Advisory Circular Subject: EXPORT AIRWORTHINESS Date: 6/27/00 AC No. 21-2J APPROVAL PROCEDURES Initiated by: AIR-200 Change:
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1. PURPOSE. This advisory circular (AC) contains information and guidance on procedures for exporting aeronautical products and incorporates by reference related special requirements submitted to the Federal Aviation Administration (FAA) by other governments. Additionally, the AC provides general information and guidance concerning issuance of export airworthiness approvals for Class I products and completion of applications for export airworthiness certification for Class II and Class III products. This AC provides an acceptable means, but not the only means, for compliance with Title 14 Code of Federal Regulations (14 CFR) part 21, Certification Procedures for Products and Parts (part 21).
2. CANCELLATION. AC 21-2H, Export Airworthiness Approval Procedures, dated September 6, 1995, is canceled.
3. PRINCIPAL CHANGES.
a. References to Federal Aviation Regulations (FAR) have been revised to Title 14 Code of Federal Regulations (14 CFR).
b. Appendix 2, Special Requirements of Importing Countries and Jurisdictions, has been removed and relocated to the Production and Airworthiness Certification Division, AIR-200, Internet site at http://www.faa.gov/avr/air/air200/200home.htm. This will now be the official FAA Internet site for all existing, revised, and new special requirements. Relocating appendix 2 to the Internet will provide immediate access to the current import requirements as they are received by the FAA.
c. Appendix 3, FAA Aircraft Certification Office and International Flight Standards Field Office Contacts For Other Countries, has been revised to reflect updated addresses.
4. FORMAT. This AC has been reformatted to contain only the export airworthiness procedures.
The Special Requirements of Importing Countries and Jurisdictions described in paragraph 3b of this AC are provided on the internet in their original format as submitted by each country or jurisdiction.
Therefore, incorrect format and nonconformance with the United States Government Printing Office Style Manual and FAA directives may be noticed. For any assistance with interpretations, contact:
FAA, Production and Airworthiness Certification Division, AIR-200, 800 Independence Avenue, SW., Washington, DC 20591.
Page 2 Par 4 Requests for a printed copy of the Special Requirements of Importing Countries and Jurisdictions may be obtained from the following:
Federal Aviation Administration Regulatory Support Division, AFS-600 P.O. Box 25082 Oklahoma City, OK 73125 Phone Number (405) 954-4103 or Federal Aviation Administration Production and Airworthiness Certification Division, AIR-200 800 Independence Avenue, SW.
Washington, DC 20591 Phone Number (202) 267-8361
5. RELATED READING MATERIAL. Use the latest edition of FAA Order 8130.2, Airworthiness Certification of Aircraft and Related Products, and FAA Order 8130.21, Procedures for Completion and Use of FAA Form 8130-3, Airworthiness Approval Tag (the title of Order 8130.21 may change during its next revision).
6. DISCUSSION.
a. Persons desiring additional information or guidance on obtaining an export airworthiness approval may contact the nearest FAA Flight Standards District Office (FSDO), International Flight Standards Field Office, Aircraft Certification Office, or Manufacturing Inspection District/Satellite Office. Persons in other countries or jurisdictions who wish to import aeronautical products from the United States should contact the appropriate FAA International Flight Standards Field Office listed in appendix 3.
b. The special requirements of the importing country or jurisdiction referred to in part 21, subpart L, include special conditions and/or additional requirements specified by the Civil Aviation Authority (CAA) of the importing country or jurisdiction. When special conditions or additional requirements are imposed by importing countries or jurisdictions, the FAA must certify the exporter's compliance except as noted below:
(1) Special requirements are administrative requirements which must be satisfied as a condition of shipment at the time of export. For example, they may involve the requirement for a United States Export Certificate of Airworthiness, copies of logbooks, flight manuals, etc. When a product does not meet the special requirements of an importing country or jurisdiction, a written statement must be obtained by the exporter from the CAA of the importing country or jurisdiction indicating the CAA will accept the deviation. This statement must accompany FAA Form 8130-1, Application for Export Certificate of Airworthiness.
