[Federal Register Volume 71, Number 193 (Thursday, October 5, 2006)]
[Proposed Rules]
[Pages 58914-58952]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-8281]
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Part II
Department of Transportation
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Federal Aviation Administration
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14 CFR Parts 1, 21, 43, and 45
Production and Airworthiness Approvals, Part Marking, and
Miscellaneous Proposals; Proposed Rule
Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 /
Proposed Rules
[[Page 58914]]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 1, 21, 43, and 45
[Docket No. FAA-2006-25877; Notice No. 06-15]
RIN 2120-AI78
Production and Airworthiness Approvals, Part Marking, and
Miscellaneous Proposals
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: The FAA is proposing changes to its certification procedures
and identification requirements for aeronautical products and parts.
The proposed changes address standardizing requirements for production
approval holders; requiring production approval holders to issue
airworthiness approvals for aircraft engines, propellers, and other
aviation parts; requiring manufacturers to mark all parts and
components; and revising export airworthiness approval requirements to
facilitate global manufacturing. The intent of these proposed changes
is to promote safety by ensuring that aircraft, and parts designed
specifically for use in aircraft, wherever manufactured, meet
applicable standards. This action is also necessary to update our
regulations to reflect the current global aircraft and aircraft parts
manufacturing environment.
DATES: Send your comments on or before January 3, 2007.
ADDRESSES: You may send comments identified by Docket Number FAA-2006-
25877 using any of the following methods:
DOT Docket Web site: Go to http://dms.dot.gov and follow
the instructions for sending your comments electronically.
Government-wide rulemaking Web site: Go to http://www.regulations.gov and follow the instructions for sending your
comments electronically.
Mail: Docket Management Facility; U.S. Department of
Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401,
Washington, DC 20590-001.
Fax: 1-202-493-2251.
Hand Delivery: Room PL-401 on the plaza level of the
Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
For more information on the rulemaking process, see the
SUPPLEMENTARY INFORMATION section of this document.
Privacy: The FAA will post all comments received, without change,
to http://dms.dot.gov, including any personal information you provide.
For more information, see the Privacy Act discussion in the
SUPPLEMENTARY INFORMATION section of this document.
Docket: To read background documents or comments received, go to
http://dms.dot.gov at any time or to Room PL-401 on the plaza level of
the Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
FOR FURTHER INFORMATION CONTACT: Barbara Capron, Production
Certification Branch, AIR-220, Federal Aviation Administration, 800
Independence Avenue, SW., Washington, DC 20591; telephone (202) 267-
3343.
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Comments Invited
II. Availability of Rulemaking Documents
III. Proprietary or Confidential Business Information
IV. Guide to Terms and Acronyms Used in This Document
V. Authority for This Rulemaking
VI. Background
VII. General Discussion of the Proposal
VIII. Subpart-By-Subpart Summary of the Proposal
IX. Description of Specific Changes
X. Proposed Effective Date for Changes
XI. Derivation and Distribution Tables
XII. Regulatory Notices and Analyses
I. Comments Invited
The FAA invites interested persons to participate in this
rulemaking by sending written comments, data, or views. We also invite
comments related to the economic, environmental, energy, or federalism
impacts that might result from adopting the proposals in this document.
The most helpful comments reference a specific portion of the proposal,
explain the reason for any recommended change, and include supporting
data. We ask that you send two copies of written comments.
We will file, in the docket, all comments received, as well as a
report summarizing each substantive public contact with FAA personnel
concerning this proposed rulemaking. The docket is available for public
inspection before and after the comment closing date. If you wish to
review the docket in person, go to the address in the ADDRESSES section
of this preamble between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. You may also review the docket using the
Internet at the Web address in the ADDRESSES section.
Privacy Act: Using the search function of our docket Web site,
anyone can find and read the comments received into any of our dockets,
including the name of the individual sending the comment (or signing
the comment on behalf of an association, business, labor union, and so
on.). You may review DOT's complete Privacy Act Statement in the
Federal Register (65 FR 19477-78, April 11, 2000) or you may visit
http://dms.dot.gov.
Before acting on this proposal, we will consider all comments
received on or before the closing date for comments. We will consider
comments filed late if it is possible to do so without incurring
expense or delay. We may change this proposal in light of the comments
received.
If you mail your comments and want us to acknowledge receipt of
your comments on this proposal, include with your comments a pre-
addressed, stamped postcard on which the docket number appears. We will
stamp the date on the postcard and mail it to you.
Readers should note that the FAA has posted on its Web site (http://www.faa.gov/aircraft/draft_docs/) four draft Advisory
Circulars (ACs). These ACs describe ways to comply with the
requirements of this NPRM. We invite you to send comments on the draft
ACs to reach us by the date specified in the DATES section of this
NPRM. Send your comments using any of the methods described in the
ADDRESSES section of this NPRM. Note that the docket for AC comments
(FAA-2006-25882) is different from the docket for NPRM comments.
II. Availability of Rulemaking Documents
You can get an electronic copy using the Internet by--
(1) Searching the Department of Transportation's electronic Docket
Management System (DMS) Web page (http://dms.dot.gov/search);
(2) Visiting the Office of Rulemaking's Web page at http://www.faa.gov/avr/arm/index.cfm; or
(3) Accessing the Government Printing Office's Web page at http://www.access.gpo.gov/su_docs/aces/aces140.html.
You can also get a copy by sending a request to the Federal
Aviation Administration, Office of Rulemaking, ARM-1, 800 Independence
Avenue, SW., Washington, DC 20591, or by calling (202) 267-9680. Make
sure to identify the docket number, notice number, or amendment number
of this rulemaking.
[[Page 58915]]
III. Proprietary or Confidential Business Information
Do not file in the docket information that you consider to be
proprietary or confidential business information. Send or deliver this
information directly to the person identified in the FOR FURTHER
INFORMATION CONTACT section of this document. You must mark the
information that you consider proprietary or confidential. If you send
the information on a disk or CD ROM, mark the outside of the disk or CD
ROM and also identify electronically within the disk or CD ROM the
specific information that is proprietary or confidential.
Under 14 CFR 11.35(b), when we are aware of proprietary information
filed with a comment, we do not place it in the docket. We hold it in a
separate file to which the public does not have access, and place a
note in the docket that we have received it. If we receive a request to
examine or copy this information, we treat it as any other request
under the Freedom of Information Act (5 U.S.C. 552). We process such a
request under the DOT procedures found in 49 CFR part 7.
IV. Guide to Terms and Acronyms Used in This Document
APIS--Approved Production Inspection System
ARAC--Aviation Rulemaking Advisory Committee
BAA--Bilateral Airworthiness Agreement
BASA--Bilateral Aviation Safety Agreement
EASA--European Aviation Safety Agency
FAA--Federal Aviation Administration
FR--Federal Register
ICAO--International Civil Aviation Organization
NPRM--Notice of Proposed Rulemaking
PAH--Production Approval Holder
PC--Production Certificate
PMA--Parts Manufacturer Approval
STC--Supplemental Type Certificate
TC--Type Certificate
TSO--Technical Standard Order
V. Authority for This Rulemaking
Under the laws of the United States, the Department of
Transportation has the responsibility to develop transportation
policies and programs that contribute to providing fast, safe,
efficient, and convenient transportation (49 U.S.C. 101). The Federal
Aviation Administration (FAA or ``we'') is an agency of the Department.
The FAA has general authority to issue rules regarding aviation safety,
including minimum standards for appliances and for the design,
material, construction, quality of work, and performance of aircraft,
aircraft engines, and propellers (49 U.S.C. 106(g) and 44701). We may
also prescribe regulations in the interest of safety for registering
and identifying an aircraft engine, propeller, or appliance (49 U.S.C.
44104).
The FAA may issue, among other things, type certificates,
production certificates and airworthiness certificates (49 U.S.C.
44702). We issue a production certificate authorizing the production of
a duplicate of an aircraft, aircraft engine, propeller, or appliance
for which a type certificate has been issued when we find the duplicate
will conform to the certificate. We may include in a production
certificate terms required in the interest of safety. We issue an
airworthiness certificate for an aircraft when we find the aircraft
conforms to its type certificate and is in condition for safe
operation. We may include in an airworthiness certificate terms
required in the interest of safety (49 U.S.C. 44704).
In this document, we are proposing changes to our regulations
governing the certification procedures for products and parts and our
requirements for identification and registration marking. These changes
will improve the quality standards applicable to manufacturers, which
helps ensure that aircraft and aircraft parts are produced as designed
and are safe to operate. These changes will also make it easier for
manufacturers to produce and obtain aircraft parts in the global
marketplace, which should aid the efficiency and competitiveness of the
industry. We are also proposing to upgrade and standardize our
requirements for marking parts intended for use in aviation. These
changes will make it easier to determine whether the correct parts are
installed, which should contribute to a greater degree of safety. For
these reasons, this proposal, if adopted, would be a reasonable and
necessary exercise of the FAA's rulemaking authority and obligations.
VI. Background
Although 14 CFR part 21 has been amended approximately eighty times
since it was codified in 1964, the current requirements of part 21
largely reflect their original form. The origins of many of these
regulations can be traced back even further to the Civil Air
Regulations codified in 1937. In contrast, the following table
summarizes how the aircraft-manufacturing environment has changed
significantly over the last several decades:
------------------------------------------------------------------------
In the 1960's-- Today--
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Most transport category aircraft were Transport category aircraft are
manufactured in the U.S.. manufactured in a global
environment.
The typical business model consisted of The number of suppliers has
a production certificate holder with a increased dramatically. These
relatively small number of suppliers.. suppliers manufacture a
greater percentage of a given
aircraft
These suppliers were mainly located in Suppliers are located all over
the U.S.. the world.
Forming partnerships and risk
sharing agreements are common
approaches to lowering costs,
sharing risks, and opening
markets.
Manufacturers collaborate
globally to reduce duplicate
requirements for shared
suppliers.
Production certificate holders oversaw The production of replacement
the manufacture of replacement parts. parts under parts manufacturer
approvals has increased
dramatically.
The international market for aviation The international market for
products was relatively small. aviation products has
increased dramatically.
The U.S. had few bilateral agreements The U.S. has approximately 30
with other countries for the export bilateral agreements with
and import of aviation products. These other countries. These
agreements were limited in scope. agreements have, in
comparison, a much broader
scope.
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In recognition of the need to respond to these changes, the FAA
gave the Parts Working Group and the Product Certification Working
Group of the Aviation Rulemaking Advisory Committee the task of
recommending changes to 14 CFR parts 21 and 45 on March 19, 1993 (58 FR
16572, 16574). The working groups made their recommendations on
November 6, 1998. Major concepts proposed by the
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working groups and incorporated into this NPRM include:
Adding a new class of parts called ``commercial parts;
Expanding the definition of ``standard parts;''
Requiring a completed airworthiness approval for each new
aircraft engine, propeller, part, appliance, or article;
Giving production approval holders responsibility for
issuing the airworthiness approval;
Enhancing and standardizing quality system requirements
for all production approval holders (PAHs) to reflect industry best
practices; and
Requiring components of products, parts, appliances, and
their components to be marked.
This NPRM also addresses issues that were not among the working
groups' recommendations.
VII. General Discussion of the Proposal
Although part 21 has, so far, provided effective certification
procedures for products and parts to help foster aviation safety, it
does not adequately reflect changes in the global aircraft
manufacturing environment. Accordingly, the changes we are proposing
would update and standardize requirements related to production
approvals; promote a safer aviation industry; reflect the global nature
of manufacturing; and reflect the global acceptance of products and
parts under bilateral agreements between the United States and other
countries or jurisdictions.
Standardization
Part 21 includes procedural rules related to three kinds of
production approvals:
Production Certificates (PC) in subpart G.
Parts Manufacturer Approvals (PMA) in subpart K.
Technical Standard Order (TSO) authorizations in subpart
O.
The rules pertaining to each of these production approvals are
different. For example, subparts G and O require each applicant for a
PC and TSO authorization respectively to establish a quality system.
The applicants must also provide, for FAA approval, data describing the
inspection and test procedures necessary to ensure that each article
produced conforms to its type design and is in a condition for safe
operation. Applicants have typically met this requirement by providing
the necessary information in the form of a manual. In contrast, subpart
K requires each PMA applicant to provide a statement certifying that
the applicant has established the fabrication and inspection system
that meets the requirements of the subpart. Subpart K does not require
a quality manual or any other documentation of the fabrication and
inspection system. These differences can be confusing. They also
support an industry perception that the quality of products or articles
produced under different types of production approvals is different.
This proposal would revise subparts G, K, and O to harmonize
requirements for production approval holders. It would also keep
industry from having to maintain, and the FAA from having to oversee,
multiple systems and procedures caused by these regulatory differences.
Production Approval Holder's Organization
This proposal would require each applicant for, or holder of, a PC,
PMA, or TSO authorization to provide the FAA with a description of the
applicant's management organization and how that organization would
ensure compliance with the provisions of subpart G, K, or O,
respectively. At a minimum, the description would include assigned
responsibilities and delegated authority, and the functional
relationship of those responsible for quality to management and other
organizational components. This requirement already applies to PC
holders under existing Sec. 21.143(a)(1), but the proposal would
extend it to PMA and TSO authorization holders also. Refer to proposed
Sec. Sec. 21.135, 21.305, and 21.605.
The FAA understands the need for various business models and
organizational structures and, therefore, would not mandate a
particular structure to address quality system requirements. The intent
of this requirement is for the top management of the production
approval holder to establish and continually improve a quality system
that ensures each product and article conforms to its approved design
and is in a condition for safe operation.
A quality system is widely recognized as necessary for continual
improvement in manufacturing. This recognition is reflected in industry
best practices and the global trend toward implementing the following
international quality standards:
International Organization for Standardization (ISO) 9001,
``Quality Management Systems--Requirements;'' and
Society of Automotive Engineers, Inc., International
AS9100, ``Quality Systems--Aerospace--Model for Quality Assurance in
Design, Development, Production, Installation, and Servicing.''
The FAA believes adhering to these standards will enable the PAH to
meet its responsibilities under proposed part 21. The intent of this
proposal is also to ensure that--
These international quality standards are communicated to
PC, PMA, and TSO authorization holders;
Responsibility, authority, and interrelation of personnel
who manage, perform, and verify work affecting quality are commensurate
with these commitments and are clearly defined and communicated within
the organization; and
Decisions with regard to quality and airworthiness are not
unduly influenced by other considerations (for example, cost and
schedule); and that the quality system is free to comply with
applicable regulations and the FAA approved quality manual.
If this proposal is adopted, the FAA will develop guidance material
on these issues.
Production Approval Holder's Quality System
Currently, the quality system requirements for holders of PMAs are
different from quality system requirements for holders of PCs and TSO
authorizations. This proposal would standardize the quality system
requirements for all PAHs. This proposal would also enhance and
modernize quality system requirements to reflect the industry best
practices and the global trend toward implementing the international
quality standards listed above.
A quality system consists of the organizational structure,
responsibilities, procedures, processes, and resources for ensuring the
overall quality of products through the actions of management and
individuals. A quality system incorporates quality assurance and
quality control, both of which support the quality system. Quality
assurance refers to planned or systematic actions necessary to provide
confidence that a product will satisfy given requirements for quality.
Quality control refers to operational techniques and activities used to
fulfill requirements for quality.
This proposal would require that the quality system include
elements as defined in proposed Sec. 21.137(a) through (o) of subpart
G. These requirements would be incorporated by reference into subparts
K and O (proposed Sec. Sec. 21.307 and 21.607). The FAA would develop
guidance materials, such as an Advisory Circular, to provide guidance
to PAHs for showing compliance with these
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requirements. The FAA expects that the quality systems of most PAHs
already meet the majority of these proposed requirements, as most of
these proposals are already industry best practices.
Quality Manual
This proposal would require each applicant for a PC, PMA, or TSO
authorization to provide a quality manual describing its quality system
to the FAA for approval. Currently, subparts G and O require each
applicant for a PC or TSO authorization to establish a quality system
and provide for FAA approval data describing the inspection and test
procedures necessary to ensure that each article produced conforms to
its type design and is in a condition for safe operation. Applicants
have typically met this requirement by providing the necessary
information in the form of a manual. Subpart K, however, does not
explicitly require documentation of the PMA holder's fabrication and
inspection system in the form of a manual. Just as other proposals in
this NPRM would standardize quality system requirements for all PAHs,
the intent of this proposal is also to standardize the requirements for
documenting the quality system in a quality manual. The quality manual
must address each of the requirements related to the quality system in
subparts G, K, or O for an applicant for a PC, PMA, or TSO
authorization. The quality manual must also address revisions to the
manual, and a means of tracking revisions to the manual, that is
acceptable to the FAA. In addition, this proposal would require the
quality manual to be in the English language and retrievable in a form
acceptable to the FAA. The intent of this proposal is to ensure that
regardless of the media used, the quality manual is easily available to
PAH and FAA personnel who need to use this documentation for performing
their duties. The quality manual may be in a digital, computer-based
medium.
Location of or Change to Manufacturing Facilities
This proposal would standardize the language of current Sec. Sec.
21.137, 21.303(g), and 21.601(c) pertaining to the location of
manufacturing facilities for a holder of a PC, PMA, and TSO
authorization. In addition, this proposal would add a requirement that
the holder of each type of production approval obtain advance approval
from the FAA for any change to its manufacturing facilities that could
affect the inspection or airworthiness of its products or articles,
including changes to the location of any of its manufacturing
facilities. See proposed Sec. Sec. 21.139(b), 21.309(b), and
21.609(b). Examples of changes that could affect the inspection or
airworthiness of a product or article include (1) A significant
increase in production capacity and (2) a substantial rearrangement of
space within the present location. These are some of the types of
change that would require FAA approval in advance to verify the change
is in compliance with subpart G, K, or O, as applicable.
Currently, under Sec. 21.159, a PC is no longer effective if the
location of the manufacturing facility is changed. The holder of a PMA
only needs to notify the FAA of a change in location of its
manufacturing facilities. Subpart O is silent regarding a change in the
location of manufacturing facilities for the holder of a TSO
authorization.
