Figure 2-3. STC Project Initiation Checklist This checklist clearly communicates the requirements to be fulfilled for STC issuance. Checklist requirements should, at a minimum, be handled early in the process between the applicant, the ACO project manager/engineer, and the responsible MIDO office of the project.
a. Is the STC application form and certification plan complete?
b. Will the model applicability of the STC expand? If so, what can be done on the initial certification that will make later STC expansion easier?
c. Will the STC be “multiple” or “one only?” If a “one-only,” provide the serial number along with the product make and model.
d. For “multiple” STCs, installation instructions will be necessary. Sufficient information must be available to replicate the modification or installation. (14 CFR § 21.303.) Has a fabrication inspection system been defined?
e. Are ICA required? See chapter 5, subparagraph 5-3.i. and note.
f. Could an existing STC be applied, possibly eliminating this STC certification project?
g. What is the applicant’s schedule and has it been coordinated with the FAA?
h. Where will product modification take place? If modification is outside the United States, see chapter 10 of this AC.
i. Will any parts be fabricated outside the applicant’s facility? If so, what kind, where, and when will they be made? Qualification and conformity will be required. If parts are fabricated outside the United States, see paragraph 1-9 of this AC.
j. What is required for the conformity inspection process? The applicant is responsible for recording and reporting conformity inspection results on FAA Form 8100-1, Conformity Inspection Record, before the FAA conformity inspection. Early submittal of FAA Form 8130-9, Statement of Conformity, in-process conformities and the procedure for making the Request for Conformity, FAA Form 8120-10, is a necessity. Drawings should be FAA/DER approved before asking the FAA to conduct a conformity inspection. See 14 CFR § 21.33.
k. What kind of drawing system will be used? It should: include a drawing list; provide information required for the various types of drawings (detail, component, assembly, installation and so forth); describe the modification; list the materials and applicable specifications, processes such as heat treating, and protective coatings used; and provide the dimensions in enough detail to accomplish the modification. Any process specifications such as fiberglass work should be documented and reviewed by the FAA. New processes may have to be demonstrated to an FAA inspector. List the suppliers of materials.
Figure 2-3. STC Project Initiation Checklist, continued
l. Will designees be used on the program? If so, identify the number of designees, name and type of delegation for each, and explain how each designee will be used on the project.
m. What types of tests are anticipated? What constitutes test plans, conformities for setups and witnessing of tests, applicant versus FAA tests, and (if applicable) placing the aircraft in experimental category.
n. Will special instructions be necessary to tell the pilot how the modified aircraft will now operate? If so, prepare a flight manual supplement.
o. It is the applicant’s responsibility to establish a certification test plan and compliance checklist, and to determine the modification meets all applicable airworthiness standards.
p. Was a Failure Hazard Analysis (FHA) or a Systems Safety Analysis (SSA) submitted to us so we can evaluate the risk assessment of the modification with respect to the product and make an assessment of our level of involvement?
q. What data should be submitted before issuance of TIA and STIR, and how are they used?
r. What guidance is available? (i.e., guides, ACs, Orders, Notices, and handouts.)
s. What can be done to the product while in modification/conformity process?
t. What is the potential for the modification impacting 14 CFR part 34 ( Fuel Venting and Exhaust Emission Requirements for Turbine Engine Powered Airplanes) and 14 CFR part 36 (Noise Standards: Aircraft Type and Airworthiness Certification) requirements?
u. Is a document list submitted, with revision levels and approval dates, of safety analysis, test plans, test reports and software documents?
v. Is the product being modified the subject of an airworthiness directive or service problem?
Figure 2-4. Sample Certification Plan I. General Information, which includes applicant identification, application date, and model designation.
II. Proposed Design Change Description - (Sometimes a depiction or picture of the modification may be helpful).
III. Intended Regulatory Operating Environment
a. 14 CFR parts 91, 121, and 137. This should identify the kinds of operations for which the product will be used, and the kind of program under which the aircraft will be maintained.
b. MMEL - master minimum equipment list.
c. FCOM - flight crew operating manual.
IV. Certification Requirements
a. Applicable regulation paragraphs and subparagraphs with the amendment levels, exemptions, Equivalent Level of Safety (ELOS) findings, and special conditions.
b.
c.
System special requirements, unique or novel aspects Compliance checklist V. Method of Compliance other.
a.
b.
c.
d.
Analyses – failure, safety, performance, other Tests – qualification, flammability, laboratory, simulator, ground, flight, Software compliance Design VI. Functional Hazard Assessment Summary
a.
b.
c.
System criticality Software criticality Functional failure conditions summary VII. Certification Documentation, including a list of data submitted to show compliance.
