AdvisoryU.S. Department of Transportation Federal Aviation Administration Circular Subject: PART 26, CONTINUED Date: 12/3/07 AC No. 26-1 AIRWORTHINESS AND SAFETY Initiated by: ANM-100
IMPROVEMENTS
1. PURPOSE. This advisory circular (AC) describes an acceptable means for showing compliance with certain requirements of Title 14, Code of Federal Regulations (CFR) part 26 and how the results of that compliance relate to certain complementary operational rules. The standards in part 26 may require performing assessments, developing design changes, and revising instructions for continued airworthiness for transport category airplanes. This AC provides generic guidance that is applicable to the safety initiatives in part 26 that may be issued
(i.e., Enhanced Airworthiness Program for Airplane Systems, Reduction of Fuel Tank Flammability in Transport Category Airplanes, Aging Airplane Safety, and Widespread Fatigue Damage). This AC provides generic guidance on the roles and responsibilities of type certificate and supplemental type certificate holders, manufacturers, owners, and operators. This AC provides guidance on the processes for developing compliance plans, data, and information that would be available to operators to meet the safety objectives.
2. APPLICABILITY.
a. The guidance provided in this document is directed to existing design approval holders (See Appendix C, Definitions of Acronyms and Terms Used in this AC) or pending holders of type or supplemental type certificates, airplane manufacturers, modifiers, and operators of certain transport category airplanes.
Note: While most of this AC discusses means of compliance for design approval holders, paragraph 4f, Compliance Process – Operator, specifically addresses the compliance process for operators.
b. This material is neither mandatory nor regulatory in nature and does not constitute a regulation. It describes acceptable means, but not the only means, for demonstrating compliance with the applicable regulations. The FAA will consider other methods of demonstrating compliance that an applicant may elect to present. While these guidelines are not mandatory, they are derived from extensive FAA and industry experience in determining compliance with the relevant regulations. On the other hand, if we become aware of circumstances that convince us that following this AC would not result in compliance with the applicable regulations, we will not be bound by the terms of this AC,
and we may require additional substantiation or design changes as a basis for finding compliance.
c. This material does not change, create any additional, authorize changes in, or permit deviations from, regulatory requirements.
3. BACKGROUND.
a. The intent of the guidance in this AC is to provide a systematic approach for implementing design approval holder (DAH) and operator compliance requirements for certain safety initiatives. This AC allows flexibility in implementing these requirements without compromising safety. This AC is based on the plan outlined in the final rule, “Fuel Tank Safety Compliance Extension and Aging Airplane Program Update,” published in the Federal Register (69 FR 45936) on July 30, 2004, and the FAA policy statement “Safety – A Shared Responsibility – New Direction for Addressing Airworthiness Issues for Transport Category Airplanes,” published in the Federal Register (70 FR 40166) on July 12, 2005 (see Appendix B). Specific technical gui dance for each of the safety initiatives applicable to the DAH and operator may be developed and issued in separate ACs.
b. This AC provides guidance for implementing processes that support performing assessments, developing design changes, developing instructions for continued airworthiness of transport category airplanes, and in making the necessary documentation available to affected persons.
c. In 2003, the FAA Flight Standards (AFS) and Aircraft Certification (AIR) Services reviewed certain safety initiatives for transport category airplanes. The goal of the review was to develop an integrated plan for efficiently implementing safety improvements.
(1) The safety initiatives reviewed were:
(a) Enhanced Airworthiness Program for Airplane Systems (EAPAS)
(b) Fuel Tank Safety Operational Rules
(c) Aging Airplane Safety Rule (AASR)
(d) Widespread Fatigue Damage (WFD)
(e) Corrosion Prevention and Control Program (CPCP)
(2) This review identified potential redundancies and overlaps between the safety initiatives. It also identified that certai n efficiencies could be gained and burden on operators reduced by aligning some of the technical requirements and compliance schedules among the safety initiatives. The review resulted in a number of recommendations that were adopted and outlined in the “Fuel Tank Safety Compliance Extension and Aging Airplane Program Update,” Docket No. FAA-2004-17681 2
(69 FR 45936, July 30, 2004). However, the FAA published a notice revising the implementation of those recommendations (71 FR 38542, July 7, 2006).
d. The FAA reviewed its regulatory approach requiring operators to incorporate design changes or maintenance and inspection program changes, but not requiring the DAH to support operator compliance.
