data necessary to demonstrate compliance with the certification basis. In turn, we evaluate the test reports and substantiating data for compliance with applicable airworthiness standards.
We approve these submittals when we determine that these reports and data demonstrate compliance.
2-24. Engineering Compliance Inspection. An engineering compliance inspection lets the observer review an installation and its relationship to other installations on a product. This inspection ensures that the systems and components are compatible and meet the requirements of the airworthiness and operational standards. Don’t confuse FAA engineering compliance inspections with a conformity inspection done by manufacturing inspectors. A conformity inspection determines conformity to engineering data, while an engineering compliance inspection determines compliance with the regulations.
a. Sample Inspections. The product should conform to the type design before we conduct the engineering compliance inspection. Findings are included in the type design data.
We may delegate engineering compliance inspections to DERs, but we are obligated to give them proper guidance to make the findings on our behalf.
(1) Interior Inspections. Engineering compliance inspections for aircraft interiors are generally more complex than other compliance inspections. This is because there are many regulations involved--for emergency lighting, emergency exit arrangement, ordinance signs, aisle widths, cockpit controls, waste containers, placards, and occupant protection.
(2) Control System Inspections. Control system compliance inspections determine the ease of control operation, strength of components, the detection of interference, or deflection of control system linkages.
(3) Fire Protection Inspections. The regulations require separation and isolation of flammable fluid carrying lines from ignition sources. We physically inspect the installations.
(4) System Routing Inspections. Hydraulic and electrical system routing require inspections to ensure that they are maintaining proper support and separation.
(5) Acceptability. AEG compliance inspectors determine if your operational and maintenance capability is acceptable to the regulations. They might do those inspections concurrently with engineering compliance inspections.
b. Notification of Non-compliance. An ACO will notify you in writing when they find non-compliance during ground or flight inspections. This may not necessitate discontinuing the type certification tests. The ACOs’ notification will include reference to the specific regulation(s). You must resolve all non-compliance items to our satisfaction before we issue the STC.
c. Discontinuance Letter. An ACO will notify you by letter when we must 20
discontinue official FAA type certification tests for any reason. The letter will cite the applicable regulation(s) and advise you to respond to the ACO when you have corrected the cause of our discontinuance and you want to resume the type certification tests.
2-25. Analysis. Engineering analysis is an integral part of showing compliance. It encompasses the full range of analytical techniques such as textbook formulas, computer algorithms, computer modeling/simulation, or structured assessments (see the processes in SAE International’s Aerospace Recommended Practice (ARP) 4761, Guidelines and Methods for Conducting the Safety Assessment Process on Civil Airborne Systems and Equipment, dated December 1, 1996. We approve the data, not the analytical technique, so we hold no list of acceptable analyses, approved computer codes, or standard formulas. Your use of a wellestablished analysis technique is not enough to guarantee the validity of the result. You must show the data are valid. The ACO and their representatives are responsible for finding the data accurate, and applicable, and that the analysis does not violate the assumptions of the problem.
2-26. Experimental Airworthiness Certificate. To conduct flight, and any other developmental testing as required by 14 CFR § 21.35(a), you must ensure that the aircraft is in the experimental category and receives an experimental airworthiness certificate for research and development for company testing. You will also need to obtain an experimental airworthiness certificate for show compliance for FAA flight testing.
14 CFR § 21.191 describes the purposes for which we issue experimental airworthiness certificates.
2-27. Ground Inspections, Ground Tests, and Flight Tests.
a. Conduct a ground inspection to physically determine that the aircraft you will submit for FAA flight tests meets the minimum requirements for quality, conforms to the technical data, and is safe for the flight tests intended. Record the inspection results and, together with any other data requested, submit it to FAA engineering and flight test personnel.
Then conduct the ground and flight tests. Provide written reports to us to show compliance with the applicable regulations (certification basis is discussed in paragraph 2-11).
b. An added requirement for type certification testing of prototypes is that you provide first pilot checkout flight time for the FAA flight test pilot(s) and AEG pilot(s) assigned to the project. Accomplish the aforementioned FAA pilot qualification requirement before conducting the FAA compliance flight test.
c. Complete your company’s certification flight tests in compliance with 14 CFR §
21.35(a) before any official FAA flight testing. This testing should assure you that the design change complies with all applicable regulations.