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(2) Additional requirements are those deemed necessary by the importing country or jurisdiction, in addition to the exporting country's or jurisdiction's certification or approval basis, to provide a level of safety and environmental quality equivalent to the importing country's or jurisdiction's certification basis. When these requirements cannot or will not be satisfied, the exporter must obtain a written statement from the CAA of the importing country or jurisdiction indicating acceptance of the deviation.
This statement must accompany the Form 8130-1. Exporters are encouraged to obtain information on additional requirements from the importing country's or jurisdiction's CAA. Additional requirements by the importing country or jurisdiction should be documented on Form 8130-1, block 10, when they constitute a difference to the type design.
(3) Special conditions are airworthiness standards issued to cover unique and/or unusual design features that are not adequately covered by a country's or jurisdiction's applicable laws, regulations, or requirements. These special conditions should be included in the Type Certificate Data Sheets (TCDS) or Supplemental Type Certificates, as applicable. Special conditions for U.S. type certifications are issued in accordance with § 21.16. Exporters are encouraged to obtain information on special conditions from the importing country's or jurisdiction's CAA.
NOTE: The Special Requirements of Importing Countries and Jurisdictions as described in paragraph 3b of this AC refer to various importing countries and jurisdictions' internal technical documents. These documents are not normally available in FAA offices. In such cases, it will be necessary for interested person(s) to obtain those documents directly from the importing country's or jurisdiction's embassy.
c. FAA Form 8130-4, Export Certificate of Airworthiness, certifies compliance with applicable airworthiness requirements but DOES NOT CONSTITUTE AUTHORITY TO OPERATE AN AIRCRAFT. Information and guidance concerning appropriate airworthiness certificates, flight permits, and special flight authorizations are contained in AC 20-65, U.S. Airworthiness Certificates and Authorizations for Operation of Domestic and Foreign Aircraft.
7. 14 CFR § 21.323, ELIGIBILITY. Person(s) engaged in exporting civil aircraft and related products, including aircraft owners and their representatives, are eligible for an export airworthiness approval for a Class I or Class II product provided all pertinent requirements are met. A Class III product export airworthiness approval may only be issued by manufacturers (or their authorized suppliers) who have in their employ a designated representative of the Administrator authorized to issue that specific approval. The manufacturer must be a production approval holder (PAH) for that specific Class III product, i.e., hold a Production Certificate (PC), an Approved Production Inspection System, a Parts Manufacturer Approval, or Technical Standard Order (TSO) authorization. Class III products including standard parts as defined in § 21.321(b)(3) not produced under an FAA production approval are not eligible for issuance of Form 8130-3 for export.
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8. 14 CFR § 21.325, EXPORT AIRWORTHINESS APPROVALS. An export airworthiness approval means that, as of the time and date signed, the product covered was found airworthy by the FAA and to be in compliance with the applicable CAA requirements.
a. Export airworthiness approvals for Class I products are documented by issuance of Form 8130-4.
Procedures for completion and use of Form 8130-4 may be found in Order 8130.2. The FAA or authorized designee will complete Form 8130-4 upon receipt of Form 8130-1 completed by the applicant. Procedures for completion of Form 8130-1 are found in paragraph 9 of this AC.
b. Export airworthiness approvals for Class II or Class III products are documented by issuance of FAA Form 8130-3, Airworthiness Approval Tag. Procedures for completion and use of Form 8130-3 may be found in Order 8130.21.
9. 14 CFR § 21.327, APPLICATION. A separate application must be made for each aircraft, aircraft engine, or propeller EXCEPT that one application may be made for more than one engine or propeller, if all are of the same type and model and are exported to the same purchaser and country or jurisdiction.
One application may be submitted for more than one Class II product when the products are separated and identified as to the type and model of the related Class I product and is exported to the same purchaser and country or jurisdiction. Class II products manufactured by a PC holder and Class III products produced by any PAH do not require a written application. In these cases, an oral application or request should be made to the FAA as specified in § 21.327. A sample of Form 8130-1 is shown in appendix 1. Part I of the application should be completed for Class I products and Part II should be completed for Class II products.