The intent of this proposal is to standardize the requirements
applicable to changes in manufacturing facilities for all PAHs. A
change in a manufacturing facility would use an approval process
instead of a certificate termination and re-application process under
the current requirements of Sec. Sec. 21.159 and 21.143. This approval
process would enhance safety by ensuring an appropriate level of FAA
oversight of changes to manufacturing facilities of all PAHs. This
requirement does not apply to suppliers. The FAA approves the supplier
control procedures a PAH would use in selecting and controlling its
suppliers. A change in the supply base would not require FAA approval.
Inspections and Tests
This proposal would standardize the language of current Sec. Sec.
21.157, 21.303(e) introductory text, and 21.615 pertaining to
inspections and tests for an applicant for, or a holder of, a PC, PMA,
and TSO authorization. In addition, the proposal would amend these
requirements to clarify that they apply to supplier facilities. The
intent of this proposal is to ensure the FAA has the requisite access
to facilities and cooperation of the manufacturer to administer
applicable requirements of Title 49 U.S.C. and this subchapter.
Issuance of a Production Approval
This proposal would standardize the language of current
requirements pertaining to the issuance of a PC, PMA, and TSO
authorization in Sec. Sec. 21.135, 21.303(d), and 21.605(c). In
addition, this proposal would remove the detailed description of FAA
responsibilities related to issuance. This information is better placed
in internal directives.
Transferability of a Production Approval
This proposal would standardize the language and format of
requirements pertaining to transferability of a PC, PMA, and TSO
authorization currently in Sec. Sec. 21.155, 21.303(i), and 21.621.
This change would make the language of subparts G, K, and O consistent.
Responsibility of Production Approval Holder
This proposal would establish requirements for the holder of a PC,
PMA, or TSO authorization as set forth in paragraphs (a) through (g) of
Sec. Sec. 21.146, 21.316, and 21.616. All holders of a production
approval would have the same responsibilities under this part.
Changes in Quality System
Currently, Sec. 21.147 requires the holder of a PC to notify the
FAA of any change that may affect the inspection, conformity, or
airworthiness of the product. This proposal would include ``articles''
as well as products in the requirement. As discussed later in this
preamble, the proposal would define ``article'' as ``material, part,
component, process, or appliance.'' We are also proposing to add this
expanded notification requirement to subparts K and O, which are
applicable to holders of PMA and TSO authorizations respectively. The
intent of this proposal is to standardize requirements for all PAHs.
Export Airworthiness Approvals
Subpart L contains regulations that apply to the export of a
product or article. It is important to note that even though an export
airworthiness approval is required only when requested by an importing
authority, such documents have become increasingly valued within the
aviation industry. The primary purpose of an export airworthiness
approval is to notify the importing authority, and ultimately the end-
user, of the airworthiness status (i.e., conformity of design
requirements and condition for safe operation) of the subject product
or article.
Such airworthiness notifications serve the needs of both the civil
airworthiness authority approving the product or article for import,
and the end-user who intends to place it into operation. Products and
articles having original airworthiness approvals upon export, even
though not specifically required by the importing civil airworthiness
authority, have increased sales potential when destined for use outside
the U.S.
[[Page 58918]]
This proposal would revise this subpart to:
Relieve U.S. manufacturers and exporters of burdens
presently associated with obtaining export airworthiness approvals by:
Permitting production approval holders, under privileges
extended through their approved quality system(s), to issue export
airworthiness approvals for the aircraft engines, propellers,
appliances, and parts they manufacture (this is presently only
accomplished by individual or organizational designees of the FAA);
Permitting production approval holders to issue export
approvals for products and articles they manufacture regardless of
their location (this is presently limited to products and articles
located in the United States only); and
Removing the requirement, unless specifically mandated by
an importing civil airworthiness authority, that used aircraft engines,
propellers, appliances, and parts be newly overhauled before their
export;
Relegate the detailed procedures pertaining to the export
process presently contained in the regulation to FAA policy/directives;
and
Implement a definition of ``product'' which would be
consistent with the terminology in the rest of Part 21 and with
Bilateral Aviation Safety Agreement Implementation Procedures for
Airworthiness.
Part Marking
The regulations currently require marking of aircraft, aircraft
engines and propellers, critical and life-limited parts, PMA parts, and
TSO articles. The regulations do not currently require that individual
components or spare components of the above items be individually
marked, although most manufacturers do so for their own quality
assurance and traceability purposes. Under this proposal, manufacturers
would have to mark each component of an aircraft, aircraft engine, or
propeller; each part and each component of that part; and each
appliance and each component of that appliance.
The lack of marking requirements down to the component level has
sometimes hindered field identification when articles must be replaced,
serviced, or removed from service, and during accident investigations.
This proposal would also standardize minimum part-marking requirements
to include an identification of the person who produced the part and a
part number. In addition, TSO articles would still have to be marked
with the markings required by the applicable TSO. The intent of these
proposals is to reduce the potential for installing unapproved parts on
FAA type-certificated products, facilitate airworthiness
determinations, standardize part-marking requirements, facilitate the
international delivery of parts, and provide information to accident
investigators that may help prevent future accidents. This change would
also simplify the regulations by consolidating all detailed marking
requirements in part 45.
VIII. Subpart-by-Subpart Summary of the Proposal
The following table summarizes the major proposals included in this
NPRM:
------------------------------------------------------------------------
This NPRM proposes to amend 14
CFR-- To--
------------------------------------------------------------------------
Part 1............................ Expand the definition of
``Approved.''
Part 21 Subpart A--General........ Add definitions of the following
terms: ``airworthiness approval,''
``article,'' ``commercial part,''
``design approval,'' ``production
approval,'' ``standard part,''
``State of Design,'' and ``State of
Manufacture.''
Amend Sec. 21.3(f) to require all
PAHs, instead of just TSO
authorization holders, to report
the results of their investigations
into certain accidents or service
difficulty reports.
Part 21 Subpart B--Type Require an applicant for a TC or STC
Certificates. to provide a statement certifying
the applicant has shown compliance
with applicable requirements.
Amend requirements related to
domestic and international
transfers of TCs.
Part 21 Subpart D--Changes to Type Require an applicant for a major
Certificates. change in type design to provide a
statement certifying the applicant
has shown compliance with
applicable requirements.
Part 21 Subpart F--Production Require a person producing under a
under Type Certificate. TC to obtain an airworthiness
approval (FAA Form 8130-3), issued
by the FAA or its designee, for
each engine, propeller, and article
produced under that TC.
Delete reference to an approved
production inspection system
(APIS). A person who is producing
under a TC would be required to
obtain a PC in accordance with
subpart G within 6 months of the
date the TC was issued or the
effective date of the final rule,
whichever is later.
Part 21 Subpart G--Production Enhance quality system requirements
Certificates. to reflect current industry
standards and best practices.
Require that an airworthiness
approval (FAA Form 8130-3) be
issued by the PAH for each engine,
propeller, or article manufactured
under this subpart.
Part 21 Subpart H--Airworthiness Allow for issuing an airworthiness
Certificates. certificate for an aircraft
imported to the U.S. via an export
certificate of airworthiness if--
Type certificated in
accordance with Sec. Sec.
21.21, 21.25, or 21.29; and
Produced under the
authority of another State of
Manufacture.
Allow FAA to accept performance
standards equivalent to the 100-
hour inspection requirement and
expand provisions governing who may
perform these inspections.
Part 21 Subpart K--Parts Revise subpart K, using proposed
Manufacturer Approvals. subpart G as a model, to reduce the
scope of subpart K to PMAs only:
Move Sec. Sec. 21.303(a) and
(b) (Replacement and
modification parts) to part 21
subpart A and amend these
sections to--
Add ``commercial parts'' as
acceptable replacement and
modification parts.
Prohibit a person who produces a
replacement or modification part
for sale from representing that
part as suitable for
installation on a type-
certificated product unless that
part is a commercial part, a
standard part, or produced under
part 21 subpart F, G, K, or O.
Move Sec. 21.305 (Approval of
materials, parts, processes, and
TSO articles) to part 21 subpart
A.
Impose the same quality system and
quality manual requirements as for
PCs.
Require that an airworthiness
approval (FAA Form 8130-3) be
issued by the PAH for each part
manufactured under this subpart.
[[Page 58919]]
Add a statement of compliance
requirement for PMA applicants.
Part 21 Subpart L--Export Completely revise subpart L to
Airworthiness Approvals. facilitate global acceptance and
movement of products and articles
and remove prescriptive language.
Delete definitions and use of the
terms, ``Class I,'' ``Class II,''
and ``Class III'' products.
Remove Sec. 21.323(b) restrictions
related to who may obtain an export
airworthiness approval for Class
III products.
Remove Sec. 21.325(b)(3)
requirement that Class II and III
products be located in the U.S.
Limit the use of an Export
Certificate of Airworthiness (FAA
Form 8130-4) to aircraft.
Part 21 Subpart N--Acceptance of Correct subpart N and its title to
Aircraft Engines, Propellers, and replace ``approval'' with
Articles for Import. ``acceptance.'' Design approvals
are not issued under part 21
subpart N. Mark each article in
accordance with part 45.
Part 21 Subpart O--Technical Rewrite subpart O using proposed
Standard Order Approvals. subpart G as a model.
Impose the same quality system and
quality manual requirements as for
PCs.
Require an airworthiness approval
(FAA Form 8130-3) be issued by the
PAH for each article manufactured
under this subpart.
Part 45 Subpart B--Identification Add requirements governing who must
of Products, Parts, Appliances, mark products, parts, appliances,
and TSO Articles. and TSO articles. Add exceptions
for the aircraft identification
plate location requirement for
aircraft operated under part 121,
commuter aircraft, and for gliders.
Consolidate part-marking
requirements to part 45.
Require identification of the
manufacturer and part number for
each component of each product,
part, appliance, and TSO article
manufactured by a PAH.
Delete ``FAA-PMA'' and
``installation eligibility''
requirements for PMA parts.
------------------------------------------------------------------------
In addition to the substantive changes discussed in detail below,
we are also proposing editorial changes to the language of parts 21 and
45 for the purposes of clarity and consistency. These editorial changes
include updating the terminology used in cross referencing other
regulations, using consistent terms to describe duties and obligations,
and eliminating gender bias. This proposal includes a reorganization of
portions of parts 21 and 45, including changes to several section
headings. For further details, refer to the derivation and distribution
tables provided later in this preamble.
IX. Description of Specific Changes
14 CFR Part 1--Definitions and Abbreviations
Section 1.1 General Definitions
This proposal would expand the definition of ``Approved'' to
include approvals under the provisions of a bilateral agreement between
the United States and a foreign country or jurisdiction. For decades,
the United States has had BAAs, and, more recently, BASA Implementation
Procedures for Airworthiness with other countries. Before making these
agreements, the FAA thoroughly reviews the certification and production
systems of the foreign country or jurisdiction, including its processes
and regulations. The FAA does not sign an agreement unless the FAA has
confidence in the system of that country or jurisdiction for certifying
aviation products and overseeing the design organizations and
manufacturers under their authority. These agreements are intended to
eliminate redundant processes and allow the FAA to treat data approved
by that country or jurisdiction as data approved by the FAA.
Accordingly, the intent of this proposal is to clarify that data
approved by a foreign country or jurisdiction under a bilateral
agreement does not require further FAA approval. Furthermore, the
intent of ``jurisdiction'' is to provide similar clarification for
agreements with entities, such as the European Union (EU), that are not
countries.
Section 1.2 Abbreviations and Symbols
This proposal would add the following definitions of abbreviations:
PMA means parts manufacturer approval.
TSO means technical standard order.
The intent of this proposal is to adopt long-standing and widely
used acronyms to simplify and clarify the language of the regulations.
14 CFR Part 21--Certification Procedures for Products and Parts
Subpart A--General
Section 21.1 Applicability and Definitions
This proposal would revise paragraph (a)(1) of this section to
provide a complete list of the types of approvals that part 21
addresses--Design approvals, Production approvals, Airworthiness
certificates, and Airworthiness approvals. The only production approval
listed in the current paragraph is the PC. Definitions for the three
``approvals'' would be added to paragraph (b) of this section.
This proposal would revise paragraph (a)(2) of this section to
clarify that part 21 contains rules that apply to both applicants for
and holders of any approval or certificate specified in paragraph
(a)(1) of this section.
This proposal would define ``airworthiness approval'' in paragraph
(b)(1) as an export certificate of airworthiness issued for an
aircraft; or a document issued for an aircraft engine, propeller or
article certifying that the aircraft engine, propeller, or article
meets its approved design and is in a condition for safe operation. An
export certificate of airworthiness is currently issued and would
continue to be issued using FAA Form 8130-4 to certify that an aircraft
to be exported conforms to its type design and is in a condition for
safe operation. FAA Form 8130-3 would be used to certify that an
aircraft engine, propeller, or article conforms to its approved design
and is in a condition for safe operation. FAA Form 8130-3 would be used
domestically as regulated by subparts F, G, K, and O. In addition, FAA
Form 8130-3 would be used for export of an aircraft engine, propeller,
or article as regulated by subpart L. The intent of this proposal is to
provide a simpler way to refer to these types of approvals.
This proposal would define ``article'' in paragraph (b)(2) as a
``material, part, component, process, or appliance'' to simplify the
regulatory language. This proposal would add a new classification of
parts, called ``commercial parts,'' defined in paragraph (b)(3) as a
part that the FAA design approval holder designates a commercial part.
The FAA must find the part is not specifically designed or produced for
applications
[[Page 58920]]
on aircraft and is produced only under the commercial part
manufacturer's specification and marked only with the commercial part
manufacturer's markings. The FAA makes this finding when it reviews an
application for a design approval or changes to an existing design
approval.
For years, industry has used the term, ``commercial parts,'' in
referring to parts that are not designed or manufactured specifically
for aviation use such as light bulbs, fire axes, smoke detectors, and
so on. Whereas a standard part specification is developed by a
consensus standards organization and is publicly available, the design
for a commercial part is developed privately.
The FAA recognizes that it is unrealistic to expect manufacturers
making thousands of non-aviation parts per day and relatively few
aviation parts to obtain a PMA. Enforcement of PMA violations is
difficult because the FAA has often been unable to show that these
manufacturers are producing with the intent to sell their parts for
installation on a type-certificated product. The intent of this
proposal is to create a replacement parts classification for commercial
parts, allowing an operator to install commercial parts on a type-
certificated product without having to obtain parts manufactured under
a PMA. This proposal will also allow manufactures to continue to use
parts now categorized as commercial parts in their type designs. The
added benefit of the proposal is to now have the manufacturers
specifically identify for FAA approval the commercial parts they intend
to use.
This proposal would define ``design approval'' in paragraph (b)(4)
as a type certificate (including amended and supplemental type
certificates) or the approved design under a PMA, TSO authorization,
letter of TSO design approval, or other approved design. The intent of
this proposal is to provide a convenient way to refer to all types of
design approvals. This definition, in conjunction with the definition
for ``production approval,'' helps to clarify that PMA and TSO
authorizations are dual approvals consisting of both a design approval
and a production approval. In addition, ``other approved design'' is
intended to include approvals that meet the proposed definition of
``approved'' in 14 CFR part 1.
Proposed paragraph (b)(5) would delete the special definition of
``product'' for subpart L. This revised definition eliminates the need
for defining ``classes'' of products in subpart L. The intent of this
proposal is to allow use of the term ``product'' consistently
throughout part 21 and to harmonize with the use of this term in
Bilateral Aviation Safety Agreement Implementation Procedures for
Airworthiness and Annex Part 21 of European Union regulations.
This proposal would define ``production approval'' in paragraph
(b)(6) to mean a production certificate, an approval to produce an
article under a TSO authorization, or an approval to produce a part or
appliance under a PMA. The intent of this proposal is to provide a
convenient way to refer to all types of production approvals. In
addition, this definition, in conjunction with the definition of
``design approval,'' helps to clarify that a PMA and a TSO
authorization are dual approvals consisting of both a design approval
and a production approval.
Proposed paragraph (b)(7) would redesignate and expand the
definition of ``standard parts'' in existing Sec. 21.303(b)(4) to
include parts conforming to a specification established by a foreign
government agency or a consensus standards organization. In addition,
this proposal would indicate that a ``specification'' may include
design, manufacturing, test, and acceptance criteria, and uniform
marking requirements; or performance criteria and uniform marking
requirements that have been found by the FAA to be adequate for making
a finding of airworthiness for that part. This reflects our current
interpretation of the word ``specification'' (62 FR 9923, March 5,
1997).
Certain discrete (non-programmable) electrical and electronic parts
meeting an accepted performance standard would be classified as
standard parts. These parts conform not on the basis of their physical
configuration, but by meeting the specified performance criteria.
This proposal would define ``State of Design'' in paragraph (b)(8)
to mean the State having jurisdiction over the organization responsible
for the type design or other approved design, including those entities
who are not ICAO contracting States but who exercise authority over an
organization responsible for the type design or other approved design.
Examples of other approved designs include PMAs or TSO authorizations.
This proposal would also define ``State of Manufacture'' in
paragraph (b)(9) to mean the State having jurisdiction over the
organization responsible for the production, final assembly, and final
determination of airworthiness of the product or article, including
those entities who are not ICAO contracting States but who exercise
authority over an organization responsible for the production, final
assembly, and final determination of airworthiness of the product or
article.
The intent of these proposals is to harmonize our regulations with
ICAO standards and recommended practices. Therefore, we have
incorporated modified versions of the definitions of ``State of
Design'' and ``State of Manufacture'' from Annex 8 to the Convention on
International Civil Aviation (Ninth Ed., July 2001). We are proposing
to modify these definitions to include those countries or organizations
who are not ICAO members, but who exercise authority over organizations
that are responsible for design and manufacturing approvals. This would
allow the regulations to accommodate those entities, like EASA, who are
not contracting ``States'' to the Convention on International Civil
Aviation (Chicago Convention), 61 Stat. 1180. For the purposes of this
proposal, the word ``State'' does not refer to one of the United
States, but to a country that is a signatory to the Chicago Convention
and a member of ICAO.