35 Figure 2-4. Sample Certification Plan, continued VIII. Certification Project Schedule
a.
b.
c.
d.
e.
f.
Descriptive data submittal Substantiating data submittal Tests schedule, including TIA Conformity inspections schedule Compliance inspections schedule Expected final approval IX. Use of Designees and Identification of Individual DER/DAR or DMIR.
X. Continued Airworthiness Requirements.
XI. Limitations and Conditions. Indicate specific limitations and conditions required for full compliance with the proposed change in type design.
Figure 2-5. Sample Applicant Compliance Checklist Format Figures 2-5.A. and 2-5.B. show the first and second pages of the Supplemental Type Certificate compliance checklist from appendix 1 of this AC. The following paragraphs describe the checklist entries. Letters of the paragraphs below match the circled letters in the figures. The regulations shown in the standard and template checklists do not show all subparagraphs. Where the method of compliance differs between subparagraphs of the same regulation, expand the checklist to show the method of compliance for each subparagraph.
a. When you initially use the checklist, this field will be blank. The ACO assigns a project number when accepting the project application.
b. Enter the name of the originator of the completed checklist.
c. Enter the date of the latest checklist revision.
d. Enter the latest checklist revision. Choose any method to track this, if it can distinguish different versions. For example, use sequential numbering or lettering for each new version of the checklist.
e. Enter the make of the airplane to receive this STC, as shown on the type certificate data sheet (TCDS) (for example: Cessna, General Electric).
f. Enter the complete model number of the aeronautical product to receive this STC, as shown on the TCDS (for example: 150C, PA-32-260).
g. Enter the number of the TCDS for the aeronautical product make and model listed in e and f. The TCDS information is on the Internet at http://rgl.faa.gov.
h. Enter the original certification basis of the aeronautical product as listed on the aeronautical product TCDS. You may reference the aeronautical product TCDS.
i. Enter the proposed certification basis for this STC project. See AC 21.101-1, Change 1 and FAA Order 8110.4 for guidance on choosing the proposed certification basis.
j. Check the box to indicate whether the proposed STC is for one serial number only or for duplication on other aeronautical products.
k. Briefly describe the modification similar to that stated on FAA Form 8110-12 (found in FAA Order 8110.4). A complete description of the change will appear in the certification plan provided to the ACO (described in FAA Order 8110.4).
l. Enter the page number and the number of pages.
m. Enter the applicable regulation amendment level used as the certification basis for the STC.
Figure 2-5. Sample Applicant Compliance Checklist Format, c ontinued
n. Enter the method or methods used to show compliance with the regulations. Make an entry for each regulation or sub-paragraph in the checklist. Other regulations may apply, depending on the specific changes proposed for the STC. Determine the applicability to the project for all the regulations. Unique features of the project may require other combinations of methods. Check whether the methods listed are appropriate, and change them to reflect the certification plan for the specific STC project. When choosing the applicable regulations, consider the impact of the aircraft changes on structural integrity, performance, controllability, human factors and other areas. Use the following definitions when filling in this column.
Include a more detailed description of the method of compliance (component testing, hand calculations, validated finite element model analysis, or a combination of methods) in any compliance plans referenced in the checklist plan column and remarks column described in subparagraphs “.o” and “.q” respectively.
(1) Flight Test (FT) – A test of the aircraft in the air or on the ground when the nature of the test requires a flight test pilot.
(2) Ground Test (GT) – Includes component bench testing, testing of simulated aeronautical product systems, and ground testing of the aeronautical product. These tests may precede a flight test, or be used to show compliance when appropriate.
(3) Analysis (AN) – Includes a quantitative or qualitative assessment, as appropriate, of structures, systems, components, or the entire aeronautical product. May be a precursor to ground and flight tests and a validation of the design. Should be validated using published previous experience or appropriate testing to be accepted for showing compliance to the regulations.
(4) Design (DE) – Encompasses the inherent features of structures, systems, or components. Inspection of aeronautical product hardware, drawings, bill of materials, or other documentation such as material specifications, shows compliance with the applicable regulations.
(5) Similarity (SI) – Comparison between a previously certificated design and the proposed design. The intent is to show that these designs are the same in all ways relative to showing compliance with the applicable regulation, so the proposed design will perform the same or better than the previously certificated design. Applicant must account for any differences in the regulations if the amendment levels of the regulations are not the same for the two designs. See the other guidance applicable to the different regulations to determine if similarity is proper.