NOTE: A Class I product is defined as a complete aircraft, aircraft engine, or propeller. A Class II product is a major component of an aircraft, aircraft engine, or propeller, the failure of which would jeopardize the safety of a Class I product; or any part, material, or appliance, approved and manufactured under the TSO system in the "C" series. A Class III product is any part or component that is not a Class I or Class II product and includes standard parts (Reference § 21.321).
a. Guidance for completion of Part I of Form 8130-1 (for Class I products).
(1) Export Certificate No. Leave blank.
(2) Items 1 and 2. Self-explanatory.
(3) Item 3. Self-explanatory, except for aircraft owned by a U.S. company being leased to a company in another country or jurisdiction. Under these circumstances, obliterate the word "purchaser" and insert "lessee."
(4) Item 4. Self-explanatory.
(5) Item 5. Description of product(s). Self-explanatory, except as follows:
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(a) For an aircraft not under U.S. registry, in the Identification No. block insert the nationality and registration marks supplied by the country or jurisdiction of registry or intended registry that are displayed on the aircraft. For U.S.-registered aircraft, insert the identification marks as assigned under 14 CFR part 47, Aircraft Registration. Any questions concerning the marking requirements of the importing country or jurisdiction should be resolved between the exporter/importer and the CAA of that country or jurisdiction.
(b) Under FAA Spec No., insert the pertinent specification number or TCDS number, whichever is applicable.
(c) For used aircraft, insert the operating hours since the annual type inspection required by § 21.329(c) and total time in service. Since used aircraft engines and propellers, which are not being exported as part of a certificated aircraft, must have been newly overhauled in accordance with § 21.329(e) to be eligible for export, the operating time since overhaul would reflect only run-in time as required to complete the overhaul process.
(d) For aircraft, the blocks for engine (5B) and propeller (5C) should be completed to reflect the applicable information.
(6) Items 6 and 7. These items are self-explanatory; however, if the NO box is checked, explain the deviations in Item 10 and attach the original or legible unaltered copy covering statements specifying the product will be acceptable with the deviations listed, as obtained from the CAA of the importing country or jurisdiction.
(7) Item 8. This item provides a means of establishing a date the ownership of the Class I product is expected to pass to the purchaser. If leased aircraft, enter N/A in this block and explain in Item 10.
(8) Item 9. This item provides a means of documenting the status of preservation and damage treatment, as required by the type certificate holder's approved procedures or other procedures acceptable to the Administrator.
(9) Item 10. This space is used to convey the information required under Items 6 and 7. This space may also be used by the exporter to convey any other information necessary to facilitate issuance of the export airworthiness approval. Documentation required to be submitted with the application should be listed and additional sheets may be attached and cross-referenced as necessary. After review by the FAA representative, documents required to be furnished to the importing country or jurisdiction under § 21.335 will be returned to the applicant.
(10) Item 11. This certification is to be dated and signed in a permanent-type ink by the exporter, with the name of the person signing the application typed or printed below. If the person signing the application is a representative/agent of the exporter, insert that person's title in the space provided. A notarized statement authorizing the individual to represent the exporter in this transaction should be attached to the application and referenced in Item 10.
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b. Guidance for completion of Part II of Form 8130-1 (for Class II products).
(1) Items 12 through 14. Self-explanatory.
(2) Item 15. The instructions contained in Order 8130.21 for entering eligibility information should be used for item 15.
NOTE: No entry is required in the "FAA Spec No." box.
(3) Item 16. Self-explanatory.
(4) Item 17. This space provides for a description and listing of the Class II products being exported. If the quantity and variety of the parts are too numerous to list in the space provided, check the second block, and on the line provided, specifically identify and attach a copy of the exporter's shipping document covering the parts concerned. Otherwise, check the first block and list the parts in the space provided. In either case, if more than one type of Class II products are involved, they are to be listed according to the Class I product to which they pertain. List serial numbers or equivalent means of identifying each physical product.
(5) Item 18. This item is self-explanatory; however, if the NO box is checked, explain the noncompliance in Item 10, and attach the written confirmation of deviation acceptance from the CAA of the importing country or jurisdiction.