Section 21.2 Falsification of Applications, Reports, or Records
This proposal would amend Sec. 21.2(a)(1) and (2) to prohibit
persons from making misleading statements on applications for
certificates or approvals or in any record or report that is required
to be kept, made, or used to show compliance with any requirement of
this part.
We are proposing this amendment because the installation of
products or articles that are mistakenly believed to be airworthy or
suitable for installation on type-certificated products poses an
unacceptable risk to aviation safety. Under FAA regulations, the person
installing a product or article on an aircraft is responsible for
determining its airworthiness. Because these individuals cannot
determine airworthiness simply by inspecting the item, they often rely
on the information provided by whoever sold them the product or article
to support their airworthiness decisions. There have been cases in
which false or misleading statements have led persons installing
aviation products or articles to believe that they were suitable for a
particular use when, in fact, they were not.
Records containing misleading statements about the quality of
aviation products or articles have a potentially large impact on the
safety of the flying public. The existing rule only covers fraudulent
and intentionally false statements. The FAA has determined
[[Page 58921]]
that including a prohibition against misleading statements would be a
more comprehensive solution.
This proposal would adopt the ``misleading'' standard set forth at
14 CFR 3.5(c) and discussed in the FAA final rule on False and
Misleading Statements Regarding Aircraft Products, Parts, Appliances
and Materials. (70 FR 54822, Sept. 16, 2005) For the purposes of this
proposal, a misleading statement requires a material representation or
omission that is likely to mislead the consumer, and the consumer
acting with reasonable reliance under the circumstances. Misleading
statements include misrepresentations as well as failures to disclose
material information.
In determining whether the statement or omission is misleading, the
FAA would examine the overall impression created by the representation
before taking enforcement action. We would contact the person making
the statement to discuss why the statement appears misleading and would
consider that honest mistakes are made. However, if the statement is
not corrected so as to remove its misleading character, or the mistake
is one of a series of such mistakes, the FAA will presume knowledge on
the part of the person sufficient to take enforcement action.
In addition, existing Sec. 21.2(a)(2) currently refers to an--
Entry in any record or report that is required to be kept, made,
or used to show compliance with any requirement for the issuance or
the exercise of the privileges of any certificate or approval issued
under this part.
This proposal would change this to an--
Entry in any record or report that is kept, made, or used to
show compliance with any requirement of this part.
The term record includes all forms of records, including paper,
microfilm, identification plates, stamped marks on parts, bar codes,
and electronic records. In general, part 21 does not require a
particular type of records or reports to be kept, made, or used.
Accordingly, industry uses various types of records and reports to show
compliance with this part. This proposal would increase the scope of
records and reports used to show compliance with any requirements ``for
the issuance and exercise of the privileges of any certificate or
approval'' to those records and reports used to show compliance with
any part 21 requirement. These proposals are intended to strengthen the
ability of the FAA to ensure that design, production, and airworthiness
certifications and approvals are based on truthful and complete
information.
Currently, Sec. 21.2(b) addresses only suspension and revocation
of existing certificates and approvals, and does not define
consequences for prohibited actions that occur before a certificate or
approval is issued. This proposal would expand the consequences of
committing prohibited actions in paragraph (b) to include denying
issuance of any certificate or approval under this part. This change is
intended to clarify the FAA's right to deny issuance of certificates or
approvals when the prohibited actions occur before the FAA issues the
certificate or approval.
Section 21.3 Reporting of Failures, Malfunctions, and Defects
This proposal would amend Sec. 21.3(d)(2) to clarify that
approvals, not type certificates, are issued under proposed Sec.
21.621.
This proposal would amend Sec. 21.3(e)(3) to replace specific
product and part identification requirements with a reference to part
45 where these part-marking requirements are defined. The intent of
this proposal is to--
Consolidate detailed part-marking requirements in part 45;
and
Expand reporting requirements to include all applicable
product and part identification information required by part 45 to
enhance the FAA's ability to respond to service difficulty reports.
Currently, Sec. 21.3(f) requires only holders of TSO
authorizations to report the results of their investigations and
corresponding corrective actions. However, holders of TSO
authorizations represent less than 20% of all PAHs. The current
regulation inhibits the FAA's oversight of investigations and
corrective actions for the great majority of the industry. This
proposal would amend Sec. 21.3(f) to expand this reporting requirement
to apply to all PAHs. The intent of this change is to enhance the FAA's
ability to respond to service difficulty reports for all products and
articles manufactured under this part.
Section 21.7 Approval of Articles
This proposal would relocate current Sec. 21.305 from subpart K to
allow us to limit subpart K to PMA requirements only. It would also
amend Sec. 21.305(b) to remove the second and third sentences since
these sentences are advisory in nature.
Section 21.9 Replacement and Modification Parts
This proposal would relocate existing Sec. 21.303(a) and (b) from
subpart K and combine them into one paragraph as Sec. 21.9(a). The
intent of this proposal is to apply these requirements to all
production approval holders and to limit subpart K to PMA requirements
only.
Proposed Sec. 21.9(a)(4) would allow manufacturers to produce
``commercial parts,'' as defined in proposed Sec. 21.1(b), for use in
aviation without PMA. To use a ``commercial part'' in the design of a
product or part, a design approval holder would provide a list of
proposed commercial parts to the appropriate FAA aircraft certification
office (ACO) for approval. The design approval holder would identify
the application or use of the commercial part and verify that the
failure of the part would not degrade the safety of the product. A
design approval holder would be responsible for preparing separate
lists, for each product or article it manufactures, identifying all
commercial parts by part number and nomenclature. The design approval
holder would also be responsible for including the list of approved
commercial parts, and any approved replacements for those commercial
parts, in the manufacturer's maintenance instructions or Instructions
for Continued Airworthiness. In addition, a design approval holder who
would designate commercial parts would have to establish a system
that--
Provides for the review of the intended use and failure
consequences of the commercial part on airplane safety;
Maintains a list of all commercial parts incorporated into
each FAA approved product type, TSO article, or PMA part as applicable;
Furnishes the lists (and changes to the lists) to persons
in accordance with existing Sec. 21.50;
Maintains current commercial parts lists to reflect design
changes; and
Records FAA approval of both the lists and their
revisions.
Proposed Sec. 21.9(b) would prohibit a person who produces a
replacement or modification part for sale from representing that part
as suitable for installation on a type-certificated product, except
under the provisions of proposed Sec. 21.9(a)(1) through (a)(4).
Owners, operators, producers, and maintainers rely on these
representations to determine the airworthiness of an aircraft, or the
acceptability of products and parts for a given application; therefore
these representations must be truthful. Likewise, there is a strong
public interest in ensuring that replacement and modification parts
meet applicable airworthiness standards and are produced under a
quality system that ensures conformity to an approved design.
[[Page 58922]]
The meaning of the regulatory language, ``for sale * * * as
suitable for installation on a type certificated product'' has been
contested in FAA enforcement actions. In 1993, the FAA Administrator
rendered a decision and order regarding the interpretation of Sec.
21.303(a) in the case, In the Matter of Pacific Sky Supply, Inc., FAA
Order No. 93-19. The issue in the case was whether certain aircraft
parts, produced without benefit of a parts manufacturer approval, were
produced for sale for installation on type-certificated products. The
Administrator held that the standard for determining whether there was
a violation of the rule is that the Agency must show that the producer
knew or should have known (at the time of production) that it was
substantially certain that the parts produced without PMA would be
installed on type-certificated products. The Administrator determined
that this standard appropriately balances the FAA's duty to promote
aviation safety by controlling the spread of unapproved parts and the
producers' right to produce parts without FAA approval when it is
insufficiently probable that the parts will end up on type-certificated
aircraft.
The FAA needs to strengthen our ability to take compliance and
enforcement action against producers of unapproved parts. Many parts
used on type-certificated products can also be used on other types of
aircraft, such as military or experimental aircraft, or in non-aviation
applications. While a producer may be fully aware, and even intend, the
parts will be used on type-certificated aircraft, proving that it was
``substantially certain'' that they would be so used can be impossible.
In many cases, parts are sold to distributors, who then sell them to
end-users without any inquiry as to where they will be ultimately
installed. Once producers place parts into the stream of commerce, they
can rightly claim that they have no knowledge of how the part is
ultimately used. This makes proving ``substantially certain'' very
difficult.
Because of the importance of ensuring that aviation parts are safe
to use, we think a different standard is necessary. If manufacturers
engage in business where it is reasonably likely that parts they
produce will be installed on type-certificated products, then these
manufacturers must not produce the parts, unless they meet one of the
conditions of proposed Sec. 21.9(a).
In evaluating whether a parts producer is violating this
requirement, the FAA will look at all the relevant circumstances,
including not only the actual purchaser of the parts, but also how the
producer has marketed them (for example, catalogs, advertisements,
claims of acceptability for FAA approval, installation instructions for
type-certificated aircraft, shipping documents, and so on). If it
appears that a producer outside the provisions of proposed Sec.
21.9(a) has identified type-certificated products as a target market or
that a producer represented its parts as suitable for installation on
these products, the FAA will consider that to be strong evidence of a
violation of proposed Sec. 21.9(b). The FAA intends to interpret the
term ``suitable'' broadly to cover any statement that expresses or
implies that the product or article is acceptable for use on a type-
certificated product. The following examples are some of the type of
statements that can reasonably be interpreted to mean that FAA
requirements for use on a specific type-certificated product have been
met:
``Aviation quality.''
``Direct replacement for aircraft XX.''
``Ready to use in your aircraft.''
``Reproduction of (approved) part number XX.''
``Fits aircraft model XX.''
``Eligible for FAA approval.''
Under proposed Sec. 21.9(b), such statements would be prohibited
if they were false or misleading.
This proposal would also add new Sec. 21.9(c) to allow a person to
sell or represent a part as suitable for installation on a type-
certificated aircraft if the part was declared surplus by the U.S.
military, was intended for use on that model of U.S. military aircraft,
and the person determines the part is in a condition for safe
operation. The military owns all the data for its aircraft and provides
this data to vendors in order to produce parts to support their
aircraft. Surplus military aircraft certificated under Sec. Sec.
21.25(a)(2) or 21.27 typically have supporting data for all parts.
However, additional data can be obtained through the Freedom of
Information Act (FOIA) process. Paragraph (c) falls under the processes
and practices currently used and therefore presents no significant
increase in cost to the FAA or an applicant.
Subpart B--Type Certificates
Section 21.20 Compliance With Applicable Requirements
This proposal would amend subpart B by adding Sec. 21.20(a) to
require an applicant for a TC, including an amended or supplemental
type certificate (STC), to show compliance with all applicable
requirements and to provide the FAA the means by which such compliance
has been shown. Current Sec. 21.33(a)(1) specifies that no aircraft,
aircraft engine, propeller, or part thereof may be presented to the
Administrator for test unless compliance with paragraphs (b)(2) through
(b)(4) of that section has been shown. The intent of this proposal is
to emphasize that the applicant is responsible for satisfying all
applicable requirements.
The FAA has long-standing policy (FAA Order 8110.4, Type
Certification Process) that stresses the applicant is responsible for
performing an adequate review and assuring that all certification
regulations have been complied with in the course of a product design
approval project. This proposal would allow the FAA to exercise greater
discretion in prioritizing its review of applications, to more
effectively assign resources supporting the application process, and to
select which aspects of an application to review more closely.
Proposed paragraph (b) would require an applicant for a TC,
including an amended or supplemental TC, to provide a statement
certifying that the applicant has complied with the applicable
requirements. The FAA would still exercise its discretionary function
to evaluate an application for compliance, but the statement of
compliance would focus the applicant on its responsibility to comply
with applicable requirements. A statement of compliance would be
subject to the proposed Sec. 21.2 requirements related to fraudulent,
intentionally false, or misleading statements.
Section 21.47 Transferability
This proposal would revise this section to change the requirement
for the timing of the notification for TC transfers, where the State of
Design remains the same, and for TC licensing agreements. Currently,
the regulation requires each grantor to notify the FAA within 30 days
after the transfer of a certificate or execution or termination of a
licensing agreement. This proposal would require notification before
the transfer or before executing or terminating a licensing agreement
to provide the FAA time to coordinate between affected FAA offices and
to inform the prospective applicant of the responsibilities under this
subchapter.
This proposal would also revise this section to require a grantor
to notify the FAA of TC transfer where the State of Design is changing
before the transfer occurs. When the current regulations were written,
the FAA did not consider the need to address these types of TC
transfers. However, TC transfers where the State of Design is changing
have become commonplace and are
[[Page 58923]]
addressed in our bilateral agreements with other countries and
jurisdictions. Transferring a TC where the State of Design is changing
requires FAA coordination with the prospective State of Design to
identify the detailed requirements in support of the transfer and to
reduce any burden on the FAA for managing the certificate. This change
is intended to provide the FAA time to coordinate with a prospective
State of Design to support and execute a TC transfer. This is
consistent with the ICAO Airworthiness Manual, Volume II, Section 2.6.
Subpart C--Provisional Type Certificates
Section 21.75 Application
This proposal would revise this section to remove detailed
requirements related to where an applicant must apply for a provisional
type certificate and, instead, to require filing with the appropriate
aircraft certification office. The intent of this proposal is to
provide flexibility to the FAA in managing the provisional type
certification process and to enable more efficient and effective use of
FAA resources. It is consistent with the open application process used
for other design approvals.
Subpart D--Changes to Type Certificates
Section 21.97 Approval of Major Changes in Type Design
This proposal would revise paragraph (a) of this section to require
an applicant for approval of a major change in type design to--
Show that the changed product complies with the applicable
requirements of this subchapter;
Provide the FAA the means by which such compliance has
been shown; and
Provide a statement certifying that the applicant has
complied with the applicable requirements.
The intent of this proposal is discussed under proposed Sec.
21.20.
Subpart E--Supplemental Type Certificates
Section 21.117 Issue of Supplemental Type Certificates
This proposal would amend Sec. 21.117 by removing the words ``if
he'' from paragraph (a) and adding in their place the words ``if the
FAA finds that the applicant.'' The intent of this change is to clarify
that issuance of an STC occurs only after the FAA makes a finding of
compliance to the applicable regulations.
Section 21.119 Privileges
This proposal would revise Sec. 21.119(c) to clarify that the
holder of an STC may obtain a production certificate for the change in
the type design approved by that STC only if the STC holder meets the
requirements of subpart G pertaining to the issuance of PCs. The FAA
plans to issue guidance material concurrent with the final rule aimed
at ensuring that any PCs issued meet the requirements of subpart G.
In accordance with 49 U.S.C. 44704(c), the FAA may include in a PC
terms required in the interest of safety. These terms may limit the
scope of activities authorized by the PC depending on the STC holder's
quality system and the complexity of the design changes approved by the
STC.
Subpart F--Production Under Type Certificate
Section 21.122 Location of or Change to Manufacturing Facilities
This proposal would amend subpart F by adding Sec. 21.122(a) to
clarify and relieve requirements related to location of manufacturing
for production under a TC. Amendment 21-25 (Sept. 5, 1969, 34 FR 14068)
clarified that subpart F is intended only for domestic production as
follows:
Section 21.130 comes under Subpart F which governs the
production of products under a TC only. That subpart contains
requirements that are not applicable to aircraft, aircraft engines
and propellers manufactured in a foreign country.''
However, this intent is not clearly specified in subpart F. We
considered amending subpart F to clarify that it does not apply to
manufacturing in a foreign country, but decided instead to allow
manufacturing under a TC in a foreign country as long as it causes ``no
undue burden'' on the FAA. This proposal would facilitate global
manufacturing under certain circumstances. The FAA would not allow
production under a TC in a foreign country for a first-time applicant.
However, if an applicant has a PC and produces major aircraft or engine
components outside the U.S., the FAA would allow production under a TC
for a new model if it determined that there would be no undue burden on
the FAA in administering the applicable requirements of Title 49 U.S.C.
and this subchapter.
This proposal would amend subpart F by adding Sec. 21.122(b) to
require FAA approval before making any changes to its manufacturing
facilities that would affect the inspection or airworthiness of its
products or articles, including changes to the location of any of its
manufacturing facilities. These types of changes require FAA approval
before they are implemented to ensure that the change is in compliance
with this subpart. We are proposing a similar requirement for each type
of production approval holder in proposed subparts G, K, and O.
Section 21.123 Production under type certificate
This proposal would revise the introductory text to include
manufacturers of articles to clarify that the holder of a TC is
authorized to manufacture articles for its type-certificated products.
Proposed paragraph (a) is based on existing paragraph (b) and
removes language requiring technical data and drawings to be maintained
at the place of manufacture and replaces it with references to sections
where that information is defined more thoroughly. The intent of this
proposal is to provide a more logical sequence of requirements and to
remove duplicate requirements from the regulations.
Proposed paragraph (b) is based on existing paragraph (a) and would
add the requirement that a TC holder must make each article available
to the FAA for inspection. This is in addition to the existing
requirement to make each product available.
Proposed Sec. 21.123(c) is based on existing Sec. 21.125(b)(10)
and would require each manufacturer of a product or article under a TC
to maintain completed inspection and test records for specified periods
of time. These records would enable the manufacturer to prove to the
FAA that it has properly completed and documented all inspections and
tests required to ensure compliance with this subpart. This would place
a requirement on manufacturers under a TC that already applies to other
PAHs. The intent of this proposal is to ensure that manufacturers
maintain evidence that indicates conformance or nonconformance of a
product or article with regard to required inspections and tests.
In 1991, the FAA issued Notice 8120.13, Verification of
Completeness, Accuracy, and Traceability of Manufacturing and Quality
Records. This notice required a one-time evaluation of certain FAA PAHs
to assess their record keeping and related internal audit procedures
used in the production of civil aviation products and parts under part
21. This evaluation concluded that, although all PAHs were in
compliance with the regulations, the current regulations do not ensure
that the quality inspection records are
[[Page 58924]]
available at all PAHs when they are needed.
