Appendix B B.7 Authorizations.
Permission granted by management to individuals authorized with full or partial admission to restricted access information management systems.
B.8 Authorized Release Document.
A document issued by a PAH for an aircraft engine, propeller, or article that certifies the aircraft engine, propeller, or article conforms to its approved design and is in a condition for safe operation, unless otherwise specified.
B.9 Data.
A set of alphanumeric and/or graphic characters organized to represent facts or instructions suitable for communicating, interpreting, or processing by a computer.
B.10 Direct Ship Authorization.
The written authorization granted by a PAH with responsibility for the airworthiness of an article, to a supplier to ship articles produced in accordance with the PAH’s quality system, directly to end users without the parts being processed through the PAH’s own facility.
B.11 Field.
An element of a computer file that may contain data and whose size is controlled by the program.
B.12 Information Systems.
A computer system designed to automate a specific function, such as records management.
B.13 Interface Component.
An article that serves as a functional interface between an aircraft and an aircraft engine, an aircraft engine and a propeller, or an aircraft and a propeller. An interface component is designated by the holder of the type certificate or the supplemental type certificate who controls the approved design data for that article.
B.14 Licensing Agreement.
A commercial agreement between a TC or STC holder and a PAH (or applicant) formalizing the rights and duties of both partners to use the design data for the purpose of manufacturing the product or article.
B-2
Appendix B B.15 Privacy Keys.
A password or procedure that allows full or partial access to a restricted information management system.
B.16 Privacy Locks.
A procedure that restricts access to a portion of an information system.
B.17 Production Approval.
A document issued by the FAA to a person that allows the production of a product or article in accordance with its approved design and approved quality system and can take the form of a production certificate, a PMA, or a TSO authorization.
B.18 Quality Escape.
A product or article that has been released from the quality system and does not conform to the applicable design data or quality system requirements.
B.19 Quality System.
A documented organizational structure containing responsibilities, procedures, processes, and resources that implement a management function to determine and enforce quality principles.
B.20 Read-Only Capability.
The authority given to an individual, allowing that person to access or read data in a field without being able to change or enter data.
B.21 Salvageable.
Aviation parts that are unserviceable (or of unknown status) that may have a potential aviation use. Salvageable parts may be considered in different categories:
Non-airworthy parts which may be worth storing until restored to an airworthy condition, or until they are shown to be airworthy with adequate documentation and/or testing; and Parts that cannot be found airworthy at the time they are stored; but, there is reason to believe that they are likely to have future aviation value. For example, a part that has reached its present life limit may be stored in an area in anticipation of an increase in that limit based on in-service experience and analysis, or a part that requires repair for which there is currently no approved process may be stored in anticipation of a new approved process.
B-3
Appendix B B.22 Scrap.
Products and articles an owner has disposed of because they are beyond economical repair, considered to be of little value, or unusable for any other aviation reason.
Scrap products and articles are placed into four categories:
Products and articles that have no value except for the base material.
Products and articles whose misuse in aviation poses an insignificant safety risk.
Products and articles that were used in low-risk, safety aviation applications and may have future use in non-aviation applications.
Products and articles that were used in safety-critical aviation applications and may have future use in non-aviation applications.
B.23 Standard Part.
A part manufactured in complete compliance with an established government or industry-accepted specification that contains design, manufacturing, and uniform identification requirements. The specification must include all information necessary to produce and conform the part, and must be published so any person/organization may manufacture the part.
B.24 Supplier.
Any person, as defined by 14 CFR 1.1, at any tier in the supply chain, who provides a product, article, or service that is used or consumed in the design or manufacture of, or installed on, a product or article.
B.25 Write Capability.
The authority given to a user that allows that person to enter or change data in a field.
B-4
Appendix C APPENDIX C. PRODUCTION UNDER TYPE CERTIFICATE.
C.1 Purpose.