(6) Item 19. This item provides a means of documenting the status of preservation and damage treatment as required by the manufacturer's approved procedures or other procedures acceptable to the Administrator. It is recommended that all products be appropriately treated for corrosion and damage prevention.
(7) Item 20. This certification is to be dated and signed in a permanent-type ink by the exporter with the name of the person signing the application typed or printed below. If the person signing the application is the exporter's representative, insert that person's title in the space provided. If the person signing the application is the exporter's agent, a notarized statement authorizing that individual to represent the exporter in this transaction should be attached to the application and referenced in Item 10.
10. 14 CFR § 21.329, ISSUANCE OF FAA FORM 8130-4, EXPORT CERTIFICATE OF AIRWORTHINESS, FOR CLASS I PRODUCTS. Under this section, an aircraft of U.S.
manufacture need not possess a standard or restricted airworthiness certificate; but it must meet the airworthiness requirements for such a certificate. Conversely, non-U.S. manufactured aircraft are required to be U.S.- registered and possess a valid U.S. Standard Airworthiness Certificate.
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11. 14 CFR § 21.335, RESPONSIBILITIES OF EXPORTERS.
a. Show that a product meets the requirements of §§ 21.329, 21.331, and 21.333.
(1) Ensure the product meets its type design, is in a condition for safe operation, and meets the importing country's or jurisdiction's CAA requirements.
(2) Make the product available to the FAA representative for any inspection considered necessary.
NOTE: A product not meeting the requirements of §§ 21.329, 21.331, or
21.333 may be exported if the importing country's or jurisdiction's CAA indicates acceptance in writing. Requirements which are not met shall be listed or referenced on Form 8130-4 in the Exceptions block, or referenced in the Remarks block on Form 8130-3, as applicable.
b. When title to a U.S.-registered and certificated aircraft passes to a purchaser in another country or jurisdiction, § 21.335 requires the exporter to:
(1) Request cancellation of the United States registration and airworthiness certificate, give the date of title transfer, and the name and address of the new owner.
(2) Return the registration certificate, AC Form 8050-3, Certificate of Registration;
FAA Form 8100-2, Standard Airworthiness Certificate; or FAA Form 8130-7, Special Airworthiness Certificate; as applicable, to the FAA Aircraft Registry.
(3) Submit a statement certifying the United States registration marks have been removed from the aircraft in compliance with 14 CFR part 45, Identification and Registration Marking, § 45.33.
NOTE: The above information should be submitted to the following address:
Federal Aviation Administration Aircraft Registration Branch, AFS-750 P.O. Box 25504 Oklahoma City, OK 73125
c. If an importing country or jurisdiction requires design approval of a product prior to its export, then any application for type certification should be forwarded to the responsible ACO for transmittal to the appropriate aviation authority.
12. 14 CFR § 21.339, SPECIAL EXPORT AIRWORTHINESS APPROVAL FOR AIRCRAFT.
When an aircraft is exported under the provision of § 21.339, and title of the aircraft has passed to a purchaser from another country or jurisdiction, the exporter is to comply with § 21.335(e) (reference paragraphs 11a and 11b of this AC).
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13. DETERMINATION OF NEW, NEWLY OVERHAULED, AND USED PRODUCTS.
a. 14 CFR does not define NEW or USED products. However, there are requirements that are pertinent to both new and used products in 14 CFR and in the special requirements of certain countries or jurisdictions.
b. Aircraft engines, propellers, or Class II or III products that are removed for any reason and exported without any previous TIME IN SERVICE are considered NEW, since any time in service makes them used products.
c. An aircraft may be considered NEW as long as its ownership is retained by the manufacturer or dealer and there is no intervening private owner, lease, or time sharing arrangements, and the aircraft has not been used in any pilot training school and/or air taxi operation. An aircraft is still considered NEW regardless of the amount of operating time logged by the manufacturer or dealer when:
(1) The aircraft has been maintained in accordance with the maintenance provisions of part 21, 14 CFR part 43, Maintenance, Preventive Maintenance, Rebuilding, and Alteration, and 14 CFR part 91, General Operating and Flight Rules, as applicable.