(6) Equivalent Level of Safety Finding (ELOS) – Title 14 CFR part 21, § 21.21(b)(1) and FAA Order 8110.4 describe this method of compliance. We issue an ELOS when the 37
Figure 2-5. Sample Applicant Compliance Checklist Format, continued applicant cannot show literal compliance with a regulation, but shows to FAA satisfaction that compensating factors achieve a safety level equal to that of the applicable regulation. Applicant may propose the use of an ELOS in writing to the ACO. FAA makes the finding of equivalency and issues the ELOS memo if satisfied. If proposing an ELOS for a given regulation, enter the reference for the proposal letter into the checklist under the “Plan, Drawing, Report Number” column for the regulation (see subparagraph “.o.”) and on the last page of the checklist under the “EQUIVALENT LEVELS OF SAFETY (ELOS):” heading. Make all proposals for ELOSs to the ACO early in the project to allow time for processing.
(7) Petition for Exemption (PExmpt) –CFR § 11.15 defines a petition for exemption as “…a request to the FAA by an individual or entity asking for relief from the requirements of a current regulation.” Petitions for exemptions are rulemaking as described in 14 CFR part 11 and are subject to a public review process outside the scope of this AC. If you petition for exemption from a given regulation, enter the reference for the petition letter into the “Plan, Drawing, Report Number” column for the regulation (see subparagraph “o.”) and on the last page of the checklist under the “EXEMPTIONS:” heading. Make all petitions for exemption to the ACO early in the project to allow time for processing.
(8) Not Applicable (N/A) – Means the specific regulation does not apply to the design or modification for this STC; therefore, a showing of compliance is not necessary. Enter the reason the rule is not applicable in the “Applicable Guidance, References, and Remarks” column of the checklist described in subparagraph “.q.” below.
o. Enter the plan, drawing, and report numbers used to document the showing of compliance with the regulation. The items referenced here should contain enough detail to show compliance to the regulation.
p. Enter the name and designee number (as applicable) of the person or entity that will find or recommend compliance with each of the applicable regulations. This could be a designee (designated engineering representatives (DER), designated alteration stations (DAS), delegated option authorization) or the FAA. We encourage applicants to use designees. More information on designees is on the Internet at www.faa.gov/other_visit/aviation_industry/designees_delegations. Consultant DERs typically provide their services to applicants for a fee. A directory of DERs is available in AC 183.29-1, Designated Engineering Representatives. See an updated electronic directory and more information on DERs on the Internet at www.faa.gov/other_visit/aviation_industry/designees_delegations/find_designees/. Get designee concurrence before submitting the checklist to the ACO.
q. Enter the guidance followed plus other references and remarks clarifying how you are showing compliance with the applicable regulations. If entering N/A for Method of 38
- Make : l ) Description of Change: One-only STC l:l u Model (_) Multiple STC l:l TCDS# () 0 Original C erti fi cation Bas is :
0 Proposed Certification Basis 0 *Methods of Compliance:
FT= Flight Test, GT= Ground Test, AN= Analysis, DE= Design, SI= Similarity, ELOS =Equivalent Level of Safety Finding, PExmpt = Petition for Exemption, NI A= Not Applicable D Page _ of
09/27/07 AC 21-40A Figure 2-5. Sample Applicant Compliance Checklist Format, continued Compliance, enter the reason the rule doesn’t apply in this column. The checklist in this AC lists the latest revisions of other ACs with applicable guidance in this column. These revisions are current as of the release date of AC 23-24, Airworthiness Compliance Checklists For Common Part 23 Supplemental Type Certificate (STC) Projects. When creating a project-specific checklist, enter the latest revisions of these documents in this column as found on the Internet at http://rgl.faa.gov. Reference other applicable guidance as appropriate.
