) Confirm that the packaging of the part identifies the supplier or distributor and is free from alteration or damage.
(2) Verify that the actual part and delivery receipt reflect the same information as the purchase order regarding part number, serial number, and historical information (if applicable).
(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).
(4) Ensure that the shelf life and/or life limit has not expired, if applicable.
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(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:
(a) FAA Form 8130-3, Airworthiness Approval Tag.
(b) European Aviation Safety Agency (EASA) or Transport Canada Civil Aviation (TCCA) Authorized Release Certificate (equivalent to FAA Form 8130-3). Maintenance records or release document with approval for return to service.
(c) FAA TSO markings.
(d) FAA PMA markings.
(e) Shipping ticket/invoice from PAH.
(f) Direct ship authority letter from PAH.
(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).
(7) Conduct random sampling of standard hardware packaged in large quantities in a manner that corresponds to the type and quantity of the parts.
(8) Segregate parts of questionable nature and attempt to resolve issues regarding the questionable status of part (e.g., obtain necessary documentation if inadvertently not provided, or determine if irregularities are a result of shipping damage and handle accordingly).
c. Supplier Evaluations. Part 21 requires the quality system of a PAH to 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 and are in a condition for safe operation. Find detailed information and guidance on this subject in AC 21-43, Production Under 14 CFR Part 21, Subparts F, G, K, and O.
8. REPORTING PROCEDURES. Reports of SUP 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.
a. 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 made anonymously, request the submission of the reporter’s name to enable the FAA to verify information and provide confirmation and/or followup to the reporter.
b. FAA Form 8120-11. FAA Form 8120-11 includes instructions to complete, and identifies the information needed to initiate, an SUP investigation. It is included in this AC and Par 7 Page 9
can also be found at any FAA office or on the FAA Web site at:
http://www.faa.gov/aircraft/safety/programs/sups.
(1) Send the completed form to the AVS Hotline Office via e-mail or mail it to the address listed below:
Federal Aviation Administration Office of Audit and Evaluation Aviation Safety Hotline, Room 911 800 Independence Avenue, SW Washington, DC 20591
(2) If a reporter is not willing or able to complete FAA Form 8120-11, he or she may report an SUP by calling the AVS Hotline at 1-(800)-255-1111 or 1-(866)-835-5322.
c. Questions. Direct questions or comments regarding this AC to the Avionics Branch (AFS-360), at 202-385-4292.
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Appendix 1 APPENDIX 1. SUSPECTED UNAPPROVED PARTS REPORT OMB Approved 2120-0552 06/30/2009 US Denartman of Transportation SUSPECTED UNAPPROVED PARTS REPORT Federal Aviation Refer to page 2 for instructions on how to complete this form.
1. Date the Part Was Discovered: 2. Part Name:
3. Part Number: 4. Part Serial Number:
5. Quantity: 6. Assembly Name: 7. Aircraft Make & Model:
Assembly Number:
8. Name, Address, and Description of the Company or Person Who Supplied or Repaired the Part:
Name: Street Address:
City: 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:
10. Name and Address of (the Company or Person) Where the Part Was Discovered:
Name: Street Address:
City: 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 DOT/Office of Inspector General Repair Station - Certificate # Defense Criminal Investigation Service Other Government Agency Foreign Civil Aviation Authority Production Approval Holder Owner/Operator
11. Date of This Report:
12. L Check this box if you request anonymity - Do not complete blocks 13-15.
13. Name and Address of the Reporter:
Name: Street Address:
City: State: ZIP Code:
Country: Phone Number:
14. • Check this box if you request confidentiality.
15. Check this box if you have attached additional information.
FAA Form 8120-11 (10/16/2003) Supersedes Previous Edition Local Reproduction Authorized OMB Approved 2120-0552 Page 1