To resolve this issue, this proposal would increase the record
retention requirements for all PAHs and for persons producing under a
TC from two to five years for the products and articles manufactured
under the approval and to at least ten years for critical components
identified under proposed Sec. 45.15(c) of this chapter. The intent of
this proposal is to retain these records to support any future
investigations related to failures, malfunctions, or defects that may
occur or be discovered after the producer releases the product or
article. This proposal is consistent with current industry best
practices. The beginnings of these five-year and ten-year periods for a
given product or article would correspond to the issuance of an
airworthiness approval for that product or article. We specifically
request comments on whether the proposed ten-year minimum record
retention requirement is adequate for critical components.
This proposal would add new Sec. 21.123(d) to require each
manufacturer of a product or article being 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 with
this subchapter. ``Allowing'' means that the manufacture must--
Give free and full access to facilities and information
relevant to show compliance with this subchapter; and
Provide appropriate assistance to the FAA to enable us to
perform these inspections and tests.
Inspections and tests include audits, inquiries, questions,
discussions, monitoring, witnessing, checks, flight and ground tests,
and inspections of completed products and articles. The intent of this
proposal is to ensure that the FAA has the requisite access to
administer applicable requirements of Title 49 U.S.C. and this
subchapter.
This proposal would add new Sec. 21.123(e) to require each
manufacturer under a TC to obtain an airworthiness approval, FAA Form
8130-3, from an FAA designee for each aircraft engine, propeller, or
article produced under that TC as evidence or proof that it conforms to
its approved design and is in a condition for safe operation. The FAA
expects the TC holder to obtain this approval from a FAA designee. Only
under exceptional circumstances would the FAA issue these approvals.
The intent of this proposal is discussed under the description of
proposed Sec. 21.146(d) later in this preamble.
This proposal would remove current Sec. 21.123(c) and (d) and
replace them with proposed Sec. 21.123(f) to eliminate production
under an APIS and require TC holders to obtain a PC for that product in
accordance with subpart G of this part within 6 months after the date
of issuance of the TC. Under the current subpart F regulations, the FAA
issues an APIS provided certain requirements are met. The APIS is a
production approval for producing the same products that can be
produced under a PC. Although APIS and PC quality system descriptions
use different terms, they contain the same basic controls. For this
reason, and the fact that there are very few APIS holders (3 APIS
holders as of January 2005), the FAA proposes to eliminate APIS
approvals and make all changes effective 18 months after publication of
the final rule in the Federal Register.
Eighteen months after publication of the final rule, the FAA will
rescind all existing APIS approvals. Persons manufacturing under an
APIS would be expected to surrender their letter of APIS approval,
manufacture under a TC if they choose to continue manufacturing, and
have 6 months to obtain a PC under part 21 subpart G.
Section 21.130 Statement of Conformity
Under existing Sec. 21.130, a statement of conformity is required
only for products manufactured in the United States. This proposal
would extend the applicability of this statement of conformity
requirement to products manufactured outside the United States and to
all articles. The intent of this proposal is to reflect the global
manufacturing environment for aviation products and parts. We propose
to include ``articles'' to facilitate the issuance of an airworthiness
approval required under proposed Sec. 21.123(e) for each aircraft
engine, propeller, or article produced under subpart F.
This section currently requires a manufacturer under a TC to
provide the FAA a statement that each product conforms to its type
certificate and is in a condition for safe operation. Currently,
manufacturers under a PC, PMA, or TSO authorization are not required to
provide a statement that the products or articles they manufacture
conform to the approved design and are in a condition for safe
operation. This proposal would enhance safety by extending the
statement of conformity requirements of existing Sec. 21.130 to those
producing under a PC, PMA, or TSO authorization, in the form of an
airworthiness approval requirement. See proposed Sec. Sec. 21.146(d),
21.316(d), and 21.616(d), respectively.
The statement required under existing Sec. 21.130 must include,
for aircraft, that the aircraft has been flight checked; and for each
aircraft engine or variable-pitch propeller, a statement that the
engine or propeller has been subjected to a final operational check.
This proposal would remove the flight and operational check
requirements of existing Sec. 21.130 that are redundant to those
currently found in Sec. Sec. 21.127(a), 21.128, and 21.129, while
retaining the conformity statement requirement in proposed Sec.
21.130.
This proposal would also require that the statement of conformity
be provided in a form and manner prescribed by the FAA. The intent of
this proposed change is to place details related to particular FAA
forms, form content, and form use in policy documents that are more
easily adjusted to reflect future changes in procedures.
Existing Sec. 21.130(c) currently exempts a manufacturer from
providing a statement of conformity for products manufactured for the
Armed Forces if they have accepted the product. This proposal would
remove this exemption. TC holders who manufacture products for the
Armed Forces would be required to give the FAA Form 8130-2, Conformity
Certificate--Military Aircraft. The intent of this proposal is to make
it simpler for a future applicant to obtain a standard airworthiness
certificate under existing Sec. 21.183(d) for surplus military
aircraft. Having a conformity certificate for that aircraft would
satisfy existing Sec. 21.183(d)(1).
Subpart G--Production Certificates
Section 21.137 Quality system
Proposed Sec. 21.137(a) is based on current Sec. 21.143(a)(5) and
would require that a manufacturer's quality system include procedures
for controlling design data and subsequent changes to ensure that only
current, correct, and approved data is used.
Proposed Sec. 21.137(b) would require that the quality system
include procedures for controlling quality system documents and data
and subsequent changes to ensure that only current, correct, and
approved documents and data are used.
Proposed Sec. 21.137(c) is based on current Sec. 21.143(a)(2) and
(b) and Sec. 21.303(h)(1) and (2) and would require manufacturers to
establish procedures to control conformity of each supplier-furnished
product or article to its approved design before release for
installation. For the purposes of this NPRM, a ``supplier'' is any
person or
[[Page 58925]]
organization contracted to furnish products, articles, or services (at
any tier) to a PAH. FAA certificate management activities consistently
reveal shortcomings in supplier control across the industry.
Proposed paragraph Sec. 21.137(c)(1) would require procedures to
ensure that each supplier-furnished product or article conforms to its
approved design. The intent of this proposal is to clarify that the PAH
is responsible for ensuring the conformity of supplier-furnished items
and to emphasize supplier control requirements to strengthen the
effectiveness of this segment of the industry.
Proposed paragraph Sec. 21.137(c)(2) would require each supplier
to report to the PAH if a product or article has been released from
that supplier and subsequently found not to conform to the applicable
design data. The intent of this proposal is to ensure that the PAH is
informed if non-conforming items make it through the quality system so
it can initiate appropriate corrective action and reporting.
Proposed Sec. 21.137(d) is based on current Sec. 21.143(a)(3) and
would require the quality system to include procedures for controlling
manufacturing processes to ensure that each product and article
conforms to its approved design. The term, ``manufacturing process,''
is intended to include special processes such as plating or heat-
treating. Process controls typically include the following: Documented
procedures for production, use of suitable production equipment,
monitoring and controlling process parameters and product
characteristics, accountability of all products during manufacture, and
evidence that all manufacturing and inspection operations have been
completed.
Proposed Sec. 21.137(e) would require the quality system to
include procedures for inspections and tests to ensure that a product
or article conforms to its approved design. This proposal is based on
existing Sec. Sec. 21.143(a)(3) and 21.325(b)(1) and is intended to
clarify that the purpose of inspections and tests is to verify that
each product and article conforms to its approved design and is in a
condition for safe operation. In addition, these inspection and test
procedures must include a flight test of each aircraft produced, unless
that aircraft will be exported as an unassembled aircraft, and a
functional test of each aircraft engine and each propeller produced.
Proposed Sec. 21.137(f) is new and would require the quality
system to include procedures to ensure that all inspection, measuring,
and test equipment used in determining conformity of products and
articles to their respective approved designs is calibrated and
controlled. Each calibration standard must be traceable to a standard
acceptable to the FAA. The intent of this proposal is to ensure that
the PAH performs conformity verifications using equipment having the
necessary capability and reliability to preclude nonconforming items
from being accepted and conforming items from being rejected.
Proposed Sec. 21.137(g) is new and would require the quality
system to include procedures for documenting the inspection and test
status of products and articles supplied or manufactured to the
approved design. The intent of this proposal is to have PAHs maintain
evidence to indicate conformity or nonconformity of a product with
regard to required inspections and tests.
Proposed Sec. 21.137(h) is new and would require each
organization's quality system to include procedures for establishing
and maintaining certifying staff responsible for issuing airworthiness
approvals for aircraft engines, propellers, and articles, including the
issuance of export airworthiness approvals. The intent of proposed
Sec. 21.137(h) is to ensure that only qualified personnel issue these
airworthiness approvals. An evaluation of certifying staff
qualifications would need to include an assessment of the individual's
knowledge, background, experience, and training. Qualifications must be
commensurate with the complexity and type of product or article to be
released. The FAA plans to place guidance regarding certifying staff
qualifications in policy documents to be issued if this proposal is
adopted. This proposal is based on the European Commission regulations,
Annex Part 21, Certification of aircraft and related products, parts
and appliances, and of design and production organisations.
Proposed Sec. 21.137(i)(1) is based on current Sec. 21.143(a)(4)
and would require the quality system to include procedures to ensure
that only products or articles that conform to their approved design
are installed on a type-certificated product. These procedures must
provide for identification, documentation, evaluation, segregation, and
disposition of a nonconforming product or article. Only authorized
individuals with the appropriate qualifications may make determinations
regarding the disposition of products and articles. The intent of this
proposal is to prevent a nonconforming product or article from being
installed on a type-certificated product. This proposal is not intended
to prevent, for example, temporary installation of nonconforming
products or articles to facilitate assembly or testing (as accepted by
the FAA), their use as a shop or training aid, or sale for non-aviation
purposes.
Proposed Sec. 21.137(i)(2) is new and would require the quality
system to include procedures to ensure that discarded articles are
rendered unusable. The intent of this proposal is to ensure that
discarded articles are not erroneously placed into service on aircraft.
Proposed Sec. 21.137(j) is new and would require the quality
system to include procedures for implementing corrective and preventive
actions to eliminate the causes of an actual or potential nonconformity
to the approved design, or noncompliance with the approved quality
system. This proposal is intended to address issues that may occur
before products are shipped to customers. Corrective actions are
intended to include root cause analysis and any other analyses
necessary to correct known nonconformities and noncompliances with the
quality system. Preventive actions require proactive measures to ensure
that nonconformities and noncompliances do not occur. Corrective and
preventive actions would promote continuous improvement of the quality
system and the products and articles produced under that quality
system.
Proposed Sec. 21.137(k) is new and would require the quality
system to include procedures to prevent damage or deterioration of
products and articles during handling, storage, preservation,
packaging, and delivery. The intent of this proposal is to ensure that
a product or article continues to conform to its approved design and
remains in a condition for safe operation during handling, storage,
preservation, packaging, and delivery.
Proposed Sec. 21.137(l) is a new requirement for PC holders (and
by cross reference for holders of PMAs and TSO approvals at proposed
Sec. Sec. 121.307 and 121.607) and would require the quality system to
include procedures for identifying, storing, protecting, retrieving,
and retaining quality records. Quality system records include records
such as inspection and test records, material review board records, and
work orders. The intent of this proposal is to require documented
evidence of compliance with applicable regulations and the approved
quality system. Currently, subparts K and O require that these quality
records be retained for two years. Subpart G does not have a quality
system record retention requirement.
[[Page 58926]]
This proposal would require an applicant for and a holder of a
production approval to retain these records for at least five years for
the products and articles manufactured under the approval, and at least
ten years for those parts that are identified as critical components
under Sec. 45.15(c) of this chapter. The intent of this proposal is to
retain these records to support any future investigations related to
failures, malfunctions, or defects that may occur or be discovered
after the product or article is released from the PAH's quality system.
The beginnings of these five- and ten-year periods for a given product
or article would correspond to the issuance of an airworthiness
approval for that product or article. This proposal is consistent with
current industry best practices. We specifically request comments on
whether the proposed ten-year minimum record retention requirement is
adequate for critical components.
Proposed Sec. 21.137(m) is new and would require the quality
system to include procedures for planning and conducting internal
audits for the purpose of assuring compliance with the approved quality
system. ``Internal'' is relative to a PAH's quality system. Audits of
suppliers, therefore, would fall within the scope of internal audits
since a supplier is under the PAH's quality system. FAA certificate
management data indicates that facilities with internal audit programs
experience a lower probability of nonconformances. The results of these
audits would be reported to applicable management personnel and to
those personnel responsible for taking corrective actions for
deficiencies found during the audit.
Proposed paragraph 21.137(n) is new and would require each
manufacturer's quality system to include procedures for receiving and
processing feedback from operators on in-service failures,
malfunctions, and defects of products or articles. These procedures
must describe how the manufacturer will assist the design approval
holder (if different) to address in-service problems involving design
changes and determine if any changes to the Instructions for Continued
Airworthiness are necessary. The intent of this proposal is to provide
feedback to ensure operational safety and facilitate continuous
improvements to the manufacturer's quality system.
Proposed paragraph 21.137(o) is based on Annex Part 21 of European
Union regulations and would require that the quality system include
procedures for identifying, analyzing, and initiating appropriate
corrective action for products or articles that have been released from
the quality system and that do not conform to the applicable design
data or quality system requirements (``quality escapes''). The intent
of this proposal is to ensure that the PAH tracks, evaluates,
categorizes, and initiates the appropriate corrective action for all
nonconforming articles, including actions to correct deficiencies in
the quality system that allowed for the quality escape and to assist
the FAA in its certificate management and oversight of a PAH's quality
system. This proposal would help promote continuous operational safety
and improvement of a PAH's quality system.
Section 21.142 Production Limitation Record
This proposal is based on existing Sec. 21.151 and would clarify
that the PC holder, not the applicant for a PC, is the one who is
authorized to manufacture the products listed on the production
limitation record.
Section 21.146 Responsibility of Holder
This proposal would establish requirements for the holder of a PC,
PMA, or TSO authorization in Sec. Sec. 21.146, 21.316, and 21.616. The
holders of production approvals would have the same responsibilities,
as described below.
Proposed paragraph (a) would make each PAH responsible for updating
the document required by Sec. Sec. 21.135, 21.305, and 21.605. This
would keep the FAA informed of changes in the PAH's organization and
how that organization will ensure compliance with this part.
Proposed paragraph (b) would make each PAH responsible for
maintaining its quality system in compliance with the data and
procedures approved for that production approval. This is currently
required for a holder of a PC in Sec. 21.165(a) and for a holder of a
TSO authorization in Sec. 21.607(b). This would be a new requirement
for a holder of a PMA.
Proposed paragraph (c) would make each PAH responsible for ensuring
that each product or article conforms to its approved design and is in
a condition for safe operation. This is currently required for a holder
of a PC in Sec. 21.165(b), a PMA in Sec. 21.303(k), and a TSO
authorization in Sec. 21.607(a). This proposal would also retain other
current requirements in Sec. 21.165(b) for the holder of a PC related
to primary category aircraft assembled from a kit. It would also retain
the current requirement in Sec. 21.607(a) for the holder of a TSO
authorization that the TSO article meets the applicable TSO.
Proposed paragraph (d) would require an airworthiness approval for
each aircraft engine, propeller, or article or each shipment of
aircraft engines, propellers, or articles produced under that
production approval that conforms to its approved design and is in a
condition for safe operation. This airworthiness approval would be in
the form of a completed FAA Form 8130-3. Although current regulations
do not require issuance of an airworthiness approval for shipping
aircraft engines, propellers, and articles, there has been a growing
demand within the U.S. aviation industry to require this form to
improve identification and tracking of these items.
The proposed regulation is also consistent with the 1998
recommendations of the Industry Suspected Unapproved Parts Steering
Group. (We have placed a copy of these recommendations in the docket
for this rulemaking.) This group determined that the establishment of a
standardized, end-to-end, FAA-approved documentation process would--
Provide a common, easily recognizable form with all
aircraft engine, propeller, and article shipments so that the receiver
could easily verify the airworthiness of the products, articles, and
authority of the producer;
Make a major contribution towards eliminating unapproved
parts;
Enhance the probability of success in prosecuting a
manufacturer of unapproved parts, by challenging unauthorized and
fraudulent use of an FAA document; and
Provide greater confidence for non-U.S. air agencies and
domestic users if the form used for export and domestic purposes is
standardized for all shipments of aircraft engines, propellers, and
articles.
The intent of this proposal is to provide evidence of the
airworthiness approval status of an aircraft engine, propeller, and
article; and help an installer make accurate airworthiness
determinations.
An airworthiness approval is not intended for use within a PAH's
quality system; that is, a supplier will not use an airworthiness
approval to ship articles to the PAH. Only airworthiness approvals
issued under subpart L of this part would be eligible for use as export
airworthiness approvals; however, if the PAH issues the original
airworthiness approval as an export airworthiness approval under
subpart L of this part, that export airworthiness approval would also
satisfy the requirement for an airworthiness approval under subpart G,
K, or O; that is, only one airworthiness approval document
[[Page 58927]]
would be required for export. Currently, if a domestic part already has
an airworthiness approval and the PAH wants to export that same part,
the existing regulations require a second airworthiness approval be
issued for export. Under this proposal, only one airworthiness approval
document would be required.
Proposed paragraph (d) would also make the PAH responsible for
issuing these airworthiness approvals for aircraft engines, propellers,
and articles. A holder of a PC, PMA, and TSO authorization already has
responsibility under Sec. Sec. 21.165(b), 21.303(k), and 21.607(a) for
determining that an aircraft engine, propeller, or article, as
applicable, conforms to its approved design and is in a condition for
safe operation. This proposal would now make the PAH responsible for
documenting that determination via an airworthiness approval.
As discussed above for proposed Sec. 21.137(h), the quality system
for each PAH would include procedures for establishing and maintaining
a certifying staff responsible for issuing these airworthiness
approvals. The FAA (or its designees) would retain discretion to issue
these airworthiness approvals as appropriate. This proposal is intended
to give the PAH the same flexibility and responsiveness available to
European and Canadian manufacturers who already issue these approvals.
Proposed paragraph (e) would require each holder of a PC, PMA, or
TSO authorization to maintain complete and current design data for each
product and article produced under its production approval. This is
currently required for a holder of a PMA in Sec. 21.303(h)(6) and a
TSO authorization in Sec. 21.607(c). This change would standardize
requirements for all PAHs.