This appendix covers only those sections of 14 CFR part 21, subpart F, Production Under Type Certificate, where further discussion, information, or examples would be helpful. The headings of each of the following main paragraphs refer to the applicable section of subpart F. A manufacturer producing a product under subpart F is allowed to produce and sell articles associated with its product as spares for that product only.
C.2 Discussion.
C.2.1 Section 21.121, Applicability.
The term “production under a type certificate” refers to production by a TC holder or its licensee without benefit of a production approval for that product or article thereof.
C.2.2 Section 21.122, Location of or change to manufacturing facilities.
C.2.2.1 If the FAA finds no undue burden in administering the applicable requirements of Title 49 of the United States Code and 14 CFR chapter I, subchapter C, Aircraft, the manufacturer may use manufacturing facilities located outside of the United States.
C.2.2.2 The TC holder is required by the rule to obtain FAA approval before making any changes to the location of any of its manufacturing facilities.
C.2.2.3 The TC holder is required by the rule to immediately notify the FAA, in writing, of any change to the manufacturing facilities that may affect the inspection, conformity, or airworthiness of its product or article thereof.
C.2.2.4 Each TC holder should check with its local MIDO to determine approval and notification methods.
C.2.3 Section 21.123, Production under type certificate.
C.2.3.1 Paragraph (c) requires each manufacturer of a product or article thereof under a TC to maintain completed inspection and test records for 5 years.
For critical parts identified pursuant to 14 CFR part 45, Identification and Registration Marking, section 45.15(c), the record retention requirement is 10 years. The beginning of the 5-year or 10-year record retention for a given product or article thereof corresponds to the manufacturing completion date of that product or article. These records will enable the TC holder to prove to the FAA that it has properly completed and documented all inspections and tests required to ensure compliance with subpart F. Manufacturers are required by the rule to maintain evidence that indicates conformance or nonconformance of the product or article thereof regarding required inspections and tests.
C-1
Appendix C C.2.3.2 Paragraph (d) requires each manufacturer of a product or article thereof manufactured under a TC to allow the FAA to make any inspection or test (including any inspection or test at a supplier facility) necessary to determine compliance. “Allowing” means the manufacturer will— Give free and full access to facilities, information, and relevant data to show compliance with this subchapter, and Provide appropriate assistance to the FAA to enable the FAA to perform these inspections and tests. Inspections and tests include audits, inquiries, questions, discussions, monitoring, witnessing, checks, flight and ground tests, and inspections of in-process and completed products or articles thereof, and all relegated design data.
C.2.3.3 Paragraph (f) requires a TC holder to identify any parts of the product that leave the TC holder’s manufacturing facility as FAA-approved. This includes the manufacturer’s part number and name, trademark, symbol, or other FAA-approved identification (for example, a cage code or an FSCM).
The information may be conveyed in the form of stickers, tags, shipping documents, shipping containers, or by other means. This information may also be applied directly to the subassemblies or component parts in accordance with approved data.
C.2.3.4 Paragraph (g) requires the manufacturer producing under subpart F to obtain a production approval under subpart G, Production Certificates, within 6 months of the TC’s issuance. The following requirements apply:
During the 6-month period from the TC’s issue date, each completed product or article thereof is subject to FAA inspection before the issuance of airworthiness certificates or approvals. Because of limited FAA monetary and manpower resources, these inspections may be delayed or be very time-consuming, and would normally allow a very low production rate by the TC holder. It is, therefore, to the TC holder’s advantage to develop and implement an approved system in accordance with subpart G as quickly as possible.
If the TC holder does not establish and implement an approved system in accordance with subpart G at the end of the 6-month period, and there are no extenuating circumstances to preclude such establishment and implementation, the FAA may discontinue inspections until an approvable system has been established.
C.2.4 Section 21.127, Tests: aircraft.
C.2.4.1 Before the production flight test of aircraft, any items coming under the provisions of § 21.127(b)(5) should be checked. For example, it is important that— C-2
Appendix C The means provided to level the aircraft are accurate and in conformity with type design data.
Each aircraft is weighed to determine the empty weight and center of gravity is in conformity with the type design data.