2-28. Review of Applicant’s Flight Test Results.
a. Submit a flight test report to us for review after successfully completing the flight testing required by 14 CFR § 21.35(a). Submittal of the flight test report complies with 14 CFR § 21.35(a)(4).
b. We will evaluate your flight test report for compliance with the requirements of the certification basis. After our acceptance of your f light test reports, if verification of certain flight tests is required, official FAA certification testing, as called for in the TIA, may start.
2-29. Type Inspection Authorization (TIA).
a. When examination of technical data required for the STC is complete, or where it appears the aircraft will meet the certification basis and the modification or installation is complete, we will prepare and issue a TIA, FAA Form 8110-1. The TIA is an internal FAA document prepared by our engineering staff. We issue it to FAA manufacturing inspection and FAA flight test personnel. The TIA author izes FAA manufacturing inspection to conduct conformity and airworthiness inspections, and authorizes FAA flight test to conduct flight inspections. Plus if there are operational and airworthiness requirements to be addressed, we include AEG operational evaluations. When we issue the TIA we send a courtesy copy to you, to help you plan for the inspections and tests. You must complete all inspections and tests called for by the TIA satisfactorily before we issue the STC.
b. Before we issue the TIA, a flight test risk management assessment must be performed by FAA flight test personnel. The signed TIA reflects our adherence to ACO/directorate flight test risk management processes in accordance with FAA orders to ensure that the associated flight test risks are acceptable. Our risk management process accomplishes risk assessment through a safety review process. Project and non-project personnel review a flight test plan to expose potential hazards, and recommend procedures to lessen them. In the process, we:
(1) Identify hazards,
(2) Assess the risks involved,
(3) Set up mitigating procedures to reduce or eliminate the risks, and
(4) Decide, at the appropriate level, whether to accept residual risks.
c. We include acceptance of risk management and the level of risk for each TIA test.
For detailed information about our risk management process, contact the FAA flight test team.
d. We, or our authorized designee as identified in the certification plan, accomplish all necessary conformity inspections and airworthiness determinations per the TIA. TIA testing can start after we satisfactorily complete the inspections and determine that the aircraft is airworthy. We record conformity inspections on the Conformity Inspection Record, FAA Form 8100-1.
2-30. Flight Test Conformity Inspections and Certification Flight Tests.
a. After you submit your Statement of Conformity, FAA Form 8130-9, we issue the TIA and arrange with FAA manufacturing inspection for the conformity inspections called for in TIA. The ground inspection physically verifies that the aircraft submitted for flight test meets the minimum requirements for quality, conforms with the technical data, and is safe for the intended ground and flight tests. Record the results together with any other data requested by FAA engineering and flight test personnel.
b. Our FAA manufacturing inspector initially accepts the test aircraft for FAA flight testing. Initial acceptance is based on their determination of the aircraft condition for safe operation and the testing to be conducted. The manufacturing inspector and the flight test pilot should establish a mutually agreeable way to inform the project manager of daily changes to the aircraft and problems encountered during flight test. Remember that the test aircraft must be placed in the experimental category and receive an experimental airworthiness certificate for the purpose of showing compliance.
c. We use certification flight tests to verify the flight test data you reported. These tests evaluate the aircraft’s performance, flight characteristics, operational qualities, human factors, and equipment operation. They also determine operational limitations, procedures, and pilot information. Certification flight tests are conducted under the TIA and may include flight, ground, and functional and reliability testing. See AC 23-8, Flight Test Guide for Certification of Part 23 Airplanes; AC 25-7, Flight Test Guide for Certification of Transport Category Airplanes; AC 25.1581-1, Airplane Flight Manual; AC 27-1, Certification of Normal Category Rotorcraft; and AC 29-2, Certification of Transport Category Rotorcraft. These advisory circulars are available at http://www.airweb.faa.gov/AC.
d. Arrange with the FAA project team for ground and flight testing called for in the TIA. The FAA project flight test team or an authorized DER will conduct official ground and flight testing.
