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).
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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.
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Appendix E E.4.1.4 Block 14.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.4.1.5 Block 14.c. Approval/Authorization No.
Enter the approval/authorization number of the authorized representative/organization identified in Block 13b. Enter the applicable production approval number (for example, PT1234CE or PQ1234NM).
E.4.1.6 Block 14.d. Name (Typed or Printed).
Enter the typed or printed name of the authorized representative or organization whose signature appears in Block 14b.
E.4.2 If a PAH manufactures a product or article for export, the PAH is responsible for ensuring that it complies with applicable bilateral agreements and with §§ 21.331 and 21.335. AC 21-2, Complying with the Requirements of Importing Countries or Jurisdictions When Exporting U.S. Products, Articles, or Parts, provides information and guidance regarding the requirements of importing countries or jurisdictions.
E.4.2.1 If an exporter cannot comply with § 21.331(a) and (c), it must notify the FAA before issuance of FAA Form 8130-3. The FAA will request a written statement from the importing CAA indicating the CAA’s acceptance of the aircraft engine, propeller, or article. Governmental authorities will transmit and receive requests for acceptance before export. The FAA will notify the exporter of the CAA’s written response, at which point the PAH can issue the export documentation.
E.4.2.2 As provided in § 21.331(b) and (d), if the CAA of an importing country or jurisdiction accepts any deviations from § 21.331(a) and (c), the PAH must list as exceptions any differences between the aircraft engine, propeller, or article on the approval or authorized release document. All deviations as exceptions should be noted in the form’s “Remarks” block, referencing the importing CAA’s written statement of acceptance. The form also should be accompanied by a copy of the importing CAA’s statement of acceptance.
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Appendix F APPENDIX F. PRODUCTION APPROVAL HOLDER/SUPPLIER ARRANGEMENT.
The following list comprises elements typically found in the arrangement between the PAH and the supplier, if applicable. Guidance on the content of each element is provided, but this is not intended to be comprehensive.
NOTE: The supplier arrangement may indicate whenever the PAH finds one or more of the elements to be inapplicable.
F.1 Scope.
F.1.1 Identify articles to be provided by the supplier and associated supplier facilities.
F.1.2 Identify any limitation(s) defined by the PAH.
F.2 PAH Evaluation.
Stipulate that the supplier is acting under the PAH quality system and that all of the corrective actions requested by the PAH will be implemented.
F.3 Implementation Procedures.
Attach a quality plan or equivalent documentation to the contract.
F.4 Internal Quality System.
F.4.1 Identify methods for the PAH to evaluate the internal quality system of the supplier.
F.4.2 Describe the interface between the PAH’s quality systems and the supplier in the quality plan.
F.5 Design Data and Configuration Control.
F.5.1 Identify the design data package provided by the PAH, including all pertinent data required for the supplied article(s) to be identified, manufactured, inspected, used, and maintained.
F.5.2 Establish procedures for managing design changes.
F.6 Manufacturing Data.
Identify the manufacturing data developed by the supplier, if any, based on the design data submitted by the PAH. (Refer to paragraph F.5 of this appendix.)
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Appendix F F.7 Test and Inspections (Including Incoming).
F.7.1 Identify procedures to define the necessary test and inspection processes— To ensure and determine the conformity of the supplied article(s) during the supplier’s manufacturing activities, and on receipt by the PAH.
To be performed for qualification of the supplier (including first article inspection) and related documentation requirements.
F.7.2 The PAH may rely on inspections/tests performed by a supplier, provided:
Personnel responsible for these tasks satisfy the quality standards of the PAH, Quality measurements are clearly identified, and The records or reports showing evidence of conformity are available for review and audit.
F.8 Identification and Traceability.
Stipulate that the PAH flows-down to the supplier and any subtier suppliers’ identification and traceability requirements.
F.9 Supplier Personnel Competence.
Identify the PAH’s requirements for the competence of supplier personnel (that is, production, inspection, and quality staff) based on qualifications, education, training, skills, and experience.
F.10 Calibration.
F.10.1 Ensure calibration is traceable to a national standard acceptable to the FAA.
F.10.2 Ensure certificates are submitted where suppliers perform calibration services for the PAH.
F.11 Handling, Storage (Segregation), and Packing.
F.11.1 Identify requirements from the PAH concerning handling, storage, packing, and shelf life to be followed by the supplier.