Proposed paragraph (f) would require each holder of a PC, PMA, or
TSO authorization to retain the document(s) granting that certificate,
approval, or authorization, respectively, and make it available to the
FAA upon request. The intent of this proposal is to relieve the PAH
from the current Sec. 21.161 requirement to display the production
certificate, and, instead, allow the holder to retain it in a manner it
deems appropriate. In addition, this would standardize requirements for
all PAHs.
Proposed paragraph (g) would require each holder of a PC, PMA, or
TSO authorization to make available to the FAA information regarding
all delegation of authority to suppliers. A holder of a PC already is
required to do this under Sec. 21.143(b). These delegations would
include, for example, delegations of authority related to performing
major inspections, direct ship authorization, and materials review. For
the purposes of this NPRM, a direct ship authorization is a written
authorization granted by a PAH to a supplier to ship completed and
marked articles directly to end users, without the articles being
processed through the PAH's own facility. This change would standardize
requirements for all PAHs.
Subpart H Airworthiness Certificates
Section 21.183 Issue of Standard Airworthiness Certificates for Normal,
Utility, Acrobatic, Commuter, and Transport Category Aircraft; Manned
Free Balloons; and Special Classes of Aircraft
Currently, to manufacture an aircraft outside the United States and
be entitled to a standard airworthiness certificate, that aircraft must
be type certificated under Sec. 21.21 and manufactured under a PC
extension. At present, an applicant may obtain approval to manufacture
under a PC extension only if the FAA finds no undue burden in
administering the applicable requirements of Title 49 U.S.C. and this
subchapter. This proposal would revise Sec. 21.183(c) to entitle a
person to a standard airworthiness certificate for an aircraft that is
imported to the United States via an export certificate of
airworthiness provided the aircraft is type certificated under Sec.
21.21 or Sec. 21.29, the aircraft is manufactured under the authority
of another State of Manufacture, and there is no undue burden on the
FAA. The State of Manufacture would be required to certify, in
accordance with the provisions of an agreement with the United States
for import and export of that aircraft that the aircraft conforms to
its type design and is in condition for safe operation. The FAA would
have to find that the aircraft conforms to its type design and is in
condition for safe operation.
The intent of this proposal is to facilitate global manufacturing.
A bilateral agreement with the State of Manufacture signifies that the
FAA has confidence in the aircraft certification system of that country
or jurisdiction for products within the scope of that agreement.
Therefore, the FAA may accept their airworthiness determinations.
Currently, Sec. 21.183(d)(2) entitles an applicant to a standard
airworthiness certificate for a used aircraft if certain requirements
are met. One of these requirements is that the aircraft be inspected in
accordance with the performance rules for 100-hour inspections set
forth in Sec. 43.15 of this chapter. This proposal would revise
paragraph (d)(2) to allow aircraft to be inspected in accordance with
the performance rules for 100-hour inspections set forth in Sec. 43.15
of this chapter, or an equivalent performance standard acceptable to
the FAA. Similarly, this proposal would add paragraph (d)(2)(v) to
accept a finding of airworthiness determined by the holder of a license
or certificate to perform aircraft maintenance issued by a country or
jurisdiction that has an agreement with the United States for the
acceptance of used aircraft.
The intent of these proposals is to provide flexibility to accept
equivalent inspection standards of a country or jurisdiction and the
corresponding airworthiness determinations from those countries and
jurisdictions with which the United States has a bilateral agreement.
This proposal could also reduce the cost of importing a used aircraft
if duplicate inspection requirements are eliminated.
Section 21.185 Issue of Airworthiness Certificates for Restricted
Category Aircraft
Currently, to manufacture an aircraft outside the United States and
be entitled to a restricted category airworthiness certificate, that
aircraft must be type certificated under Sec. 21.25 and manufactured
under a PC extension. At present, an applicant may obtain approval to
manufacture under a PC extension only if the FAA finds no undue burden
on the FAA in administering applicable requirements of Title 49 U.S.C.
and this subchapter. This proposal would revise Sec. 21.185(c) to
entitle a person to a special airworthiness certificate for a
restricted category aircraft that is imported to the United States
under an export certificate of airworthiness provided the aircraft is
type certificated under Sec. 21.25 or Sec. 21.29, the aircraft is
manufactured under the authority of another State of Manufacture, and
there is no undue burden on the FAA. The State of Manufacture would be
required to certify, in accordance with the provisions of an agreement
with the United States for import and export of that aircraft that the
aircraft conforms to its type design and is in condition for safe
operation. The FAA would have to find that the aircraft conforms to its
type design and is in condition for safe operation.
The intent of this proposal is to facilitate global manufacturing.
A bilateral agreement with the State of Manufacture signifies that the
FAA has confidence in the aircraft certification
[[Page 58928]]
system of that State for products within the scope of that agreement.
Accordingly, the FAA could accept airworthiness determinations from
that State as a basis for issuing airworthiness certificates for
restricted category aircraft.
Section 21.195 Experimental Certificates: Aircraft To Be Used for
Market Surveys, Sales Demonstrations, and Customer Crew Training
Existing paragraph (d) entitles an applicant to an experimental
airworthiness certificate if certain requirements are met. One of these
requirements, as specified in paragraph (d)(2), is that the applicant
must show that the aircraft has been flown for at least 50 hours, or
for at least 5 hours if it is a type-certificated aircraft that has
been modified. This proposal would add language to allow the FAA to
reduce these operational requirements when the FAA determines it is
safe to do so and harmonize with the corresponding Annex Part 21 of the
European Union regulations.
Section 21.197 Special Flight Permits
Under this proposal, existing paragraphs 21.197(c)(1) and (c)(2)
would be combined into a single requirement, proposed Sec.
21.197(c)(1), for all carriers certificated under part 119. The
requirement for operators to maintain their aircraft under a continuous
airworthiness maintenance program (CAMP) would be changed to ``an
approved program for continuing flight authorization.'' This gives
operators options for developing their programs, as well as allowing
operators that do not have a CAMP, but do have the necessary quality
system and infrastructure to support this authorization, to also be
eligible.
This proposal would allow certificate holders under existing Sec.
135.411, with an approved program, to be eligible for a continuing
authorization to issue special flight permits for the purpose of
maintenance. The intent of this proposal is to provide relief to
operators who periodically require the issuance of special flight
permits, and to the FAA, which would no longer have to issue these
permits or oversee Designated Airworthiness Representatives issuing
these permits.
The undesignated paragraph between existing 21.197(c)(2) and (3)
would be removed, because the statement is redundant to a statement in
the introductory language of existing paragraph (c).
Subpart J--Delegation Option Authorization Procedures
Section 21.293 Current Records
This proposal would revise paragraph (a)(2) to increase the record
retention requirements for manufacturers from 2 to 5 years, consistent
with the proposed changes to subparts G, K, and O.
Subpart K--Parts Manufacturer Approvals
Section 21.301 Applicability
This proposal would revise this section to clarify that the scope
of subpart K is limited to parts manufacturer approvals.
Section 21.303 Application
This proposal would require a part to conform to its ``approved
design'' instead of ``drawings in the design'' in recognition of the
fact that the approved design may consist of more than drawings. It
would also replace ``fabrication processes'' with ``manufacturing
processes'' to reflect that PMAs would have to adhere to quality system
requirements common to all PAHs. A holder of a PMA would no longer have
a fabrication inspection system.
This proposal would also add Sec. 21.303(a)(5), a new requirement
for PMA applicants to provide a statement certifying that the applicant
has complied with the airworthiness requirements of this subchapter.
The intent of this proposal is discussed under proposed Sec. 21.20.
Section 21.310 Inspections and Tests
This proposal would expand the FAA's ability to conduct inspections
and tests to include supplier facilities. For the purposes of this
NPRM, a supplier is any person or organization contracted to furnish
products, articles, or services (at any tier) to a PAH. The intent of
this proposal is to ensure the FAA has the requisite access to
facilities and cooperation of the manufacturer to administer applicable
requirements of Title 49 U.S.C. and this subchapter.
Section 21.319 Design Changes
This proposal would add requirements for classifying and approving
PMA design changes that are parallel and comparable to both TSO and TC
design change regulations. Currently, PMA design changes are classified
and approved using the corresponding TC design change processes even
though part 21 does not specifically address PMA design changes. The
intent of this proposal is to fill this void in the regulations.
Subpart L--Export Airworthiness Approvals
Section 21.321 Applicability
This proposal would delete the definitions of Class I, Class II,
and Class III products and of ``newly overhauled'' in existing
paragraphs (b)(1) through (4) respectively. The intent of this proposal
is to harmonize the definition of ``product'' in subpart L with the
rest of part 21 and with the BASA Implementation Procedures for
Airworthiness; that is, a ``product'' is an aircraft, aircraft engine,
or propeller. In addition, since other proposals in this NPRM for
subpart L would remove all occurrences of and requirements related to
the term ``newly overhauled,'' the definition for this term is no
longer required.
Section 21.325 Export Airworthiness Approvals
Proposed paragraph (a) would still require that an export
airworthiness approval for an aircraft be issued in the form of an
export certificate of airworthiness. The FAA would continue to use FAA
Form 8130-4, Export Certificate of Airworthiness, for issuing these
approvals. An export certificate of airworthiness form would no longer
be issued for aircraft engines and propellers. See proposed paragraph
(b) below. This proposal is intended to provide U.S. exporters the same
flexibility and responsiveness available to foreign exporters.
This proposal would also relocate requirements related to flight-
testing new aircraft from existing Sec. 21.325(b)(1) to proposed Sec.
21.137(e). The purpose of this change is to place all production-
related requirements in subpart G. Section 21.325(b)(1) currently
allows export from the United States of certain types of unassembled
aircraft, including small airplanes, small rotorcraft, and gliders,
without flight testing. The FAA is proposing to remove these references
to specific types of aircraft. Proposed Sec. 21.329(b) would allow the
importing country or jurisdiction to define what types of unassembled
aircraft may be imported without a flight test. This would facilitate
the export of U.S.-manufactured aircraft to customers in foreign
countries.
Proposed Sec. 21.325(b) would require that an export airworthiness
approval for an aircraft engine, propeller, or article be issued in a
form and manner prescribed by the FAA. The FAA would continue to use
FAA Form 8130-3 for articles and proposes using this form for issuing
export airworthiness approvals for aircraft engines and propellers. The
intent of this proposal is to standardize
[[Page 58929]]
the format of the export airworthiness approval. This will facilitate
export of aircraft engines and propellers in a global manufacturing
environment.
Currently, export airworthiness approvals may only be issued for
used products located in another country if the FAA finds no undue
burden on the FAA in administering the provisions of this regulation.
Under existing Sec. 21.325(b)(3), export airworthiness approvals may
only be issued for Class II or Class III products manufactured and
located in the United States. The FAA has granted numerous exemptions
to those manufacturers whose suppliers are located in countries that
have a BAA or BASA with the United States. These exemptions permit the
issuance of export airworthiness approvals for Class II and Class III
products so that these products would not have to be first shipped to
the United States before export. When Sec. 21.325(b)(3) was adopted
(30 FR 8465, Jul. 2, 1965), the international market in aviation
products was minimal compared with today's international market;
additionally, FAA resources were limited for issuing export
airworthiness approvals outside the United States. However, FAA
designees are now available to issue export airworthiness approvals for
PAHs and other exporters. In addition, if the United States has a
bilateral agreement with another country or jurisdiction, that country
or jurisdiction is typically in a position to assist the FAA in the
monitoring and surveillance of U.S. PAHs located in that country or
jurisdiction.
Proposed paragraph (c) would relieve these current restrictions and
the burden on the public of petitioning for exemptions by allowing
export airworthiness approvals to be issued for any product or article
located in another country as long as the FAA finds no undue burden on
the FAA in administering applicable requirements. Certificate
management and designee oversight responsibilities are examples of
potential burdens on the FAA. For PAHs, the assessment of undue burden
related to issuing an export airworthiness approval would be performed
during the FAA's undue burden assessment of a prospective production
facility located outside the United States. See FAA Order No. 8100.11
for a description of the undue burden assessment process. The order is
available through the FAA Internet Web site, http://www.faa.gov.
The FAA may permit a PAH to issue export airworthiness approvals at
a supplier facility in a foreign country or jurisdiction if the PAH has
established and implemented supplier control procedures that are
acceptable to the FAA. Using a designated representative of the
Administrator to issue these approvals could mitigate any burden on the
FAA from other exporters. In addition, as discussed under proposed
Sec. 21.331(a), the PAH would be authorized to issue an export
airworthiness approval for a new aircraft engine, propeller, or article
on behalf of the FAA.
In summary,
------------------------------------------------------------------------
Is in a foreign Is in a foreign
location, may an location, may an
export airworthiness export airworthiness
If a-- approval be issued approval be issued
for that item under for that item under
the current the proposed
regulation? regulation?
------------------------------------------------------------------------
New aircraft................ No. ....................
New engine or propeller..... No. ....................
Used aircraft............... Yes, if no undue Yes, if no undue
burden on the FAA. burden on the FAA.
Used engine or propeller.... Yes, if no undue ....................
burden on the FAA.
New article................. No. ....................
Used article................ No. ....................
------------------------------------------------------------------------
Section 21.327 Application
This proposal would shift detailed application procedures of this
section to FAA policy and clarify that any person may apply for an
export airworthiness approval. An applicant would use FAA Form 8130-1,
Application for Export Certificate of Airworthiness, to apply for an
export certificate of airworthiness. A PAH would not have to apply for
an export airworthiness approval for a new aircraft engine, propeller,
or article.
This proposal would remove existing Sec. 21.327(e), which requires
a written statement from the importing country that will validate an
export airworthiness approval if the product being exported meets any
of four conditions listed in paragraphs (e)(1) through (4). Paragraph
(e)(1) requires this written statement for aircraft manufactured
outside the United States and being exported to a country with which
the United States has a reciprocal agreement concerning the validation
of export certificates. A written statement is not required if an
agreement with the importing country or jurisdiction already includes
provisions for import and export of ``third country'' aircraft. If
these provisions do not exist, then the FAA, not the exporter, would
coordinate with the importing country or jurisdiction to determine if
that country or jurisdiction would ``validate'' or accept an FAA export
certificate of airworthiness. The intent of this proposal to remove
paragraph (e)(1) is to clarify that the exporter does not have
responsibility for obtaining this written statement from the importing
country or jurisdiction. Paragraphs (e)(2) through (4) would be removed
and addressed under proposed Sec. 21.329.
Section 21.329 Issuance of Export Certificates of Airworthiness
This proposal would revise this section to provide requirements
related to issuance of export certificates of airworthiness for
aircraft. Paragraph (a) would provide specific requirements for
issuance of these certificates and paragraph (b) would include
provisions for exceptions to these requirements.
Proposed paragraph (a)(1) would expand current paragraph (a) to
allow an export certificate of airworthiness to be issued for new or
used aircraft manufactured under subparts F or G of this part,
including aircraft manufactured outside of the United States.
Currently, paragraph (a) requires that the aircraft be manufactured in
the United States. The intent of this proposal is to clarify that this
requirement is addressing the regulatory authority under which the
aircraft was manufactured, not the physical location of manufacture.
Requirements related to the physical location of the aircraft would be
addressed by proposed Sec. 21.325(c). This proposal would also allow
an aircraft that meets the requirements under subpart H of this part
for a special airworthiness certificate in either the ``primary'' or
``restricted'' category to receive an export certificate of
airworthiness. An export certificate of airworthiness represents a
statement from the FAA that a given aircraft conforms to its type
design and is in a condition for safe operation. Since an aircraft in
either the ``primary'' or ``restricted'' category has a type design,
adequate basis exists for issuing an export certificate of
[[Page 58930]]
airworthiness for such an aircraft that conforms to its type design and
is in a condition for safe operation. The intent of this proposal is to
facilitate exporting such aircraft.
Proposed paragraph (a)(2) would revise current paragraph (b) to
clarify that an export certificate of airworthiness may be issued for a
new or used aircraft not manufactured under subpart F or G of this
part. Currently, paragraph (b) applies to ``aircraft manufactured
outside the United States.'' The intent of this proposal is to clarify
that this requirement addresses the regulatory authority under which
the aircraft was manufactured, not the physical location of
manufacture. This proposal would also allow aircraft that have a
special airworthiness certificate in the ``primary'' category or the
``restricted'' category to receive an export certificate of
airworthiness. The intent of this proposal is to facilitate exporting
such aircraft.
Proposed paragraph (a)(3) would require that each requirement of
the importing country or jurisdiction be met. This requirement is the
same as current Sec. 21.329(f).
This proposal would remove existing paragraphs (c) and (e) that
require, for an export certificate of airworthiness--
Used aircraft to undergo an annual type inspection and be
approved for return to service; and
Used engines and propellers not exported as part of a
certificated aircraft to be newly overhauled.
Under regulations in effect since 1965, the requirements for export
airworthiness approvals have helped to assure the export of quality
products that meet safety standards at least as high as those
applicable to products for domestic use. Currently, an aircraft or
other product not having been inspected or newly overhauled is not
issued an export airworthiness approval. Under this proposal, importing
airworthiness authorities may choose to accept a product without being
inspected or newly overhauled. The decision to accept aircraft or other
products that have not been inspected or overhauled would rest with the
airworthiness authority of the importing country or jurisdiction. This
would result in cost savings without compromising aviation safety since
the importing airworthiness authority would continue to apply the
appropriate safety standards.
Section 21.331 Issuance of Export Airworthiness Approvals for Aircraft
Engines, Propellers, and Articles
Proposed paragraph (a) would permit a PAH to issue an export
airworthiness approval for a new aircraft engine, propeller, or article
it manufactured under this part. Only airworthiness approvals issued
under subpart L of this part would be eligible for use as export
airworthiness approvals; however, if the PAH issues the original
airworthiness approval as an export airworthiness approval under
subpart L of this part, that export airworthiness approval would also
satisfy the requirements for issuing an airworthiness approval under
subparts G, K, or O. Under this proposal, the FAA would retain
discretion to issue export airworthiness approvals for new aircraft
engines, propellers, and articles for a PAH.