(1) We found that, on occasion, adopting airworthiness requirements only through operational rules has imposed an inappropriate burden on operators. In those cases, implementation of the operational rule requirements depended on the operators having access to necessary information and parts (design changes, revised maintenance and inspection procedures, etc.). This practic e relied on voluntary support from the DAHs to make available data and documents needed to support operator compliance. The DAHs did not always provide timely support to the operators. Consequently, operators were not always able to implement the changes to comply with the operational rules by the regulatory compliance date, or they incurred substantial unexpected costs to comply.
(2) The FAA has concluded that under certain circumstances the DAHs should be required to make available data and documents to support operator compliance with complex airworthiness issues. The FAA Policy Statement contained in Appendix B, “Safety - A Shared Responsibility - New Direction for Addressing Airworthiness Issues for Transport Category Airplanes,” PS-ANM110-7-12-2005, dated July 6, 2005, effective July 12, 2005, has more information about the DAH’s and operators’ responsibilities and the circumstances that will be considered when implementing DAH requirements.
4. DISCUSSION.
a. Design Approval Holder (DAH) Requirements.
(1) The regulations in part 26 prescribe requirements for DAHs of certain transport category airplanes to support the continued airworthiness of those airplanes, as may be required by operational rules. Such acti ons may include, but are not limited to, performing assessments, developing design changes, developing Instructions for Continued Airworthiness (ICA), furnishing data and documents to demonstrate compliance with the applicable airworthiness regulations, and making necessary documentation available to affected persons. These regulations will generally:
(a) Address issues related to continued airworthiness and safety improvements for the existing fleet;
(b) Apply to DAHs and certain applicants for design approval;
(c) Apply to current and pending airplane configurations and future design changes;
(d) Require service instructions that may include design changes, ICA, and airworthiness limitation items (ALI);
(e) Address repairs, alterations, and modifications;
(f) Require developing a compliance plan and defining a process for its approval;
and
(g) Require making certain data and documents available to the affected operators and others as appropriate.
(2) Various aspects of the regulations applicable to the DAH are modeled after “The FAA and Industry Guide to Product Certification,” dated January 25, 1999. The website location for obtaining this document is:
http://www.faa.gov/aircraft/air_cert/design_approvals/media/CPI_guide_II.pdf. This guide describes a process for developing project-specific certification plans for type certification programs. This guide also recognizes the importance of ongoing communication and cooperation between applicants and the FAA. The FAA intends to encourage a similar relationship during the process of complying with these regulations.
The FAA will use the compliance plan to help ensure that acceptable data, documents, and parts are available to the operators in a timely manner.
b. Compliance Plan Proposal.
(1) One of the principal elements of the requirements for the affected DAHs, and some applicants for, or changes to, a type certificate (when application was made before the effective date of the rule), is to provide a compliance plan proposal within the time specified in the regulations of the applicable rule.
Note: For future applicants for a type certificate, this information will be contained in the certification compliance plan. While the requirements may be somewhat different for each of the referenced safety initiatives, there are a number of similarities.
(2) Generally, the compliance plan must contain:
(a) A project schedule that identifies all major milestones for meeting the compliance dates specified in the relevant regulations.
(b) A means of compliance with the relevant regulations that identifies all data and documents substantiating compliance with the DAH requirements. For DAH rules that require that ICA be made available, in developing its plan, the DAH should consider that operators must be able to readily incorporate these ICA into their maintenance or inspection programs. That means the ICA must be sufficiently detailed and formatted to facilitate operators’ compliance with the corresponding operational rules. Any requirements for maintenance and inspection instructions for continued airworthiness made available to the operators may require the kind of information prescribed by Appendix H of part 25 and the level of detail identified in Appendix A of this AC. The FAA expects that the DAH, in the process of 4
developing a compliance plan, will coordinate with their operators. The DAH should confirm that the data and documents they plan to develop for compliance with DAH rules will be acceptable to the FAA for use by operators in developing proposed changes to their maintenance or inspection programs.