F.11.2 Address segregation of approved and non-approved articles as well as nonconforming articles.
F.12 Record Completion and Retention.
Identify procedures for document management and retention by the supplier.
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Appendix F F.13 Nonconformities.
Identify procedures for handling and documenting nonconformities between the PAH and the supplier, addressing— The identification, documentation, and classification (major, minor) of nonconformities.
The disposition of nonconformities and the subsequent segregation and control of the nonconforming articles. This includes the secure disposition of scrap articles to avoid reuse (refer to paragraph F.11 of this appendix).
Note: The disposition of nonconformities is generally the responsibility of the design approval holder. Nevertheless, it may be acceptable to the FAA for the design approval holder to delegate the approval of nonconformities to persons located in the organization of the PAH and its suppliers, thus acting as part of the design approval holder.
The immediate notification to the PAH on nonconforming articles that have left the supplier’s quality system.
F.14 Conformity Document.
Specify the document by which the supplier certifies conformity to the applicable design data to the PAH.
F.15 Provisions for Direct Delivery/Direct Shipment.
Identify the authorization and the requirements for direct delivery/direct shipment to end users from the supplier’s facilities, based on relevant regulatory requirements. (For direct shipment requirements, refer to chapter 3, paragraph 3.6.11.5 of this AC.)
F.16 Assistance for Continued Airworthiness.
Identify procedures for supplier assistance to the PAH for continued airworthiness, including methods to notify and act on notification of already delivered nonconforming articles, ensuring proper investigation and implementation of corrective action.
F.17 Subtier Suppliers.
F.17.1 Specify the conditions under which the supplier may subcontract to or obtain supplies from a third party.
F.17.2 Specify procedures for:
A supplier to flow-down the FAA and PAH requirements to subtier suppliers.
Notification to the PAH in case of further subtier supplier activity and/or significant problems encountered during manufacturing.
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Appendix F F.18 Significant change to the Quality System.
Require the PAH be notified, as soon as practical, of any changes to the supplier system (evaluated by the PAH) that may affect the quality of the supply.
F.19 Failures, Malfunctions, and Defects.
Specify to the supplier the necessary requirements for reporting failures, malfunctions, and defects to ensure the PAH can comply with FAA requirements.
F.20 Access for the PAH and FAA.
Ensure access to, and cooperation of, all involved facilities in the supply chain for the PAH and FAA. This will enable— The PAH to verify compliance with the PAH-supplier arrangement and to assess the quality of the contracted articles, and The FAA to investigate the PAH’s compliance with the applicable requirements at the supplier level.
F.21 Language.
Identify the language to be used for the exchange of information (including all working documents, such as technical and quality data) that is acceptable to the FAA.
F.22 Identification of Responsibilities.
Identify responsible office/function/positions in charge for all elements of the PAH-supplier arrangement.
F.23 Duration of the Supplier Arrangement.
Identify the duration of the supplier arrangement in terms of time and/or quantity of supply to be delivered to the PAH.
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Appendix G APPENDIX G. PRODUCTION CERTIFICATION:
MULTINATIONAL/MULTICORPORATE CONSORTIA.
G.1 Purpose.
This appendix provides information and criteria for evaluating and approving the quality system of a multinational or multicorporate consortium seeking a production certificate (PC). This appendix does not apply to a type certificate (TC) holder that enters into a licensing agreement with a manufacturer holding a PC at the time of license. The Federal Aviation Administration (FAA) does not consider such a licensing arrangement the formation of a PC. PC extensions are addressed in AC 21-24, Extending a Production Certificate to a Facility Located in a Bilateral Airworthiness Agreement Country.
G.2 Discussion.
A multinational/multicorporate consortium consists of a United States manufacturer(s) and a manufacturer(s) located outside the United States that have agreed to form a single company for production of a particular product. A consortium company usually exists in name only, in that it does not physically manufacture a product in one location.
The consortium company retains responsibility for the design and quality of the product for which the PC has been issued. However, the consortium company may assign the manufacturing task to other partner companies or suppliers located domestically or in combination with manufacturers located outside the United States.
G.3 Requirements.
G.3.1 Section 21.135 requires any applicant for a PC to provide the FAA with a document describing how its organization will ensure compliance with subpart G, Production Certificates. The FAA considers a multinational or multicorporate consortium company seeking a PC to be the applicant. The applicant must comply with the organizational requirements outlined in section 1.10 of this AC. The accountable manager identified in the organization document serves as the consortium company’s primary contact with the FAA office responsible for issuance of the production approval, or for certificate management of the production approval holder.