Proposed paragraph (b) would combine the requirements of existing
Sec. 21.331(b) and Sec. 21.325(c) to put exceptions to proposed Sec.
21.331(a) in one place.
Under proposed paragraph (c), the FAA or its designees may also
issue an export airworthiness approval for a new aircraft engine,
propeller, or article for a person who is not a PAH. This proposal
expands current subpart L provisions by allowing a U.S. exporter who is
not a PAH to export what are currently referred to as Class III
products. Currently, Sec. 21.323(b) allows only a manufacturer who has
in his employ a designated representative of the Administrator to
obtain an export airworthiness approval for Class III products. The
intent of these proposals is to facilitate the global movement and
acceptance of new aircraft engines, propellers, and articles.
Under proposed paragraph (d), the FAA or its designees may also
issue an export airworthiness approval for a used aircraft engine,
propeller, or article. The FAA would only issue these approvals for
items that--
Conform to their approved designs and are in a condition
for safe operation; and
Meet each requirement of the importing country or
jurisdiction.
Subpart L currently has no provision for issuing export
airworthiness approvals for used articles. The intent of this proposal
is to make provision for the export of these items. In addition, used
aircraft engines and propellers not exported as part of a certificated
aircraft would no longer be required to be newly overhauled as
discussed in the preamble for proposed Sec. 21.329.
Section 21.335 Responsibilities of Exporters
Rather than listing specific documents that the exporter must
forward to the importing authority as in current paragraphs (a) and
(b), proposed paragraph (a) would require only that the exporter
forward to the importing country or jurisdiction all documents
specified by that country or jurisdiction. This proposal is intended to
recognize the ability of a country or jurisdiction to define its own
requirements. Proposed paragraph (b) would require the exporter to
preserve and package products and articles as necessary to protect them
against corrosion and damage during transit or storage.
Section 21.339 [Removed]
Existing Sec. 21.339 provides for the issuance of special export
certificates of airworthiness for aircraft located in the United States
that are to be flown to various foreign countries for the purpose of
demonstrating the aircraft to prospective purchasers if the aircraft
possesses either--
A standard U.S. airworthiness certificate; or
A special U.S. airworthiness certificate in the restricted
category.
Under this regulation, an export certificate of airworthiness
appropriate for validation or acceptance in any of the foreign
countries involved may be issued before departure of the aircraft from
the United States. The exporter must show that it has the documents,
information, and material necessary to meet the special requirements of
each of the prospective importing countries. Upon finding a buyer, the
exporter has, in hand, a valid export certificate of airworthiness to
facilitate airworthiness acceptance by the country in which the
aircraft is to be sold. This relieves the exporter of the need to
return the aircraft to the United States or apply to an overseas FAA
office for a certificate under Sec. 21.329.
This proposal would remove this section. This special procedure has
rarely been used and is no longer necessary today. The FAA can
accommodate this need ``without returning the aircraft to the U.S.''
using designated airworthiness representatives, an option that was not
available when this rule was originally adopted. When the exporter
finds a buyer, the exporter can hire a designated airworthiness
representative to issue an export certificate of airworthiness under
subpart L and ship required documents to the importer and importing
authority.
Subpart N--Acceptance of Aircraft Engines, Propellers, and Articles for
Import
Section 21.500 Acceptance of Aircraft Engines and Propellers
This proposal would revise this section by replacing the word
``approval'' with ``acceptance'' to clarify
[[Page 58931]]
that this section is limited to regulating the import or acceptance of
aircraft engines and propellers into the United States, not the
original design or production approvals of aircraft engines and
propellers. It would also require that each aircraft engine and
propeller be identified in accordance with part 45 of this chapter.
Section 21.502 Acceptance of Articles
This proposal would revise this section by replacing the word
``approval'' with ``acceptance'' to clarify that this section is
limited to regulating the import or acceptance of articles into the
United States, not the original design or production approvals of
articles.
It would also add a requirement that an article (including an
article produced under a letter of TSO design approval) be marked in
accordance with part 45 of this chapter to meet the requirements for
acceptance under this subchapter. Currently, Sec. 21.617(c) contains
marking requirements for TSO articles produced under a letter of TSO
design approval. The FAA originally considered consolidating these
requirements with all other marking requirements in part 45. However,
to avoid any appearance of regulating manufacturers under another State
of Manufacture, the FAA decided to impose these marking requirements as
a requirement in Sec. 21.502 for importing these articles into the
United States.
Subpart O--Technical Standard Order Approvals
Section 21.603 Application
Proposed Sec. 21.603(a) is based on existing Sec. 21.605(a)(1)
and (2) with minor edits for consistency. (Existing Sec. 21.605(a)(3)
is removed because it is addressed under proposed Sec. 21.607.)
Proposed Sec. 21.603(b) is a redesignation of existing Sec.
21.605(b). (Existing Sec. 21.605(c) is relocated to proposed Sec.
21.611.)
Proposed Sec. 21.603(c) is based on existing Sec. 21.605(d) and
(e) and eliminates some of the overlap of these paragraphs. Under
proposed Sec. 21.603(c), there would be no 30-day time frame for the
FAA to issue or deny an application. We are proposing to remove this
requirement to avoid imposing an arbitrary time limit on the
application review process. The FAA may need additional time to review
complex applications. The FAA intends to issue guidance to accompany
this rulemaking that would encourage staff to complete application
reviews within 30 days, but we do not believe it is appropriate to
retain this inflexible standard in the regulations.
Existing Sec. 21.603(a) specifies that no person may identify an
article with a TSO marking unless that person holds a TSO authorization
and the article meets applicable TSO performance standards. This
proposal would relocate this requirement to proposed Sec. 45.10 and
expand it to apply to all production approval holders. This proposal
would relocate existing Sec. 21.603(b) to proposed Sec. 21.613(b).
This proposal would remove existing Sec. 21.603(c). The TSO
standards listed in Sec. 21.603(c) were removed from use over thirty
years ago and are no longer recognized as valid standards. Removal of
the list from paragraph (c) does not imply that the previously listed
TSO standards may once again be used or articles may once again be
marked with the listed TSO numbers. The FAA believes that since the
listed standards have not been used for several decades, no purpose is
served by retaining Sec. 21.603(c).
Section 21.611 Issuance
Proposed Sec. 21.611 is based on existing Sec. 21.605(c) and
would allow the FAA to issue a TSO authorization (including all TSO
deviations granted to the applicant) if the FAA finds that the
applicant complies with the requirements of this subchapter. An
important aspect of this finding would be a determination that the
applicant has the ability to produce duplicates. This would be based on
a review of the applicant's quality system required under proposed
Sec. 21.607.
Section 21.613 Duration
This proposal would remove language related to transferability of a
TSO authorization. Requirements related to transferability of a TSO
authorization would be addressed in a separate section, proposed Sec.
21.614.
Part 43--Maintenance, Preventive Maintenance, Rebuilding, and
Alteration
Section 43.3 Persons Authorized To Perform Maintenance, Preventive
Maintenance, Rebuilding, and Alterations
This proposal would amend Sec. 43.3(j)(3) to remove all references
to an APIS consistent with the proposed changes to part 21, subpart F,
and allow a manufacturer to perform any inspection required by Parts 91
or 125 of this chapter on aircraft it manufactured under a type
certificate or currently manufactures under a production certificate.
Part 45--Identification and Registration Marking
Section 45.1 Applicability
This proposal would revise paragraphs (a) and (b) of this section
to reflect that all detailed marking requirements would now be
consolidated in part 45, including TSO article marking requirements.
Section 45.10 Identification
This proposal would consolidate marking requirements in one
location and apply them to all production approval holders, including
persons who export their products to the United States under the
provisions of an agreement between the United States and another
country or jurisdiction. These markings identify the person authorized
to produce that product, part, appliance, or TSO article and also
provide a reference to the corresponding approved design data.
Furthermore, these markings constitute a representation from that
person that the given product, part, appliance, or TSO article conforms
to its approved design. Only the person authorized to produce the
product, part, appliance, or TSO article may make this representation.
This proposal would not preclude a supplier of a production approval
holder from applying markings in accordance with requirements from that
production approval holder and procedures approved by the FAA.
Proposed paragraph (b) would require that no person may identify a
product, part, appliance, or TSO article in accordance with this
subpart unless that product, part, appliance, or TSO article conforms
to its approved design, and is in a condition for safe operation; and,
for a TSO article; that TSO article meets the applicable performance
standards. This proposal would not preclude applying in-process
markings throughout the manufacturing process if necessary.
Section 45.11 Identification of Products
This proposal would replace current paragraph (a) with proposed
paragraphs (a) and (b) to put aircraft and aircraft engine
identification requirements into separate paragraphs for clarity.
Proposed paragraph (b) would apply the current aircraft engine
marking requirements to each module of modular engine configuration so
that identification information and operational history is retained if
these modules are ever separated from one another, or interchanged in
service.
This proposal would add paragraph (g) to provide relief from the
aircraft
[[Page 58932]]
data plate location requirement of paragraph (a) of this section for
those persons who, since amendment number 45-17 (52 FR 34101, Sept. 9,
1987), have had to obtain exemptions (DOT/FAA exemption numbers 4902
and 4913) to allow them not to locate the data plate on the exterior of
the aircraft near the tail. The FAA has consistently determined that
the justifications for granting these exemptions are valid and that
granting these exemptions is in the public interest. Aircraft and
aircraft operations of the types covered by these exemptions are
unlikely to be connected with drug smuggling activities, the situation
addressed in amendment number 45-17. The intent of this proposal is to
relieve the burden on the public and on the FAA related to processing
these exemptions in the future.
This proposal would add paragraph (h) to provide relief to
manufacturers of gliders from the aircraft data plate location
requirement of paragraph (a) of this section for those persons who
since amendment number 45-17 have had to obtain exemptions (DOT/FAA
exemption number 4988) to allow them not to locate the data plate on
the exterior of the aircraft near the tail.
Section 45.15 Identification Requirements for Parts, Appliances, and
TSO Articles
This proposal would standardize and consolidate marking
requirements for parts, appliances, TSO articles, and components
thereof, including an identifier of the person who manufactured the
part and the part number. For the purposes of this proposal,
``component'' refers to a constituent part. For example, the letter
keys of a computer keyboard would be components of the keyboard. For
TSO articles, in addition to the requirements of proposed paragraph
(a), paragraph (b) would require the TSO number and letter of
designation, all markings specifically required by the applicable TSO,
and the serial number or date of manufacture or both, unless otherwise
specified in the applicable TSO.
This proposal would relocate the requirements of existing Sec.
45.15(b) to paragraph (d) of this section. The proposal would allow
marking information to be attached to any part or component that the
FAA finds is too small or otherwise impractical to mark on the part or
component and clarify that this provision applies to all PAHs.
Section 45.16 Marking of Life-Limited Parts
This proposal would remove the second sentence of this section,
which provides two acceptable means of compliance with the requirement
to provide marking instructions. It has long been FAA policy to place
recommendations for how to comply with requirements in advisory
material, not regulations.
X. Proposed Effective Date for Changes
The FAA proposes to make all changes effective 18 months after
publication of the final rule in the Federal Register. The complexity
of this proposed effective date for persons manufacturing under an
approved production inspection system (APIS) per existing Sec.
21.123(c) warrants further explanation. Eighteen months after adoption
of the proposed changes to Sec. 21.123, the FAA will rescind all APIS
approvals. Persons manufacturing under an APIS would be expected to
surrender their letter of APIS approval, manufacture under a TC if they
choose to continue manufacturing, and have 6 months to obtain a PC
under part 21 subpart G.
XI. Derivation and Distribution Tables
In this NPRM, the FAA proposes to completely revise subparts G, K,
L, and O of part 21 and subparts A and B of part 45. For these
subparts, the following derivation tables show the bases for each
proposed section.
Derivation Table for Part 21 Subpart G
------------------------------------------------------------------------
Proposed section-- Based on--
------------------------------------------------------------------------
21.131 Introductory text............... 21.131.
21.131(a).............................. 21.131.
21.131(b).............................. 21.131.
21.132 Introductory text............... 21.133(a).
21.132(a).............................. 21.133(a)(1).
21.132(b).............................. 21.133(a)(2).
21.132(c).............................. 21.133(a)(3).
21.133................................. 21.133(b).
21.135................................. 21.143(a)(1).
21.137 Introductory text............... 21.139 and 21.143(a).
21.137(a).............................. 21.143(a)(5).
21.137(b).............................. 21.143(a)(5).
21.137(c) Introductory text............ New language.
21.137(c)(1)........................... 21.143(a)(2).
21.137(c)(2)........................... New language.
21.137(d).............................. 21.143(a)(3).
21.137(e).............................. 21.143(a) and 21.143(a)(3).
21.137(e)(1)........................... 21.143(a)(3).
21.137(e)(2)........................... New language.
21.137(f).............................. New language.
21.137(g).............................. New language.
21.137(h).............................. New language.
21.137(i)(1)........................... 21.143(a)(4).
21.137(i)(2)........................... New language.
21.137(i)(3)........................... New language.
21.137(j).............................. New language.
21.137(k).............................. New language.
21.137(l).............................. New language.
21.137(m).............................. New language.
21.137(n).............................. New language.
21.137(o).............................. New language.
[[Page 58933]]
21.138................................. 21.143(a).
21.139(a).............................. 21.137.
21.139(b).............................. 21.159.
21.140................................. 21.157.
21.141................................. 21.135.
21.142................................. 21.151.
21.143................................. 21.159.
21.144................................. 21.155.
21.145................................. 21.163.
21.146 Introductory text............... 21.165 Introductory text.
21.146(a).............................. New language.
21.146(b).............................. 21.165(a).
21.146(c).............................. 21.165(b).
21.146(d).............................. New language.
21.146(e).............................. 21.303(h)(6) and 21.613(a)(1).
21.146(f).............................. 21.161.
21.146(g).............................. 21.143(b).
21.147................................. 21.153.
21.150 Introductory text............... 21.147.
21.150(a).............................. 21.147.
21.150(b).............................. 21.147.
------------------------------------------------------------------------
Derivation Table for Part 21 Subpart K
------------------------------------------------------------------------
Proposed section-- Based on--
------------------------------------------------------------------------
21.301 Introductory text............... 21.301.
21.301(a).............................. 21.301.
21.301(b).............................. New language.
21.303(a).............................. 21.303(c).
21.303(a)(5)........................... New language.
21.303(b).............................. 21.303(f).
21.305................................. New language.
21.307................................. New language.
21.308................................. New language.
21.309(a).............................. 21.303(g).
21.309(b).............................. 21.303(j).
21.310................................. 21.303(e).
21.311................................. 21.303(d) Introductory text and
21.303(d)(1).
21.313................................. 21.303(i).
21.314................................. 21.303(i).
21.316 Introductory text............... New language.
21.316(a).............................. New language.
21.316(b).............................. 21.165(a).
21.316(c).............................. 21.303(k).
21.316(d).............................. New language.
21.316(e).............................. 21.303(h)(6).
21.316(f).............................. 21.161.
21.316(g).............................. 21.143(b).
21.319(a).............................. 21.93(a).
21.319(b)(1)........................... 21.95.
21.319(b)(2)........................... New language.
21.320................................. 21.147.
------------------------------------------------------------------------
Derivation Table for Part 21 Subpart L
------------------------------------------------------------------------
Proposed section-- Based on--
------------------------------------------------------------------------
21.321 Introductory text............... 21.321(a).
21.321(a).............................. 21.321(a)(1).
21.321(b).............................. 21.321(a)(2).
21.325(a).............................. 21.325(a)(1).
21.325(b).............................. 21.325(a)(2).
21.325(c).............................. New language.
21.327................................. 21.327(a).
21.329(a).............................. 21.329 Introductory text.
21.329(a)(1)........................... 21.329(a).
21.329(a)(2)........................... 21.329(b).
21.329(a)(3)........................... 21.329(f).
21.329(b).............................. 21.329(g).
[[Page 58934]]
21.329(b)(1)........................... 21.329(g).
21.329(b)(2)........................... 21.325(c).
21.331(a).............................. New language.
21.331(a)(1)........................... New language.
21.331(a)(2)........................... New language.
21.331(b).............................. 21.331(b).
21.331(b)(1)........................... 21.331(b).
21.331(b)(2)........................... 21.325(c).
21.335 Introductory text............... 21.335 Introductory text.
21.335(a).............................. 21.335(a) and (b).
21.335(b).............................. New language.
21.335(c).............................. 21.335(c).
21.335(d).............................. 21.335(d).
21.335(e).............................. 21.335(e).
------------------------------------------------------------------------
Derivation Table for Part 21 Subpart O
------------------------------------------------------------------------
Proposed section-- Based on--
------------------------------------------------------------------------
21.601(a).............................. 21.601(a).
21.601(b) Introductory text............ 21.601(b) Introductory text.
21.601(b)(1)........................... 21.601(b)(1).
21.601(b)(2)........................... 21.601(b)(2).
21.601(b)(3)........................... 21.601(b)(3).
21.601(b)(4)........................... 21.601(b)(4).
21.601(b)(5)........................... 21.601(b)(5).
21.603(a).............................. 21.605(a).
21.603(a)(1)........................... 21.605(a)(1).
21.603(a)(2)........................... 21.605(a)(2).
21.603(b).............................. 21.605(b).
21.603(c).............................. 21.605(d) and part of (e).
21.605................................. New language.
21.607................................. New language.
21.608................................. 21.605(a)(3).
21.609(a).............................. 21.601(c).
21.609(b).............................. New language.
21.610................................. 21.615.
21.611................................. 21.605(c).
21.613(a).............................. 21.621.
21.613(b).............................. 21.603(b).
21.614................................. 21.621.
21.616 Introductory text............... 21.607 Introductory text.
21.616(a).............................. New language.
21.616(b).............................. 21.607(b).
21.616(c).............................. 21.607(a).
21.616(d).............................. New language.
21.616(e).............................. 21.607(c), 21.613(a)(1), and
21.613(b).