(c) A detailed plan for submitting compliance documentation, including any necessary preliminary submissions of data, analyses, test plans, specifications, or manuals.
(d) A distribution process for the approved data and documents that makes them available to the affected operators and other affected persons.
(e) For those rules where modification parts are necessary, a proposal for how the modification parts will be made available to the affected operators or persons.
(3) Some DAH requirements in the referenced safety initiatives may specify the need for additional information such as a proposal for:
(a) Addressing repairs, alterations, and modifications.
(b) Continuously assessing service information or reliability reporting, if appropriate.
(4) The DAH, to facilitate compliance plan review, approval, and accomplishment, should include additional information such as:
(a) A communication and coordination plan that identifies those responsible for compliance, and their respective roles and responsibilities.
(b) A plan for delegation (i.e., designees, Civil Aviation Authorities (CAA)), if appropriate, of compliance findings necessary to meet the DAH requirements in the relevant rule. This plan should include id entification of special authorizations that will be required for qualified persons to make recommendations for approval or approve technical data in support of compliance with the DAH regulations.
(c) A detailed explanation of how and why the proposed means of compliance will be acceptable, if a DAH proposes a means of compliance that differs from that described in applicable FAA policy. The FAA believes this recommendation, which is normal practice in certification projects, will help to facilitate timely review and approval and save both DAH and FAA resources. This expectation is consistent with “The FAA and Industry Guide to Product Certification” previously discussed and the policy contained in Appendix B.
c. Compliance Processes.
(1) The FAA identified two key processes that will help achieve on-time compliance with the objectives and requirements of the referenced safety initiatives: a process to— 5
(a) Support the development of the DAH compliance plan that will help to ensure its acceptability, and
(b) Provide early awareness that acceptable compliance is at risk, and recommendations for resolutions.
(2) The FAA will use a two-team approach:
(a) A Compliance Team generally composed of representatives from the FAA Oversight Office, i.e., the Aircraft Certification Office (ACO) or Transport Airplane Directorate (TAD) office having responsibility for the relevant type certificate or supplemental type certificate (determined by the Administrator), and representatives from affected AEG offices. This Team will work directly with the DAH to review the safety initiative’s requirements and available guidance, review and approve the DAH compliance plan, monitor the implementation of the plan, and make the final determination of DAH compliance with the requirements.
(b) A Standardization Team composed of representatives from Aircraft Certification and Flight Standards Services offices. This Team will provide technical guidance and training to ensure the Compliance Teams are knowledgeable of the regulations and their intent, and standardization. The standardization function will be achieved through frequent coordination with the Compliance Teams and is intended to ensure that the DAHs’ means of compliance satisfy all of the regulatory requirements. The means of compliance used by the DAH may not necessarily be the same as that which is commonly used by the industry. Although the various means of compliance used by industry must all satisfy the regulatory requirements, we recognize that they may differ among each other.
(3) The FAA and DAH will normally use the processes illustrated in the following flow chart (figure 1). The flow chart shows an ove rview of the processes. The numbers in the flow chart refer to certain steps in the details that follow.
(~_)
12/3/07 AC 26-1 FIGURE 1. COMPLIANCE PROCESSES
Final Rule Issued Start FAA Compliance Team 4d(1) FAA Approved?
Conduct a familiarization meeting with DAH to review regulations, guidance, and expectations for compliance plan, analyses, data, and documents DAH Prepare and submit compliance plan to FAA Compliance Team 4d(2) 4d(4)
DAH revises plan No 4d(3)(a) or (3)(b) Yes DAH Implement required compliance plan FAA Compliance Team Monitor DAH compliance plan implementation 4e(1) 4e(1) Yes4e(1) Deficiencies? 4e(1) DAH revises plan No End DAH Make data and documents available to operators FAA Accepted?
FAA Compliance Team Review DAH final data and documents DAH Provide draft data and documents to FAA Compliance Team Yes4e(4)(c) 4e(4)(b) DAH Provide final data and documents to FAA Compliance Team Yes No FAA Reference Order 2150.3 Resolve in Time?
FAA Approved?
Yes Resolve in Time?
No Yes No No 4e(2) 4e(3) or (4) 4e(5) 4e(6) 4e(6)(a) or (6)(b) 4e(7) 7
d. Compliance Plan Development, Submission, and Review (Refer to Figure 1).