G.3.2 Section 21.137, Quality system, requires a PAH to establish and describe in writing a quality system that ensures each product or article conforms to its approved design and is in a condition for safe operation. The FAA considers the consortium company to be the applicant, and the partner companies to be suppliers.
G.3.3 The consortium company will be named on the PC, along with the consortium company address (possibly a corporate office) and the address(es) of the principal and subordinate manufacturing facilities. Extension of a PC to facilities located outside the United States may be authorized when certain criteria are met, as listed in AC 21-24.
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Appendix G If a PC is extended to a facility located outside the United States, the FAA remains responsible for certificate management.
G.3.4 In the case of multinational/multicorporate consortia, if a partner company or supplier has an FAA-approved quality system for its own product, the PC applicant is still required to have an independent system meeting the requirements of subpart G.
G.3.5 A PC applicant functioning as a corporate entity, distributor, or assembler will have a viable means of ensuring all articles, processes, procedures, and completed products are properly inspected for conformity to the approved type design.
G.4 Quality System Documentation.
G.4.1 The applicant for a PC is required by the rule to establish to the FAA’s satisfaction that its quality system and procedures meet the requirements of § 21.137 before a PC is issued.
G.4.2 The quality system data will clearly specify that all facilities (domestic and outside of the United States) will be made accessible to the FAA and to the CAA acting on behalf of the FAA. If articles or services are provided by a supplier or manufacturer in a country outside the United States, accessibility includes review of the data (drawings, specifications, procedures, and inspection records) and equipment pertinent to the product or articles produced under the PC.
G.4.3 The quality system manual proposed by the applicant will contain sufficient details establishing the quality system organization and procedures as a separate and independent entity (rather than simply incorporating by reference the quality systems of its partner companies). This does not preclude the use of, or reference to, applicable portions of a partner company’s quality system, but ensures the applicant’s system will be evaluated on its own merits. This also enables the FAA to conduct surveillance to ensure compliance with the regulations.
G.5 Quality Organization and Authority.
G.5.1 The applicant’s senior quality manager will have direct access to the consortium’s senior management.
G.5.2 The applicant’s quality system organization will have an independent management organization. This organization will establish departmental control over the partner companies regarding the quality of the jointly produced product. The individuals chosen to fill these management positions will have a clearly defined and separate allegiance to the applicant’s top management, rather than to any company for which they have worked or for which they are currently working.
G.5.3 The responsibility and authority of the employees in the consortium’s management organization will be clearly defined in the quality system data. This includes the G-2
Appendix G consortium’s relationship to the quality and production organizations of the partner companies.
G.5.4 The applicant may propose to assign inspection authority to a limited number of its employees to ensure the quality of products being produced. While no minimum number of employees can or should be specified by the FAA, the viability of the proposed quality system procedures will be assessed with respect to the number of employees available to implement the system.
G.5.5 It is particularly important to establish accountability for compliance with § 21.137 in the case of a multinational consortium. This is because the responsibilities of suppliers outside the United States, regarding their other products under their own CAAs, may be inconsistent with those required by § 21.137. Compliance responsibility for the consortium product will rest with the PC holder. This direct responsibility will be understood by the applicant’s management and the management of the supplier, and be described in the quality manual.
G.5.6 The fact that the actual manufacture of the applicant’s product may take place in a country outside the United States does not affect the applicability of FAA regulations and orders regarding the management and surveillance of the PC holder.
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Appendix H APPENDIX H. ADVISORY CIRCULAR FEEDBACK FORM
If you find an error in this AC, have recommendations for improving it, or have suggestions for new items/subjects to be added, you may let us know by (1) emailing this form to 9-AWA-AVS-AIR500-Coord@faa.gov or (2) faxing it to the attention of the AIR Directives Management Officer at 202-267-3983.
Subject: ____________________________ Date: ____________________ Please check all appropriate line items:
An error (procedural or typographical) has been noted in paragraph __________________ on page __________________________.
Recommend paragraph ____________ on page ______________ be changed as follows:
In a future change to this AC, please cover the following subject:
(Briefly describe what you want added.)
Other comments:
I would like to discuss the above. Please contact me.
Submitted by: __________________________________ Date: ________________________ H-1