21.616(f).............................. 21.161.
21.616(g).............................. 21.143(b).
21.618................................. 21.609.
21.619................................. 21.611.
21.620................................. 21.147.
21.621(a).............................. 21.617(a).
21.621(b).............................. 21.617(b).
------------------------------------------------------------------------
Derivation Table for Part 45 Subpart A
------------------------------------------------------------------------
Proposed section-- Based on--
------------------------------------------------------------------------
45.1 Introductory text................. 45.1 Introductory text.
45.1(a)................................ 45.1(a).
45.1(a)(1)............................. 45.1(a).
45.1(a)(2)............................. 45.1(a).
45.1(a)(3)............................. New language.
45.1(b)................................ 45.1(c).
------------------------------------------------------------------------
[[Page 58935]]
Derivation Table for Part 45 Subpart B
------------------------------------------------------------------------
Proposed section-- Based on--
------------------------------------------------------------------------
45.10.................................. 21.603(a).
45.11(a)............................... 45.11(a).
45.11(b)............................... 45.11(a).
45.11(c)............................... 45.11(b).
45.11(d)............................... 45.11(c).
45.11(e)............................... 45.11(d).
45.11(f)............................... 45.11(e).
45.11(g)............................... New language.
45.11(h)............................... New language.
45.13.................................. 45.13.
45.15(a)............................... New language.
45.15(b)............................... 21.607(d).
45.15(c)............................... 45.14.
45.15(d)............................... 45.15(b).
45.16.................................. 45.16
------------------------------------------------------------------------
The Distribution Tables below show the sections that would be
replaced by the current proposal..
Distribution Table for Part 21 Subpart G
------------------------------------------------------------------------
Current section-- Replaced by--
------------------------------------------------------------------------
21.131................................. 21.131(a) and (b).
21.133(a)(1) through (a)(3)............ 21.132(a) through (c).
21.133(b).............................. 21.133.
21.135................................. 21.141.
21.137................................. 21.139(a).
21.139................................. 21.137 Introductory text.
21.143(a).............................. 21.138 and 21.137(e).
21.143(a)(1)........................... 21.135.
21.143(a)(2)........................... 21.137(c)(1).
21.143(a)(3)........................... 21.137(d), 21.137(e)(1) and
(e)(2).
21.143(a)(4)........................... 21.137(i).
21.143(a)(5)........................... 21.137(a) and (b).
21.143(a)(6)........................... Removed.
21.143(b).............................. 21.146(g).
21.147................................. 21.150(a) and (b).
21.149................................. Removed.
21.151................................. 21.142.
21.153................................. 21.147.
21.155................................. 21.144.
21.157................................. 21.140.
21.159................................. 21.139(b) and 21.143.
21.161................................. 21.146(f).
21.163................................. 21.145.
21.165 Introductory text............... 21.146 Introductory text.
21.165(a).............................. 21.146(b).
21.165(b).............................. 21.146(c).
------------------------------------------------------------------------
Distribution Table for Part 21 Subpart K
------------------------------------------------------------------------
Current section-- Replaced by--
------------------------------------------------------------------------
21.301................................. 21.301(a) and (b).
21.303(a).............................. 21.9(a).
21.303(b).............................. Removed.
21.303(b)(1)........................... 21.9(a)(1-2).
21.303(b)(2)........................... 21.9(a)(5).
21.303(b)(3)........................... 21.9(a)(2).
21.303(b)(4)........................... 21.9(a)(3) and 21.1(b)(7).
21.303(c)(1) through (c)(4)............ 21.303(a)(1) through (a)(4).
21.303 Introductory text and (d)(1).... 21.311.
21.303(d)(2)........................... Removed, but see 21.308.
21.303(e).............................. 21.310 Introductory text.
21.303(e)(1)........................... 21.310(a).
21.303(e)(2)........................... 21.310(b).
21.303(f)(1) through (f)(4)............ 21.303(b)(1) through (b)(4).
[[Page 58936]]
21.303(g).............................. 21.309(a).
21.303(h)(1) through (h)(9)............ Removed.
21.303(i).............................. 21.313 and 21.314.
21.303(j).............................. 21.309(b).
21.303(k).............................. 21.316(c).
21.305(a) through (d).................. 21.7(a) through (d).
------------------------------------------------------------------------
Distribution Table for Part 21 Subpart L
------------------------------------------------------------------------
Current section-- Replaced by--
------------------------------------------------------------------------
21.321(a).............................. 21.321 Introductory text.
21.321(a)(1)........................... 21.321(a).
21.321(a)(2)........................... 21.321(b).
21.321(b)(1) through (b)(4)............ Removed.
21.323................................. 21.329 and 21.331.
21.325(a)(1)........................... 21.325(a).
21.325(a)(2)........................... 21.325(b).
21.325(b)(1)........................... Removed.
21.325(b)(2) and (b)(3)................ 21.325(c).
21.325(c).............................. 21.329(b)(2) and 21.331(c)(2).
21.327(a) through (f).................. 21.327.
21.329 Introductory text............... 21.329(a), 21.331(a), and
21.331(b).
21.329(a).............................. 21.329(a)(1), 21.329(a)(1)(i)
and (a)(1)(ii).
21.329(b).............................. 21.329(a)(2) and
21.329(a)(2)(i).
21.329(c).............................. Removed.
21.329(d).............................. 21.331(a)(1).
21.329(e).............................. Removed.
21.329(f).............................. 21.329(a)(3).
21.329(g).............................. 21.329(b) and 21.329(b)(1).
21.331................................. 21.331.
21.333................................. 21.331.
21.335 Introductory text............... 21.335 Introductory text.
21.335(a).............................. 21.335(a).
21.335(b).............................. 21.335(a).
21.335(c).............................. 21.335(c).
21.335(d).............................. 21.335(d).
21.335(e)(1) through (e)(3)............ 21.335(e)(1) through (e)(3).
21.337(a) through (f).................. Removed.
21.339(a) through (f).................. Removed.
------------------------------------------------------------------------
Distribution Table for Part 21 Subpart O
------------------------------------------------------------------------
Current section-- Replaced by--
------------------------------------------------------------------------
21.601(a) and 21.601(a)(1) through 21.601(a) and 21.601(a)(1)
(a)(3). through (a)(3).
21.601(b)(1)........................... 21.601(b)(1).
21.601(b)(2)........................... 21.601(b)(2).
21.601(b)(3)........................... 21.601(b)(3).
21.601(b)(4)........................... 21.601(b)(4).
21.601(b)(5)........................... 21.601(b)(5).
21.601(c).............................. 21.609(a).
21.603(a).............................. 45.10.
21.603(b).............................. 21.613(b).
21.603(c).............................. Removed.
21.605(a)(1) and (2)................... 21.603(a).
21.605(a)(3)........................... Removed.
21.605(b).............................. 21.603(b).
21.605(c).............................. 21.611.
21.605(d).............................. 21.603(c).
21.605(e).............................. Partially removed, 21.603(c).
21.607 Introductory text............... 21.616 Introductory text.
21.607(a).............................. 21.616(c).
21.607(b).............................. 21.616(b).
21.607(c).............................. 21.616(e).
21.607(d).............................. 45.15(b).
21.609................................. 21.618.
21.611................................. 21.619.
21.613(a).............................. 21.616(e) and 21.137(l).
21.613(a)(1)........................... 21.616(e).
[[Page 58937]]
21.613(a)(2)........................... 21.137(l).
21.613(b).............................. 21.616(e).
21.615................................. 21.610.
21.617(a)(1) and (a)(2)................ 21.621(a)(1) and (a)(2).
21.617(b).............................. 21.621(b).
21.617(c).............................. 21.502.
------------------------------------------------------------------------
Distribution Table for Part 45 Subpart A
------------------------------------------------------------------------
Current section-- Replaced by--
------------------------------------------------------------------------
45.1 Introductory text................. 45.1 Introductory text.
45.1(a)................................ 45.1(a).
45.1(b)................................ 45.1(a).
45.1(c)................................ 45.1(b).
------------------------------------------------------------------------
Distribution Table for Part 45 Subpart B
------------------------------------------------------------------------
Current section-- Replaced by--
------------------------------------------------------------------------
45.11(a)............................... 45.11(a) and (b).
45.11(b)............................... 45.11(c).
45.11(c)............................... 45.11(d).
45.11(d)............................... 45.11(e).
45.11(e)............................... 45.11(f).
45.13.................................. 45.13.
45.14.................................. 45.15(c).
45.15(a)............................... Removed.
45.15(b)............................... 45.15(d).
45.16.................................. 45.16.
------------------------------------------------------------------------
XII. Regulatory Notices and Analyses
Paperwork Reduction Act
This proposal contains new information collection requirements as
described in the subsequent paragraphs of this section. As required by
the Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)), the FAA has
submitted the information requirements associated with this proposal to
the Office of Management and Budget for its review.
Currently, Sec. 21.3(f) requires only holders of TSO
authorizations to report to the FAA the results of their
investigations, corresponding corrective actions, and if necessary,
data necessary for issuing an airworthiness directive. This proposal
would amend this paragraph to expand this reporting requirement to
apply to all PAHs. The proposal would enhance the FAA's ability to
respond to service difficulty reports for all products and articles
manufactured under part 21. The likely respondents to this proposed
information requirement are two additional Production Approval Holders
(PAHs) over the next 10 years. One additional manufacturer would be
impacted every 5 years (years 5 and 10). Eighty-six percent of
Technical Standard Order (TSO) authorization holders are small
businesses, and the remaining 14% are large businesses (based on a 45%
sample of FAA data). The estimate of average time to comply with the
rule is 40 hours for small businesses and 64 hours for large
businesses. The average cost to comply with the rule is $4,000 for
small businesses and $6,400 for large businesses. The weighted average
cost to comply with the rule is approximately $4,300. The undiscounted
cost of this section of the rule is approximately $8,700. The average
total annual cost burden is approximately $870. The average total
annual hour burden is approximately 8.7 hours.
This proposal would require an applicant for a TC (including an
STC) or a major change to a type design to provide a statement to the
FAA certifying that the applicant has complied with the applicable
requirements. This proposal would allow the FAA to exercise greater
discretion in prioritizing its review of applications, to more
effectively assign resources supporting the application process, and to
select which aspects of an application to review most closely. The
likely respondents to this proposed information requirement are all
PMAs. The average cost to comply with the rule is approximately $50 per
firm. The total cost to comply with the rule is approximately $74,650
(1,493 firms x $50/firm = $74,650). The average total annual cost
burden is approximately $7,465 ($74,650/10 years = $7,465). The average
total annual hour burden is approximately 75 hours.
This proposal would require each PAH to issue and each manufacturer
under a TC to obtain an airworthiness approval, FAA Form 8130-3, for
each aircraft engine, propeller, article, or shipment thereof produced
under that production approval or TC that conforms to its approved
design and is in a condition for safe operation. The intent of this
proposal is to--
Make a major contribution towards eliminating unapproved
parts;
Enhance the probability of success in prosecuting a
manufacturer of unapproved parts by challenging unauthorized and
fraudulent use of an FAA document;
Provide greater confidence in the source of a part to
users throughout the world;
Provide evidence of the airworthiness approval status of
an aircraft engine, propeller, and article; and
Help an installer make accurate airworthiness
determinations.
[[Page 58938]]
There are four categories of likely respondents to this proposed
information requirement.
Manufacturing Under a TC
About 36 small businesses manufacture under a PC. The cost to tag
all parts produced under a TC only is less than 1% of the cost to do so
under a PC. Since it costs a small PC an additional $100,000 to comply
with the corresponding rule for PCs, it will cost a small firm
producing under a TC only less than $1,000 to comply. The average
annual cost to comply is estimated to be no more than approximately
$36,000. The average total annual hour burden is no more than
approximately 36 hours.
PC Holders
Approximately 32 PC holders are large businesses. About 80% of
large PC holders currently tag all parts. There are 36 PC holders that
are small businesses. About 45% of small PC holders currently tag all
parts. The average additional cost to tag all parts is estimated to be
$100,000 for a small business and $70,667 for a large business. The
average total annual cost to comply is estimated to be about $3,600,000
for small businesses and $452,267 for large businesses. The average
total annual cost is estimated to be about $4,052,267. The average
total annual hour burden is estimated to be about 4,052 hours.
PMA Holders
Based on a sample of FAA data, there are approximately 1,374 PMA
holders that are small businesses and about 119 PMA holders that are
large firms. Based on information from FAA inspectors, an average of
about 31% of PMAs currently tag all parts or shipments of parts. The
average additional cost to tag all parts or shipments of parts produced
under a PMA is about $2,400 for small businesses and about $82,500 for
large businesses. The average total annual cost to comply is
approximately $9.3 million. The average total annual hour burden is
approximately 93,000 hours.
TSO Authorization Holders
Based on a sample of FAA data, there are approximately 302 TSO
authorization holders that are small businesses and about 49 TSO
authorization holders that are large businesses. Based on information
from FAA inspectors, an average of about 50% of TSO authorization
holders currently tag all shipments of articles or parts. The average
additional cost to tag all shipments of articles or parts produced
under a TSO authorization is estimated to be about $450 for a small
business and about $366,875 for a large business. The average total
annual cost to comply is estimated to be approximately $9.08 million.
The average total annual hour burden is estimated to be approximately
90,800 hours.
Totals
The average total annual cost for all four classes of respondents
is estimated at approximately $22.2 million. The average total annual
hour burden for all four classes of respondents is estimated at
approximately 222,000 hours.
This proposal would require each applicant for a production
approval to provide to the FAA a document describing how the
applicant's organization will ensure compliance with the requirements
for production approvals in part 21 subpart G, K, or O, as applicable.
A PAH would also be required to provide to the FAA amendments to this
document as necessary to reflect changes in its organization. The
intent of this requirement is to obtain a commitment from the top
management of the PAH to--
Establish a quality system that complies with this
subchapter and ensures that each product and article conforms to its
approved design and is in a condition for safe operation; and
Continually improve that quality system.
These commitments are widely recognized as necessary for
establishing and continually improving quality. Based on information
from industry representatives, this is current practice for PC holders
and PMA holders. Based on a sample of FAA data, 14% of TSO
authorization holders are large businesses and 86% are small
businesses. Thus, approximately 302 of the 351 TSO authorization
holders are small businesses and about 49 TSO authorization holders are
large businesses. There would be no additional cost for a large TSO
authorization holder to comply with this proposed regulation, and that
the average cost for a small TSO authorization holder to comply with
this would be $50. This is a FAA estimate based on information from
industry representatives. The average total annual cost to comply is
approximately $1,509. The average total annual hour burden is
approximately 15 hours.
This proposal would require each applicant for a PMA to provide a
quality manual describing its quality system to the FAA for approval.
Just as other proposals in this NPRM would standardize quality system
requirements for all PAHs, the intent of this proposal is to
standardize the requirements for documenting the quality system. In
addition, a PAH would have to provide a revised quality manual to
reflect proposed changes to quality system requirements. This is
already current practice for PC and TSO authorization holders. Based on
a sample of FAA data, approximately 1,374 PMA holders are small
businesses and about 119 PMA holders are large firms. The average cost
to comply with the rule is estimated to be $400 for small businesses
and $200 for large businesses. The total cost to comply with the rule
is estimated to be approximately $573,312. The average total annual
cost burden is estimated to be approximately $57,331. The average total
annual hour burden is estimated to be approximately 573 hours.
Current regulations only require marking and identification of
products and articles of the top-level assembly. Marking or
identification of constituent parts is not required. This proposal
would require manufacturers to mark or identify the constituent parts
of each product and article with an identifier of the manufacturer and
a part number. This proposal would also relieve a holder of a PMA from
the requirement of marking its parts with ``FAA-PMA'' and installation
eligibility information. The intent of these proposals is to--
Relieve PMA holders of unnecessary part marking
requirements;
Reduce the potential for installing unapproved parts on
FAA type-certificated products;
Facilitate airworthiness determinations;
Facilitate the international delivery of parts; and
Provide information to accident investigators that may
help prevent future accidents.
Based on information from industry representatives, this
requirement is already current practice for large- and small-business
holders of PCs and for small-business holders of PMAs. Based on
information from industry representatives, it would cost a large-
business holder of a PMA an average of $42,900 to mark every part and
every component of a part. Based on a sample of FAA data, approximately
1,374 of the 1,493 PMA holders are small businesses and about 119 PMA
holders are large businesses. The average cost to comply is estimated
to be $42,900 for a PMA holder that is a large business. The average
annual cost to comply is estimated to be $5.1 million.
Based on information from industry representatives, it would cost a
TSO authorization holder that is a large business an average of $57,200
to mark
[[Page 58939]]
every TSO article and every component of a TSO article. It would cost a
TSO authorization holder that is a small business an average of $8,500
to mark everything. Based on a sample of FAA data, approximately 302 of
the 351 TSO authorization holders are small firms and about 49 TSO
authorization holders are large firms. The average cost for TSO
authorization holders to comply with this proposed regulation is
$57,200 for large businesses and $8,500 for small businesses. The
average annual cost to comply is approximately $2.7 million. The
average annual hour burden is 27,000 hours.
The average total annual cost burden for both PMA holders and TSO
authorization holders is approximately $7.8 million. The average total
annual hour burden is approximately 78,000 hours.
Proposed Sec. 21.9(a)(4) would allow manufacturers to produce
``commercial parts,'' as defined in proposed Sec. 21.1(b), for use in
aviation without PMA. To use a ``commercial part'' in the design of a
product or part, a design approval holder would provide a list of
proposed commercial parts to the appropriate FAA aircraft certification
office (ACO) for approval. The design approval holder would identify
the application or use of the commercial part and verify that the
failure of the part would not degrade the safety of the product. A
design approval holder would be responsible for preparing separate
lists, for each product or article it manufactures, identifying all
commercial parts by part number and nomenclature. The design approval
holder would also be responsible for including the list of approved
commercial parts, and any approved replacements for those commercial
parts, in the manufacturer's maintenance instructions or Instructions
for Continued Airworthiness. In addition, a design approval holder who
would designate commercial parts would have to establish a system that
provides for the review of the intended use and failure consequences of
the commercial part on airplane safety; maintains a list of all
commercial parts incorporated into each FAA approved product type, TSO
article, or PMA part as applicable; furnishes the lists (and changes to
the lists) to persons in accordance with existing Sec. 21.50;
maintains current commercial parts lists to reflect design changes; and
records FAA approval of both the lists and their revisions.