(2) The application for the Export Certificate of Airworthiness reflects the serial number of the aircraft and the total number of operating hours accumulated. The aircraft engine(s) and propeller(s) should also be identified by serial numbers followed by the total number of operating hours of each and the total elapsed time since the last 100-hour/annual inspection, if such an inspection has been accomplished.
(3) The Export Certificate of Airworthiness reflects the information required by paragraph 13(c)(2) of this AC.
(4) The aircraft has not been used in any revenue flights.
d. Under § 21.321, the words NEWLY OVERHAULED (when used to describe a product) mean the product has not been operated or placed into service, except for functional testing, since having been overhauled, inspected, and approved for return to service in accordance with the applicable regulations.
Class II products eligible for export approval may only be new or newly overhauled and conform to the requirements of § 43.2(a); be in a condition for safe operation; be identified with at least the manufacturer's name, part number, model designation (when applicable), and serial number(s) or equivalent (when applicable), and meet the special or additional requirements of the importing country or jurisdiction. Serial number or equivalent includes but is not limited to batch numbers, lot numbers, work order numbers, or any sequence of letters or combination of numbers and letters established by the manufacturer or repair station to maintain traceability of their products.
e. Class II products not meeting these requirements may be exported if the CAA of the importing country or jurisdiction provides written confirmation stating acceptance under § 21.327(e)(4). Class III products are eligible for export when the applicant shows the product conforms to the approved design
Par 13 Page 9 data applicable to the Class I or Class II product of which it is a part; the product is in a condition for safe operation; and the product meets the special or additional requirements of the importing country or jurisdiction. A Class III product that is not NEW may be exported only when the CAA of the importing country or jurisdiction provides written confirmation stating acceptance of the product under §§ 21.333(b) and 21.327(e)(4).
NOTE: Although newly overhauled products technically are used products, the terms new and newly overhauled are prescribed in part 21, subpart L, in order to distinguish between products eligible for Form 8130-3. Any products that are not NEW or NEWLY OVERHAULED are considered USED. Flight Standards Information Bulletin for Airworthiness, Bulletin Number FSAW 94-04, provides additional guidance when exporting used avionics. Contact your local FSDO for current information.
f. If for any reason the previously listed information results in controversy or is contrary to existing special or additional requirements, the issue should be settled between the exporter, importer, and the CAA of the importing country or jurisdiction.
14. RESPONSIBILITY FOR ISSUANCE AND REVISION.
a. The issuance, revision, or cancellation of material in this AC is the responsibility of AIR-200.
Future changes will be issued as required to carry out the responsibility of the FAA. Interested persons are invited to submit recommendations for revisions or new material to keep this AC current. Proposed material for inclusion in this AC should be forwarded to:
Federal Aviation Administration Production and Airworthiness Certification Division, AIR-200 800 Independence Avenue, SW.
Washington, DC 20591 FAX Number (202) 267-5580
b. Revisions to the Special Requirements of Importing Countries and Jurisdictions are updated on a continuing basis, as received by the country. Revisions are posted on the FAA Production and Airworthiness Certification Division, AIR-200, Internet site at:
http://www.faa.gov/avr/air/air200/200home.htm. Changes should be forwarded to:
Federal Aviation Administration Regulatory Support Division, AFS-600 P.O. Box 25082 Oklahoma City, OK 73125 FAX Number (405) 954-4104
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c. Information submitted should identify the substance of the material. The CAA of other countries or jurisdictions should submit new material or revisions to special requirements in the English language and a format suitable for publication, to meet the intent of their requirements. Special requirements received in any other than the English language will not be accepted or published.
Frank P. Paskiewicz Manager, Production and Airworthiness Certification Division, AIR-200
Appendix 1 APPENDIX 1. SAMPLE FORMS Figure 1. Completed FAA Form 8130-1, Application for Export Certificate of Airworthiness Class I (Front Side)
Appendix 1 APPENDIX 1. SAMPLE FORMS (CONTINUED) Figure 2. Completed FAA Form 8130-1, Application for Export Certificate of Airworthiness Class II (Reverse Side)