(1) The familiarization process includes a review of information that is already available in the applicable rules, their preambles and guidance materials developed by the FAA or through the tasking of the Aviation Rulemaking Advisory Committee (ARAC), as applicable. The familiarization process is intended to facilitate development of an acceptable compliance plan. It also demonstrates the FAA’s intent for proactive collaboration between the Compliance Team and the DAH throughout the compliance process. The Compliance Team, as soon as possible after issuance of the safety initiative rule, will:
(a) Conduct a familiarization meeting with the DAHs to review the:
1 applicable regulations and guidance information;
2 requirements for compliance plan development;
3 compliance plan deficiency resolution process;
4 compliance plan approval process;
5 expectations for the required analysis content as discussed in the regulations and guidance material; and 6 expectations for the general content and format of their data and documents to be provided in accordance with the schedules established in the compliance plan.
(2) The DAHs, in showing compliance with each safety initiative requirement, must:
(a) Develop a compliance plan specific to the safety initiative (to facilitate early identification of issues, the DAH should provide periodic updates regarding the development of the plan); and
(b) Submit a compliance plan within the time stated in the regulations specific to the safety initiative.
(3) The Compliance Team will:
(a) Review the submitted plan and, if acceptable, notify the DAH by a letter of approval; or 8
(b) Review the DAH submitted plan and, if not acceptable:
1 identify these deficiencies in the proposed compliance plan;
2 discuss these deficiencies with the DAH and identify, if possible, mutually acceptable correction(s) to the compliance plan; and 3 notify the DAH by letter of the deficiencies.
(4) If the Compliance Team notifies the DAH of deficiencies, the DAH must submit a corrected plan to the FAA Oversight Office for review and approval.
e. Compliance Plan Monitoring And Accomplishment.
(1) The Compliance Team will monitor the DAH’s progress towards compliance with the regulations. The monitoring function includes meeting with the DAH to review the status of compliance and the achievement of milestones in the approved compliance plan. The FAA will identify any deficiencies as provided in paragraph 4d(3)(b).
(2) The DAH must provide, as required by the regulations, a draft of all data and documents necessary to demonstrate compliance prior to the compliance date defined in the respective rule for each safety initiative. This requirement allows the Compliance Team sufficient time to review the submitted compliance data and documents, and determine if the DAH will meet the compliance date stated in the respective safety initiative regulation.
(3) The Compliance Team will review the draft data and documents and, if acceptable, will notify the DAH.
(4) In the event the Compliance Team finds the draft data and documents not acceptable:
(a) The Compliance Team will notify the DAH of deficiencies in the draft data and documents and identify, if possible, mutually acceptable corrections.
(b) The DAH notifies the Compliance Team if it can or cannot resolve the deficiencies in time to meet the compliance dates stated in the applicable regulation.
(c) The FAA may initiate the appropriate actions as may be provided by FAA Order 2150.3, “Compliance and Enforcement Program” if no data is submitted or if there is no acceptable resolution of the issues in time for compliance. The Standardization Team through AFS-300 will alert those Principal Inspectors (PI) and/or Flight Standard District Offices (FSDO) 9
who have oversight responsibility for operators affected by the operational rules on those occasions when the DAH is unable to comply with the regulations.
(5) The DAH must submit the final data and documents by the compliance due date as required by the regulation, or as determined by resolution of issues (see 4e(4)(c)).
(6) The Compliance Team will:
(a) Review and approve the final data and, if acceptable, 1 Notify the DAH by letter of FAA approval, and 2 Notify the affected PIs and/or FSDOs through AFS-300, of the availability of the approved data that operators can use to develop proposed changes to their maintenance or inspection programs to show compliance with the operational rules.
(b) If the final data is not acceptable, follow the process prescribed in paragraph 4e(4)-(6), except that for this activity, the “draft data and documents” will be “final data and documents” and DAHs must be notified of deficiencies by letter.
(7) Following approval by the Compliance Team of the required compliance information, the DAH will make available to the affected operators and other persons the approved data, documents, and parts that support compliance with the operational rules. This should be done in accordance with the methods and schedule outlined in the DAH’s approved compliance plan.
f. Compliance Process – Operator.