C.2.4.2 The flight test procedure and flight check-off form, required to be established and approved under § 21.127, should be submitted to the FAA ACO for approval.
C.2.5 Section 21.128, Tests: aircraft engines.
C.2.5.1 The test equipment used for test runs should be capable of accurate output determinations sufficient to ensure the engine output delivered complies with official ratings and operating limitations.
C.2.5.2 Following the tests prescribed by § 21.128, each engine is subject to FAA inspection to determine the engine is in condition for safe operation.
Such inspection may also include internal inspection and examination to ensure no unsafe condition exists. The degree of internal inspection will normally be determined by the cumulative results of such inspections conducted on the first production engines, and by service experience. The FAA may consider a statistical plan for internal engine inspections if the TC holder submits a proposal based on product uniformity, a satisfactory history of previous internal inspections, and service experience.
C.2.6 Section 21.129, Tests: propellers.
C.2.6.1 An acceptable functional test for variable pitch propellers would include 25 complete cycles of the control throughout the propeller pitch and rotational speed ranges. Additionally, for feathering or reversing propellers, there should be five cycles of feathering operation and five cycles of reversing operation from the lowest normal pitch to the maximum reverse pitch.
C.2.6.2 Following the functional test, each propeller is subject to inspection by the FAA in a similar manner as that described for engines in paragraph C.2.3 of this appendix.
C.2.7 Section 21.130, Statement of conformity.
On receipt of the statement of conformity, the FAA will inspect the completed product to determine it conforms to the type design and is in a condition for safe operation. If so, an airworthiness certificate will be issued for aircraft, or an airworthiness approval tag will be issued for an engine, propeller, or articles thereof.
C-3
Appendix D APPENDIX D. SCRAP OR SALVAGEABLE AIRCRAFT PRODUCTS AND ARTICLES.
D.1 Purpose.
The information provided in this appendix may be used by production approval holders and their suppliers. This information may be— Applied to manufacturers involved in the control, distribution, sale, maintenance, or disposition of scrap or salvageable aircraft engines, aircraft propellers, and aircraft articles.
Used to identify, segregate, and control rejected products and articles to preclude their use in a finished product.
D.2 Background.
Products and articles may be deemed scrap or salvageable once they are determined as unserviceable or ineligible for installation on an aircraft, aircraft engine, or aircraft propeller. In some cases, it has been common practice to dispose of scrapped products and articles by selling, discarding, or transferring the articles. A lack of proper industry controls may result in an article being copied or repaired, reintroduced into the market, and being falsely identified as an approved article. Use of such products and articles can have serious safety implications and liabilities for the manufacturer, aircraft operator, or repair facility. Using an effective system to control scrap or salvageable products and articles will reduce the chances that these articles will be distributed or sold as serviceable.
D.3 Documenting the Process.
Maintaining a well-defined quality program is fundamental to controlling rejected products and articles. One element to be addressed within this program is the control and disposal of scrap and salvageable products and articles. Quality systems without this element could allow products and articles to migrate back into active inventories.
D.4 Preventing Misrepresentation of Scrap Products and Articles.
D.4.1 Manufacturers should dispose of scrap products and articles through mutilation, when appropriate. Proper and thorough mutilation of products and articles will ensure they are unusable for their original application and render them incapable of being reworked or camouflaged to provide the appearance of being serviceable.
D.4.2 Effective mutilation may be accomplished by one or a combination of the following methods: grinding, burning, removal of a major integral feature, permanent distortion of products and articles, cutting a significant size hole with a cutting torch or saw, melting, sawing into many small pieces, and removing manufacturer identification, part, lot, batch, and serial number.
D-1
Appendix D D.5 Disposing of Scrap Products and Articles.
Manufacturers disposing of scrap products and articles may choose to release them for legitimate non-flight use. This non-flight use may include training, education, research and development, tool set up, or non-aviation applications. In such instances, mutilation may not be appropriate.