Figure 2-5.A. – First Page of the Compliance Checklist a g f e b d c j k h i l 39
0 Supplemental Type Ce11ificate Compliance Checklist -9o ProJectNumber ~ Date _,__ ___ _ Originator _____j,J._ Revision ..,._ ____ _ Regufation Aj_JJ.ilicable Mecl1ocl of Pfan, Drawiiig, Person or Entity Aj_JJ.ilicable Guicfance, Rf'fenmces, S:
Title 14 CFR. (1964 CAR 3) Amemlment Compliance* Reiiort Number Fiiulitig Compliance Remml-:s Title 14 CFR. part 23: (CAR :f) ()- -u r \ r \ r \ \..___,/ \..___,/ \..___,/ Subpart A -- General Sectim
23.1 Applicability. (3. 0) DE AC 23-8B
23.2 Special retroactive requirements. AN,GT
23.3 Airplane categories (3.20 (less DE AC 23-8B ~nd sent. of (a)(2) and 2nd and 3rd ~ent of(b)), 3.20-1, 3.20-2 (1st sent) Stlh]_Jart B -- Flight
GENERAL 2121 Proof of compliance. (3. 61, AN, GT.FT AC 23-8B
13. 71-1) 2123 Load distribution limits. (3. 71) DE,AN,FT AC 23-8B 2125 Weight limits. (3.14, 375) AN,FT AC 23-8B
23.29 Empty weight and AN,GT AC 23-8B c orresp on ding center of gravity (3. 73 (1st sent.), 13 73-3(/J))
23.31 Removable ballast. (3. 72) DE,AN AC 23-8B *Methods of Compliance• FT= Flight Test, GT= Ground Test, AN= Analysis, DE= Design, SI= Similarity, ELOS =Equivalent Level of Safety Finding, PExmpt = Petition for Exemption, NI A= Not Applicable D Page_of
09/27/07 AC 21-40A Figure 2-5.B. – Second Page of the Compliance Checklist b a d c n o qpm l 40
CHAPTER 3. APPLICABLE REGULATIONS
3-1. General. Each type-certificated U.S. aircraft, engine, or propeller design complies with regulations defined in 14 CFR and CARs. Not all specific regulations will apply to a modification and/or installation. You must identify the applicable regulations.
3-2. Certification Basis.
a. Each type-certificated product is associated with a list of the regulations, either 14 CFRs or CARs, to which you must show compliance.
b. The TC certification basis is specified by the applicable regulations located in the respective aircraft, engine, or propeller specifications, or on the type certificate data sheets (TCDSs). You can examine copies of these data sheets at the local FAA ACO, FSDO, or MIDO.
The TCDSs are also available on our Regulatory and Guidance Library website at http://rgl.faa.gov.
c. The certification basis for the modification includes the certification basis of the model being changed, plus those requirements effective on the date of the application and are generally related to the components or areas affected by the change. Refer to AC 21.101-1, Establishing the Certification Basis of Changed Aeronautical Products, for guidance on establishing the certification basis for the project.
3-3. Availability of Regulations. Current regulations are available from the Superintendent of Documents; U.S. Government Printing Office; Washington, DC 20402. They may also be found in our Regulatory and Guidance Library website at http://rgl.faa.gov.
Figure 3-1. Regulations Most Commonly used for STC Applications Regulation Subject 14 CFR part 21 Certification Procedures for Products and Parts 14 CFR part 23 or CAR 3 Airworthiness Standards: Normal, Utility, Acrobatic, and Commuter Category Airplanes CAR 4a Airworthiness Standards:
Older Model Airplanes (See S.R. 407 for DC-3 and Lockheed 18) 14 CFR part 25 or CAR 4b or Airworthiness Standards:
CAR 4a-T Transport Category Airplanes (See S.R.
422 for turbine aircraft certificated under CAR 4b) 14 CFR part 27 or CAR 6 Airworthiness Standards:
Normal Category Rotorcraft 14 CFR part 29 or CAR 7 or CAR Airworthiness Standards:
7a Transport Category Rotorcraft 14 CFR part 21 or CAR 8 Restricted Category 14 CFR part 31 Airworthiness Standards:
Manned Free Balloons 14 CFR part 33 or CAR 13 Airworthiness Standards:
Aircraft Engines 14 CFR part 34 Fuel Venting and Exhaust Emission Requirements for Turbine Engine Powered Airplanes 14 CFR part 35 or CAR 14 Airworthiness Standards:
Propellers 42
Figure 3-1. Regulations Most Commonly used for STC Applications, continued Regulation Subject 14 CFR part 36 Noise Standards: Aircraft Type and Airworthiness Certification 14 CFR part 39 Airworthiness Directives 14 CFR part 43 Maintenance, Preventive Maintenance, Rebuilding, and Alteration 14 CFR part 45 Identification and Registration Marking 14 CFR part 47 Aircraft Registration 14 CFR part 91 General Operating and Flight Rules 14 CFR part 121 Operating Requirements:
Domestic, Flag, and Supplemental Operations 14 CFR part 135 Operating Requirements:
Commuter and On-Demand Operations Note 1: Products are certificated under one or more of the airworthiness standards and environmental rules. Operating rules, such as 14 CFR parts 91, 121, or 135, may influence the aircraft design or require certain equipment to be installed on the aircraft.
We certify equipment required by the operating rules for installation on the aircraft under the applicable airworthiness standards. As an applicant, you should be aware that, before placing a modified aircraft in service, a Flight Standards Service representative must verify that all equipment required by the operating rules meets the specified requirements in those rules.
Note 2: You can find these regulations in http://www.airweb.faa.gov/FAR (Short URL).