(1) The normal basis for changes to an operator’s Continuous Airworthiness Maintenance Program (CAMP) may be recommendations from the DAHs, alternative methods of compliance with regulatory requirements such as airworthiness directives, or change requirements indicated by its reliability program or Continuing Analysis and Surveillance System (CASS).
(2) For the referenced safety initiatives, the bases for the operator’s proposed implementation program are the data and documents approved by the Compliance Team. These data and documents are developed by the DAHs in accordance with those regulations that support compliance with the related operational rules.
(3) The operational rules associated with these safety initiatives may require the following:
(a) Airplane repairs and alterations, including modifications approved under an STC, and,
(b) Incorporation of ICA, which may include airworthiness limitations, in the CAMP or the inspection program.
(4) The DAH data and documents approved by the FAA Oversight Office (Compliance Team) are likely to be specific to a certain model or series airplanes.
(5) The DAH’s analysis is based on the airplane model configuration as described in each of the safety initiatives. It is likely that the airplane model configuration(s) used in the DAH analysis may not be the same for different operators of the same model. The operator’s airplane configurations may include:
(a) Optional changes developed by the type certificate holder that are affected but were not included in the analysis;
(b) Various repairs, alterations, and modifications (RAM) incorporated by supplemental type certificates or field approvals. (Each set of DAH regulations will identify the particular types of RAMs, if appropriate; e.g., type of system such as fuel tank, and kind of approval such as installation of an auxiliary fuel tank that are to be addressed for compliance.)
Note: While field approvals for modifications and alterations of transport airplanes may have occurred in the past, they are not recommended per FAA Order 8110.10 Change 21 as may be applied to 14 CFR 121 air carriers (see also Order 8300.10, Volume 2, Chapter 1).
(6) The operator should propose a plan based on data and documents approved by the FAA Oversight Office in consideration of the following:
(a) Incorporating airplane ICA that consider potential airplane configuration differences, e.g., changes in wiring architecture due to incorporation of repairs or alterations, changes in airframe structure to allow incorporation of new systems or conversion from a passenger to freighter configuration, etc.;
(b) Changing its CAMP or inspection program based on data and documents approved by the Compliance Team;
(c) Including any compliance schedule(s) for the operational rules that require the affected operators to achieve a specified level of compliance by a certain time. For example, a rule may require 50 percent of the affected fleet to incorporate the required changes within a specified time prior to the compliance date for 100 percent of the affected fleet;
(d) Revising its minimum equipment list (MEL) as may be prescribed by the Master MEL; and
(e) Submitting the proposed changes to their PI or the cognizant FSDO for review and approval on a schedule that will provide sufficient time for review, approval, and incorporation to meet the compliance date.
Note: The FAA recognizes that there may be some occasions where the DAH is unable to comply with the regulations. There may also be cases where the DAH no longer exists. As stated in the policy statement (see Appendix B), under these circumstances the operator is still obligated to comply with the operational rules. However, the FAA realizes that those occasions may significantly complicate the operator’s effort to show compliance with the operational rules. The FAA recommends the affected operators contact their DAHs early in the compliance process period to ensure their intent to comply. Operators should also familiarize themselves with the regulations and the associated guidance information contained in the relevant ACs and policy so they can determine the best way to obtain necessary data and documents in the event a DAH is unable to support the compliance activity. Affected operators are also encouraged to collaborate with other operators who may also be impacted by lack of support on the means for compliance.
Note: Some STC holders may choose to surrender their STCs rather than comply with the DAH requirements. In this case, the data from the STC remains the property of the STC holder even though the STC has been surrendered. If an operator wants to obtain the data from the STC to support compliance with the operational rules, they would need to make arrangements with the owner of the STC for access to the data.
(7) The PI or the cognizant FSDO will:
(a) Review the operator’s plan for proposed changes in comparison with the data and documents approved by the Compliance Team;
(b) If there are substantive differences between the approved information and the operator’s proposed changes, the PI or the cognizant FSDO will coordinate with Flight Standards Service offices and the Compliance Team on the acceptability of the proposed changes or means for resolution in accordance with Order 8300.10, “Airworthiness Inspector’s Handbook”;