The following methods may be used to prevent future misrepresentation:
D.5.1 Permanently and clearly mark the products and articles as “Not for Aviation Use” and “Not Serviceable.” Ink stamping is not normally considered an acceptable method unless indelible ink is used and the products and articles are checked to ensure the ink cannot be removed.
D.5.2 Remove part number identification.
D.5.3 Remove identification plate and marking.
D.5.4 Maintain a tracking or accountability system, by serial number or other individualized data, to record transferred scrap products and articles.
D.5.5 In any agreement or contract transferring scrap products and articles, develop written procedures identifying disposition and disposal requirements.
D.5.6 Secure a signed certification statement from the purchaser indicating “the purchaser will not use or convey these products and articles for use in aviation products.”
D.5.7 For those articles determined to be scrap and having no further aviation use, manufacturers should— Establish and maintain procedures requiring documentation (for example, a written contract) from scrap dealers indicating their intent to properly dispose of all products and articles received.
Establish and maintain procedures to audit scrap dealers to their contract requirements.
Maintain records of serial numbers for scrapped life-limited or other critical products and articles. In such cases, the owner who mutilates applicable products and articles is encouraged to provide the original manufacturer with the data plate or serial number and final disposition of the product or article.
D.6 Preventing Misrepresentation of Salvageable Products and Articles.
D.6.1 Manufacturers handling salvageable products and articles should— Establish secure areas to segregate such articles from active serviceable inventories and to prevent unauthorized access.
Develop procedures to address the retention of records for products and articles exceeding current repair criteria and life limits and that are being held in anticipation of future repair methods or extension to life limits. Caution should D-2
Appendix D be exercised to ensure these products and articles receive the appropriate final disposition.
D.6.2 Aviation safety is best served with sound processes that control scrap and salvageable products and articles. Using the practices identified in this document will reduce the potential that these articles will be distributed and sold as serviceable products.
With aviation safety in mind, the aviation community is responsible for preventing misrepresentation of aviation products and articles. The FAA encourages manufacturers to establish a program that controls scrap and salvageable products and articles as an integral part of their quality management systems.
D.6.3 Misrepresented products and articles that are offered for sale, or have been furnished for aviation use, should be reported to the FAA. This may be accomplished by submitting FAA Form 8120-11, Suspected Unapproved Parts Notification, or by calling the Aviation Safety Hotline toll free number, 800-255-1111.
D-3
Appendix E APPENDIX E. ISSUING AUTHORIZED RELEASE DOCUMENTS FOR AIRCRAFT ENGINES, PROPELLERS, AND ARTICLES.
E.1 Purpose.
This appendix provides guidance to any PAH on developing procedures to comply with 14 CFR 21.137(o). These procedures are required before a PAH may issue authorized release documents, using FAA Form 8130-3, for new aircraft engines, propellers, and articles manufactured by the production approval holder, or for used aircraft engines, propellers, and articles when rebuilt or altered pursuant to § 43.3(j).
E.1.1 A PAH may choose to either issue its own authorized release documents or rely on FAA personnel or designees. A PAH is required to have procedures under § 21.137(o) only if the PAH seeks to issue its own authorized release documents. However, after the FAA has approved a PAH’s procedures to allow the PAH to issue authorized release documents, the FAA expects the PAH to use its own approved system, rather than relying on the FAA for Form 8130-3 approval.
E.1.2 Section 21.137(o) requires any PAH issuing authorized release documents to establish quality system procedures providing for the selection, appointment, training, management, and removal of individuals authorized by the PAH to issue authorized release documents. These procedures should ensure that individuals selected to issue authorized release documents meet the qualification requirements for an FAA DMIR with function code 03, as described in FAA Order 8000.95, Designee Management Policy.
E.2 Background, Knowledge, and Experience.