2-31. Aircraft Evaluation Group (AEG) Activities.
a. Operational and Maintenance Evaluations (AEG Responsibilities). We established AEGs to meet our operations and maintenance responsibilities during a type certification project. AEGs are comprised of operations and airworthiness inspectors who work directly with aircraft certification personnel to lend operational perspective to engineering activities. AEGs advise manufacturers of applicable operational and maintenance requirements during design and certification. They also make recommendations to flight standards about flight training, inspection programs, and flight crew qualifications. AEGs participate in the maintenance review board (MRB), flight standardization board (FSB), and the flight operations evaluation board (FOEB). Th ey are also the Flight Standards focal point for the master minimum equipment list (MMEL), ICA, and post-certification activities, such as ADs.
b. Instructions for Continued Airworthiness (ICA). ICA are required in accordance with 14 CFR § 21.50 and prepared following 14 CFR §§ 23.1529, 25.1529, 27.1529, 29.1529,
31.82, 33.4, or 35.4.
(1) We approve the airworthiness limitations section of the ICA for type certification. The airworthiness limitations section of the ICA are specifically called out as part of the type design, under 14 CFR § 21.31 (c) and as one of the requirements for a type certificate (this includes STCs) under 14 CFR § 21.41.
(2) Pursuant to 14 CFR §§ 23.1529, 25.1529, 27.1529, 29.1529, 31.82, 33.4, and
35.4, the FAA through the ACO, with AEG concurrence makes compliance findings for ICA requirements and airworthiness limitations in your maintenance manuals.
(3) For STC, complete the ICA during the STC program. The ICA need only address continued airworthiness with respect to the design change for which you applied, as well as parts or areas affected by the design change. We will not issue an STC until we have accepted the ICA. If the design change does not affect or change the existing ICA or maintenance documentation, the applicant can submit an impact assessment of the need for ICA. The assessment must show that the STC project does not change any information, procedures, processes, requirements, or limitations in the current ICA (See Order 8110.54, Instructions for Continued Airworthiness).
(4) AEG and engineering personnel review the ICA.
(a) AEG team members determine the acceptability of ICA for operational and maintenance requirements.
(b) The AEG helps the ACO establish the adequacy of the ICA and determine compliance with the regulations.
(c) The ACO approves the airworthiness limitations section of the ICA.
(5) Once we have issued the STC, AEG inspectors continue to advise the flight standards district offices on operational and maintenance issues relating to aircraft on which the STC has been installed.
2-32. Aircraft Flight Manual Supplement.
a. In general, an FAA-approved aircraft flight manual supplement (AFMS) is required by 14 CFR §§ 21.5, 23.1581, 25.1581, 27.1581, 29.1581, and 31.81 if your modification results in a change to aircraft limitations, procedures, or performance. This applies whether or not the unmodified aircraft was type-certificated with an FAA-approved aircraft flight manual.
If the unmodified aircraft was type-certificated without an FAA-approved aircraft flight manual, an FAA-approved supplemental aircraft flight manual will meet the requirements of 14 CFR §§ 21.5, 23.1581, 25.1581, 27.1581, and 29.1581.
b. If you modify an aircraft with cruising speeds, range, endurance, or fuel consumption information published in either an FAA-approved aircraft flight manual or an unapproved pilot operating handbook, you should determine how the modification affects this information. If the modification changes any of the information, you should either:
(1) Publish new cruising speeds, range, endurance, or fuel use performance data, or
(2) Prohibit, in the limitations section of the flight manual supplement, the use of the fuel consumption data in the AFM for the original type design. State, in the performance section of the supplement, that the data in the AFM for the original type design is not approved for use.
c. You will find aircraft flight manual content and format guidance in 14 CFR airworthiness standards and several advisory circulars. Regulatory requirements for flight manual content are in 14 CFR part 23, 25, 27, or 29, sections 1581 through 1589.
Guidance for preparing aircraft flight manual supplements is in ACs 23-8, 25-7, 25.1581-1, 27- 1, and 29-2.
d. Prepare a draft aircraft flight manual supplement before the ACO issues the type inspection authorization (TIA). Submit the draft manual to the ACO flight test team so they can become familiar with it. During flight testing, they will evaluate the draft manual and comment on it.
2-33. Supplemental Type Certificate Issued.
a. After we complete FAA compliance inspections and testing, you should submit all final data to the ACO project manager for review and approval. You must include items such as a flight manual supplement, test reports, or a list of life-limited parts.
b. We will evaluate the final data submittals for compliance with the certification basis.
When we determine that the data demonstrates compliance, we’ll grant final approval of the modification or installation, and issue you an STC. The complete certification basis will be included on FAA Form 8110-2.1 (the continuation sheets of FAA Form 8110-2), unless it is identical to that shown on the TCDS of the TC product. We then send you the STC, FAA Form 8110-2 and the continuation sheet, with a transmittal letter.
c. If, on your application form you indicated that the STC should be available for use by others, we will send a copy of the STC and FAA Form 8110-2 to the FAA STC database. This information is available to the public via the FAA web site at http://www.airweb.faa.gov/stc.
2-34. Phase V. Post Certification Activities.
This phase includes:
• Aeronautical product enters service.
• Continued operational safety.
• Changes to instructions for continued airworthiness (ICA).
• Changes and deviations.
• Data retention.
• Required documents.
2-35. Aeronautical Product Enters Service. As the aircraft, engine, or propeller enters service, the STC holder will be responsible for continued operational safety. The next section describes your responsibilities as STC holder, and our expectations.
2-36. Continued Operational Safety.
a. The ICA need only address continued airworthiness of the design change for which application was made, as well as parts or areas affected by the design change. The modified aircraft cannot be operated without an accepted ICA from us, even though an STC was issued.
After the modified aircraft enters service, you must be able to provide ICA to those persons or agencies that are required to comply with the methods, techniques, and practices in them.
Furthermore, you are responsible for evaluating any failures, malfunctions, or defects, and for reporting to the ACO those that caused any of the occurrences listed in 14 CFR § 21.3(c).
b. In accordance with 14 CFR § 21.99(a), if we determine that STC design changes are necessary because an unsafe condition exists in the installation or modification, you must submit design changes for approval. After we approve the changes, make them available to all operators of aircraft with the installation or modification.
c. Also, in accordance with 14 CFR § 21.99(b), if you determine through service experience that changes in the STC type design will increase the safety of the installation or modification, you may submit design changes for our approval and make them available to all operators of the aircraft with the installation or modification.
2-37. Changes to Instructions for Continued Airworthiness (ICA). 14 CFR § 21.50(b) requires ICA changes to be made available to any person who must comply with them. As STC holder, you provide these changes according to a plan accepted by both the ACO and AEG. Format the changes to directly supplement the original ICA, and clearly say what’s being changed.
2-38. Changes and Deviations.
a. As an STC holder, you may find it necessary to change an STC or authorize an installer to deviate from an STC. You may authorize such changes or deviations: however, you must determine if the change or deviation causes a major or minor change in type design.
(See 14 CFR § 21.93)
b. For minor changes in type design, you may obtain approval and authorize the change in accordance with a procedure agreed upon by you and the ACO. (See 14 CFR §
21.95) 26
c. For major changes in type design, you must submit descriptive and substantiating data, and obtain approval from the ACO of the change before authorizing the change. (See 14 CFR § 21.97)
2-39. Data Retention. At the ACO manager’s discretion, you may maintain portions of type design and substantiating data on our behalf. Understand that type design records, including all substantiating data, are permanent and must not be destroyed. Data maintained by an applicant/STC holder must be made available to us for production inspection, surveillance, design change reviews, other routine activities or any other reasons we deem necessary. If you want to maintain data, set up a memorandum of agreement (MOA) with us. Using FAA Order 8110.4, appendix 10, your ACO will instruct you on what kind of data you are required to maintain under this agreement.
2-40. Required Documents.
a. When we issue an STC for an aircraft, the STC holder must supply the following documents at the time of aircraft delivery:
(1) A current approved airplane or rotorcraft flight manual supplement,
(2) A current weight and balance statement,
(3) ICA,
(4) Compliance status of ADs (see 14 CFR § 21.183 and 14 CFR part 39), and
(5) Other documents as necessary.
b. Figure 2-1 summarizes the STC process in list form. Figure 2-2 presents a flow chart of the TC, amended TC, and STC process. Your STC project may be simpler than this standard flowchart depicts.
Figure 2-1. STC Process Phase I. CONCEPTUAL DESIGN (Paragraph 2-2)
a. Process orientation.
b. Pre-project guidance.
c. Familiarization briefing.
d. Certification plan requirement.
Phase II. REQUIREMENTS DEFINITION (Paragraph 2-7)
a. Applying for STC and submitting of the certification plan.
b. FAA establishing a project.
c. When applicable, submit a project specific certification plan (PSCP).
d. Establishing the certification basis.