In selecting and appointing individuals authorized to issue authorized release documents, a PAH should ensure those selected individuals possess knowledge of the applicable FAA regulations, policies, guidance, and procedures, and have the technical experience and skills appropriate for the complexity of the product or article for which an authorized release document is to be issued. In addition, a PAH’s selection and appointment records should show that each selected individual’s background, knowledge, and experience demonstrate his or her integrity and ability to apply sound judgment. The FAA strongly suggests any PAH review the knowledge, experience, skill, and training standards described in FAA Order 8000.95 and used by the FAA to select and appoint designees pursuant to 14 CFR part 183, Representatives of the Administrator.
E.3 Authorized Personnel.
A PAH’s FAA-approved procedures should include a current list of all personnel authorized to issue authorized release documents. This list should include each authorized individual member by name, function(s), scope or limitations, and the location at which each authorized individual’s functions are to be conducted. The E-1
Appendix E PAH’s authorized procedures should conform to current FAA policy and, at a minimum, address the following:
E.3.1 A process for determining the number of individuals needed to support the company’s workload.
E.3.2 The specific functions, products, or articles for which the authorized individual will issue authorized release documents, and any locations where those services will be needed. This should include both PAH facilities and approved supplier locations.
E.3.3 The general knowledge, type and length of experience, and technical qualification requirements needed for a specific function, product, or article.
E.3.4 The PAH’s training and testing requirements, including initial, ongoing, and recurrent testing and training, and the required frequencies. Training topics should include:
Initial Engines, Propellers, and Articles Training, recurring every 36 months;
Procedures for completing FAA Form 8130-3 Authorized Release Document;
Complying with requirements of importing countries or jurisdictions when exporting U.S. products, articles, or parts; and Understanding and complying with regulations pursuant to 14 CFR part 21, subparts H and L.
E.3.5 The continuous oversight and monitoring of all authorized individuals and their activities, regardless of location. This includes, for example, the scope of the oversight and its frequency.
E.3.6 Methods for maintaining adequate records for each authorized individual. This includes establishing a record retention period. The records should, at a minimum, contain the following information for each selected individual:
Name,
Date of birth,
Experience,
Verifiable references (technical and character),
Training status,
Scope of the authorization,
Location(s) at which functions are to be conducted,
Date of authorization,
Appointment status,
Expiration date of authorization (as appropriate), and
Identification number of authorization (as appropriate).
E-2
Appendix E E.3.7 A method for withdrawing an authorization from a supplier location.
E.3.8 Evidence of authorization. The method used should make it very clear to the PAH, the authorized individual, and the FAA who is authorized and the overall scope and limitations of their authorization.
E.3.9 A method for auditing the effectiveness of the overall authorized release document program.
E.3.10 A process for removing or revising the scope of an individual’s authorization.
E.3.11 The retention period for records related to the issuance of each authorized release document (that is, FAA Form 8130-3).
E.4 Completing FAA Form 8130-3.
Section 21.137(o) requires any PAH who chooses to issue authorized release documents, to have an established quality system procedure for completing authorized release documents.
E.4.1 These procedures should include requirements for completing FAA Form 8130-3 that meet FAA Order 8130.21 Chapters 1, 2, and 4. When establishing a procedure for completing the authorized release documents, a PAH should incorporate by reference any applicable procedures from FAA Order 8130.21. The latest revision of FAA Order 8130.21 will always have the most up-to-date instructions applicable to any person with authority to complete authorized release documents. Blocks 13b., 13c., 13d., 14b., 14c., and 14d. require information that is specific to each PAH. The following instructions should be included in the procedures for completing the authorized release documents:
E.4.1.1 Block 13.b. Authorized Signature.
This space should be signed by an authorized person. Only a person authorized under a PAH’s approved quality system that includes the procedures pursuant to § 21.137(o) may sign this block.
E.4.1.2 Block 13.c. Approval/Authorization No.
Enter the approval or authorization number of the authorized representative or organization identified in Block 13b. Also, for a PAH, enter the applicable production approval number (for example, PT1234CE or PQ1234NM).
E.4.1.3 Block 13.d. Name (Typed or Printed).
Enter the typed or printed name of the authorized representative or organization whose signature appears in Block 13b.
E-3