Phase III. COMPLIANCE PLANNING (Paragraph 2-12)
a. FAA involvement.
b. Using parts produced by technical standard order (TSO) authorization or parts manufacturer approval (PMA) in certification testing.
c. Completed (project specific) certification plan.
d. Interim Type Certification Board (TCB) meeting for (project specific) certification plan agreement.
Phase IV. IMPLEMENTATION (Paragraph 2-17)
a. Data submittal for approval.
b. FAA design evaluation.
c. Conformity inspections.
d. Applicant test plan and FAA approval.
e. (Before witnessing) engineering and flight tests.
f. Engineering certification tests.
g. Engineering compliance inspection.
h. Analysis.
i. Experimental airworthiness certificate.
j. Ground inspections, ground tests, and flight tests.
k. Review of applicant’s flight test results.
l. Type inspection authorization (TIA).
m. Flight test conformity inspections and certification flight tests.
n. Aircraft evaluation group (AEG) activities.
o. Aircraft flight manual supplement.
p. Supplemental type certificate issued.
Phase V. POST CERTIFICATION ACTIVITIES (Paragraph 2-34)
a. Aeronautical product enters service.
b. Continued operational safety.
c. Changes to instructions for continued airworthiness (ICA).
d. Changes and deviations.
e. Data retention.
f. Required documents.
Figure 2-2. TC, ATC and STC Process Start Applicant Applies for STC and submits application package per Order 8110.4 ACO Establishes the Certification Team, prepares the CPN Form, issues the Project Number, and begins project planning.
NOTE: For STC project types listed in Appendix 1, Figure 6 of Order 8110.4, ACO to ACO coordination is required.
ACO Establishes Cert.
Basis per Orders 8110.4 and 8110.48.
A A FAA Finds that the applicant has shown that the type design, test reports, and computations necessary to show that the product meets applicable regulations and that no feature or characteristic makes it unsafe for the category in which certification is requested per 14 CFR § 21.21.
C NO Release Issue Paper as required Applicant provides familiarization briefing ACO Conducts preproject guidance as required by Order 8110.4 Applicant Submits Drawings, Analysis, and Computations per Order 8110.4 FAA / Applicant Achieve Certification Plan Agreement or PSCP per Order 8110.4 YES CPN Form and also letter to applicant acknowledging the project.
Applicant presents Familiarization material on the project and submits a proposed Certification Basis.
Meeting minutes and Action Items FAA / Applicant Conduct a Preliminary TC Board meeting per Order 8110.4 Are Engineering Tests, Compliance Inspections, or Conformity Inspections needed?
Applicant Provides Conformity Test Plan FAA Conducts Conformities, Reviews Test Plans, and Witnesses Tests per Order 8110.4 NO Applicant Submits Test Data and/or Inspection Data Is Flight Testing Needed?
Operating Limitations and Information for Type Certificate Data Sheet Type Certificate/ Type Design Data per 14 CFR § 21.31 and 14 CFR § 21.41 Compliance Reports (Substantiating Data) Submittal of Instructions for Continued Airworthiness per Order 8110.54 YES B ACO Reviews the applicant’s data.
CJ ·I I
09/27/07 AC 21-40A Figure 2-2. TC, ATC and STC Process, continued YES CB FAA Issues the Experimental Airworthiness Certificate Applicant Conducts Flight Testing FAA Holds Final TCB Meeting, issues Type Certificate and prepares TC Data Sheet per Order 8110.4 FAA / Applicant Conduct Post Certification Activities, Continued Airworthiness Monitoring TIR End Type Certificate Applicant Submits Flight Test Data and Reports.
FAA Conducts Flight Test Risk Assessment per Order 4040.26 FAA Reviews the Flight Test Data FAA Issues TIA:
- Conformity Inspections
- Tests Operating Limitations and Information for Type Certificate Data Sheet Type Certificate/ Type Design Data per 14 CFR § 21.31 and 14 CFR § 21.41 FAA
Finds that the applicant has shown that the type design, test reports, and computations necessary to show that the product meets applicable regulations and that no feature or characteristic makes it unsafe for the category in which certification is requested per
14 CFR § 21.21.
Compliance Reports (Substantiating Data) C Submittal of Instructions for Continued Airworthiness per Order 8110.54 31