Based on information received from industry, the likely respondents
to this proposed requirement are 10 percent of small TSO authorization
holders, 10 percent of small PMA holders, all small PC holders, and 25
percent of large PC holders. Based on information received from
industry, the average cost per certification per firm is estimated to
be $25 for small TSO authorization holders, $62.50 for small PMA
holders, $400 for small PC holders, and $32,000 for large PC holders.
The average number of new certifications per year is estimated to be
1.5 for small TSO authorization holders, 2 for small PMA holders, and
0.4 for PC holders.
Thus, the average cost per year per affected firm is estimated to
be $37.50 for a small TSO authorization holder, $125 for a small PMA
holder, $160 for a small PC holder, and $12,800 for a large PC holder.
The total yearly cost is estimated to be $1,133 for the 302 small TSO
authorization holders, $17,175 for the 1,374 small PMA holders, $10,560
for the 66 small PC holders, and $102,400 for the 32 large PC holders.
The total annual cost burden is estimated to be $131,268. The total
annual hour burden is estimated to be 1,313 hours.
The total annual cost burden for this NPRM is estimated to be
approximately $30.2 million. The total annual hour burden for this NPRM
is estimated to be approximately 302,000 hours.
The agency is soliciting comments to--
(1) Evaluate whether the proposed information requirement is
necessary for the proper performance of the functions of the agency,
including whether the information will have practical utility;
(2) Evaluate the accuracy of the agency's estimate of the burden;
(3) Enhance the quality, utility, and clarity of the information to
be collected;
(4) Minimize the burden of the collection of information on those
who are to respond, including through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology; and
(5) Determine the best ways to minimize the impact of the proposal
on small businesses consistent with our need to impose safety-related
requirements.
Individuals and organizations may send comments on the information
collection requirement by January 3, 2007, and should direct them to
the address listed in the ADDRESSES section of this document. Comments
also should be sent to the Office of Information and Regulatory
Affairs, OMB, New Executive Building, Room 10202, 725 17th Street, NW.,
Washington, DC 20053, Attention: Desk Officer for FAA.
According to the 1995 amendments to the Paperwork Reduction Act (5
CFR 1320.8(b)(2)(vi)), an agency may not collect or sponsor the
collection of information, nor may it impose an information collection
requirement unless it displays a currently valid OMB control number.
The OMB control number for this information collection will be
published in the Federal Register, after the Office of Management and
Budget approves it.
International Compatibility
In keeping with U.S. obligations under the Convention on
International Civil Aviation, it is FAA policy to comply with
International Civil Aviation Organization (ICAO) Standards and
Recommended Practices to the maximum extent practicable. The FAA has
reviewed the corresponding ICAO Standards and Recommended Practices and
has identified no differences with these proposed regulations.
Economic Assessment, Regulatory Flexibility Determination, Trade Impact
Assessment, and Unfunded Mandates Assessment
Proposed changes to Federal regulations must undergo several
economic analyses. First, Executive Order 12866 directs that each
Federal agency propose or adopt a regulation only upon a determination
that the benefits of the intended regulation justify its costs. Second,
the Regulatory Flexibility Act of 1980 requires agencies to analyze the
economic impact of regulatory changes on small entities. Third, the
Trade Agreements Act (19 U.S.C. 2531-2533) prohibits agencies from
setting standards that create unnecessary obstacles to the foreign
commerce of the United States. In developing U.S. standards, this Trade
Act also requires agencies to consider international standards and,
where appropriate, use them as the basis of U.S. standards. Fourth, the
Unfunded Mandates Reform Act of 1995 (Public Law 104-4) requires
agencies to prepare a written assessment of the costs, benefits, and
other effects of proposed or final rules that include a Federal mandate
likely to result in the expenditure by State, local, or tribal
governments, in the aggregate, or by private sector, of $100 million or
more annually (adjusted for inflation).
In conducting these analyses, FAA has determined this rule (1) Has
benefits that justify its costs, is not a ``significant regulatory
action'' as defined in section 3(f) of Executive Order 12866, and is
not ``significant'' as defined in DOT's
[[Page 58940]]
Regulatory Policies and Procedures; (2) would have a significant
economic impact on a substantial number of small entities; (3) would
reduce barriers to international trade; and (4) would not impose an
unfunded mandate on state, local, or tribal governments, or on the
private sector. These analyses, available in the docket, are summarized
below.
Regulatory Evaluation Summary
This portion of the preamble summarizes the FAA's analysis of the
economic impacts of this proposal. It also includes summaries of the
initial regulatory flexibility analysis, international trade impact
assessment, and the unfunded mandate assessment. For more information,
we suggest readers go to the full regulatory evaluation, a copy of
which we have placed in the docket for this rulemaking.
Total Costs and Benefits of This Rulemaking
This Regulatory Evaluation examines the impacts of a Federal
Aviation Administration (FAA) proposed rule making various changes in
design, production, airworthiness approval, and marking regulations for
products, parts, and appliances. These proposed changes would include
(1) Enhancing and standardizing requirements (e.g., quality system,
notification of quality system changes, responsibilities) for
production approval holders; (2) requiring an airworthiness approval
document to be issued with all aircraft engine, propeller, part,
appliance, and article shipments from a production approval holder; and
(3) requiring all parts to be marked. The intent of these proposed
changes is to promote safety and to reflect the current state of the
industry.
The FAA estimates the present (2005$) value of the total quantified
safety benefits from 2009 through 2018 of all quality system related
accidents to be about $11.5 million. It is FAA practice to use a fairly
short period of analysis (e.g., 10 years) for procedural changes that
have no significant front-loaded costs. The cost savings of the
proposed rule from 2009 through 2018 would be approximately $137
million in net present or discounted cost savings (calculated by
subtracting cost savings from costs). Accordingly, the benefits justify
the costs. More detailed benefit and cost information is provided
below. The FAA seeks comments on these estimates.
Who Is Potentially Affected by This Rulemaking
All production approval holders in the aviation industry are
affected by this rulemaking. For example, this includes holders of
production certificates, technical standard order authorizations, and
parts manufacturer approvals. This rulemaking also affects design
approval holders, distributors, importers and exporters of products and
articles, and air cargo carriers that operate under part 135.
Our Cost Assumptions and Sources of Information
Discount rate--7%. Sensitivity analysis was performed on
3% and 7%.
Period of Analysis--2009 through 2018.
Burdened labor rate for engineers and quality
professionals--$100/hour.
Value of fatality avoided--$3.0 million (Source:
``Treatment of Value of Life and Injury in Economic Analysis,'' (FAA
APO Bulletin, February 2002)).
Final rule will become effective 18 months after
publication.
Benefits of This Rulemaking
The FAA estimates the present (2005$) value of the total quantified
safety benefits from 2009 through 2018 of all quality system related
accidents to be about $11.5 million. The FAA presents a more detailed
discussion of the benefits and costs of this proposed rulemaking in the
complete Regulatory Evaluation filed in the docket.
Costs of This Rulemaking
The cost savings of the proposed rule from 2009 through 2018 are
approximately $137 million in present or discounted cost savings. Refer
to the tables below for a more detailed breakdown of the costs and cost
savings.
------------------------------------------------------------------------
Undiscounted Discounted
Regulation total costs total costs
------------------------------------------------------------------------
Part 1: Definitions and Abbreviations
------------------------------------------------------------------------
Subpart A--Definitions................ $0 $0
------------------------------------------------------------------------
Part 21: Certification Procedures for Products and Parts
------------------------------------------------------------------------
Subpart A--General.................... 1,321,300 756,900
Subpart B--Type Certificates.......... 0 0
Subpart C--Provisional Type 0 0
Certificates.........................
Subpart D--Changes to Type 0 0
Certificates.........................
Subpart E--Supplemental Type 0 0
Certificates.........................
Subpart F--Production Under Type 360,000 206,400
Certificate Only.....................
Subpart G--Production Certificates.... 40,707,300 23,373,800
Subpart H--Airworthiness Certificates. (4,155,500) (2,342,200)
Subpart I--Provisional Airworthiness 0 0
Certificates.........................
Subpart J--Delegation Option 0 0
Authorization Procedures.............
Subpart K--Approval of Materials, 91,506,000 52,692,200
Parts, Processes, and Appliances.....
Subpart L--Export Airworthiness (564,351,000) (323,561,300)
Approvals............................
Subpart N--Approval of Engines, 0 0
Propellers, Materials, Parts, and
Appliances: Import...................
Subpart O--Technical Standard Order 90,835,500 52,081,900
Authorizations.......................
------------------------------------------------------------------------
Part 43: Maintenance, Preventive Maintenance, Rebuilding, and Alteration
------------------------------------------------------------------------
0 0
------------------------------------------------------------------------
Part 45: Identification and Registration Marking
------------------------------------------------------------------------
Subpart A--General.................... 0 0
Subpart B--Identification of Products, 105,005,900 60,203,400
Parts, and TSO Articles..............
---------------------------------
[[Page 58941]]
Total Costs....................... (238,770,500) (136,588,900)
------------------------------------------------------------------------
Breakdown of Subpart L Cost Savings
------------------------------------------------------------------------
Undiscounted Discounted
Regulation section cost savings cost savings
------------------------------------------------------------------------
21.323: No Designated Manufacturing ($95,552,000) ($54,783,200)
Inspection Representative required to
export Class III products..............
21.325(c): Class II and III products do (119,661,500) (68,605,900)
not have to be located in the U.S. to
be exported............................
21.329: No annual inspection (7,765,000) (4,451,900)
requirements to export used aircraft...
21.331: No overhaul requirements to (341,372,500) (195,720,300)
export used engines and propellers.....
-------------------------------
Subtotal............................ (564,351,000) (323,561,300)
------------------------------------------------------------------------
Regulatory Flexibility Determination
The FAA certifies that this proposed rule would have a significant
economic impact on a substantial number (10) of small entities. The FAA
presents a more detailed discussion of the impact of this proposed
rulemaking on small entities in the complete Regulatory Flexibility
Assessment filed in the docket.
International Trade Impact Assessment
The FAA has assessed the potential affect of this proposed rule and
has determined that it would impose the same costs on domestic and
international entities and, thus, would have a neutral trade impact.
Unfunded Mandates Assessment
This proposed rule does not have costs of $100 million or more in
any one year, and therefore does not contain a significant Federal
intergovernmental/private sector mandate.
Executive Order 13132, Federalism
The FAA has analyzed this proposed rule under the principles and
criteria of Executive Order 13132, Federalism. We determined that this
action would not have a substantial direct effect on the States, on the
relationship between the national Government and the States, or on the
distribution of power and responsibilities among the various levels of
government, and therefore would not have federalism implications.
Regulations Affecting Intrastate Aviation in Alaska
Section 1205 of the FAA Reauthorization Act of 1996 (110 Stat.
3213) requires the Administrator, when modifying regulations in title
14 of the CFR in manner affecting intrastate aviation in Alaska, to
consider the extent to which Alaska is not served by transportation
modes other than aviation, and to establish such regulatory
distinctions, as he or she considers appropriate. Because this proposed
rule would apply to the certification of future designs of transport
category airplanes and their subsequent operation, it could, if
adopted, affect intrastate aviation in Alaska. The FAA therefore
specifically requests public comments on whether there is justification
for applying the proposed rule differently in intrastate operations in
Alaska.
Plain English
Executive Order 12866 (58 FR 51735, Oct. 4, 1993) requires each
agency to write regulations that are simple and easy to understand. The
FAA invites your comments on how to make these proposed regulations
easier to understand, including answers to questions such as the
following:
Are the requirements in the proposed regulations clearly
stated?
Do the proposed regulations contain unnecessary technical
language or jargon that interferes with their clarity?
Would the regulations be easier to understand if they were
divided into more (but shorter) sections?
Is the description in the preamble helpful in
understanding the proposed regulations?
Please send your comments to the address specified in the ADDRESSES
section.
Environmental Analysis
FAA Order 1050.1E identifies FAA actions that are categorically
excluded from preparation of an environmental assessment or
environmental impact statement under the National Environmental Policy
Act in the absence of extraordinary circumstances. The FAA has
determined this proposed rulemaking action qualifies for the
categorical exclusion identified in paragraph 308b and involves no
extraordinary circumstances.
Regulations That Significantly Affect Energy Supply, Distribution, or
Use
The FAA has analyzed this NPRM under Executive Order 13211, Actions
Concerning Regulations that Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). We have determined that it is not
a ``significant energy action'' under the executive order because it is
not a ``significant regulatory action'' under Executive Order 12866,
and it is not likely to have a significant adverse effect on the
supply, distribution, or use of energy.
List of Subjects
14 CFR Part 1
Air transportation.
14 CFR Part 21
Aircraft, Aviation safety, Exports, Imports, Reporting and
recordkeeping requirements.
14 CFR Part 43
Aircraft, Aviation safety, Reporting and recordkeeping
requirements.
14 CFR Part 45
Aircraft, Exports, Signs and symbols.
The Proposed Amendment
In consideration of the foregoing, the Federal Aviation
Administration proposes to amend Chapter I of Title 14, Code of Federal
Regulations, as follows:
PART 1--DEFINITIONS AND ABBREVIATIONS
1. The authority citation for part 1 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701.
2. Amend Sec. 1.1 by revising the definition of ``Approved'' to
read as follows:
Sec. 1.1 General definitions.
* * * * *
[[Page 58942]]
Approved, unless used with reference to another person, means
approved by the FAA or any person to whom the FAA has delegated its
authority in the matter concerned, or approved under the provisions of
a bilateral agreement between the United States and a foreign country
or jurisdiction.
* * * * *
3. Amend Sec. 1.2 by adding the following abbreviations in
alphabetical order:
Sec. 1.2 Abbreviations and symbols.
* * * * *
PMA means parts manufacturer approval.
* * * * *
TSO means technical standard order.
* * * * *
PART 21--CERTIFICATION PROCEDURES FOR PRODUCTS AND PARTS
4. Revise the authority citation for part 21 to read as follows:
Authority: 42 U.S.C. 7572; 49 U.S.C. 106(g), 40105, 40113,
44701-44702, 44704, 44707, 44709, 44711, 44713, 44715, 45303.
PART 21--[NOMENCLATURE CHANGE]
5. Amend part 21 by removing the word ``Administrator'' and adding
in its place the word ``FAA'' wherever it appears.
6. Amend part 21 by removing the word ``shall'' and adding in its
place the word ``must'' wherever it appears.
7. Amend part 21 by removing the phrase ``type certificate only''
and adding in its place the phrase ``type certificate'' wherever it
appears.
8. Revise Sec. 21.1 to read as follows:
Sec. 21.1 Applicability and definitions.
(a) This part prescribes--
(1) Procedural requirements for issuing and changing--
(i) Design approvals;
(ii) Production approvals;
(iii)Airworthiness certificates; and
(iv) Airworthiness approvals;
(2) Rules governing applicants for, and holders of, any approval or
certificate specified in paragraph (a)(1) of this section; and
(3) Procedural requirements for the approval of articles.
(b) For the purposes of this part--
(1) Airworthiness approval means--
(i) An export certificate of airworthiness issued for an aircraft;
or
(ii) A document issued for an aircraft engine, propeller, or
article certifying that the aircraft engine, propeller, or article
meets its approved design and is in a condition for safe operation;
(2) Article means a material, part, component, process, or
appliance.
(3) Commercial part means a part that the design approval holder
designates a commercial part and that the FAA finds--
(i) Is not specifically designed or produced for applications on
aircraft; and
(ii) Is produced only under the commercial part manufacturer's
specification and marked only with the commercial part manufacturer's
markings;
(4) Design approval means a type certificate (including amended and
supplemental type certificates) or the approved design under a PMA, TSO
authorization, letter of TSO design approval, or other approved design;
(5) Product means an aircraft, aircraft engine, or propeller;
(6) Production approval means--
(i) A production certificate;
(ii) An approval to produce an article under a TSO authorization;
or
(iii) An approval to produce a part or appliance under a PMA.
(7) Standard part means a part that conforms to an established
industry, U.S., foreign government agency, or consensus standards
organization specification that contains--
(i) Design, manufacturing, test, and acceptance criteria and
uniform marking requirements; or
(ii) Performance criteria and uniform marking requirements that
have been found by the FAA to be adequate for making a finding of
airworthiness for that part;
(8) State of Design means a State having jurisdiction over an
organization responsible for design approvals, including those entities
who are not ICAO contracting States, but who exercise authority over an
organization responsible for design approvals; and
(9) State of Manufacture means a State having jurisdiction over an
organization responsible for the production, final assembly, or final
determination of airworthiness of a product or article, including those
entities who are not ICAO contracting States, but who exercise
authority over an organization responsible for the production, final
assembly, or final determination of airworthiness of a product or
article.
9. Revise Sec. 21.2 to read as follows:
Sec. 21.2 Falsification of applications, reports, or records.
(a) A person may not make or cause to be made--
(1) Any fraudulent, intentionally false, or misleading statement on
any application for a certificate or approval under this part;
(2) Any fraudulent, intentionally false, or misleading statement in
any record or report that is kept, made, or used to show compliance
with any requirement of this part;
(3) Any reproduction for a fraudulent purpose of any certificate or
approval issued under this part; or
(4) Any alteration of any certificate or approval issued under this
part.
(b) The commission by any person of an act prohibited under
paragraph (a) of this section is a basis for--
(1) Denying issuance of any certificate or approval under this
part; and
(2) Suspending or revoking any certificate or approval issued under
this part and held by that person.
10. Amend Sec. 21.3 by revising paragraphs (a), (b), (d), (e)(3),
and (f) to read as follows:
Sec. 21.3 Reporting of failures, malfunctions, and defects.
(a) The holder of a type certificate (including amended or
supplemental type certificates), a PMA, or a TSO authorization, or the
licensee of a type certificate must report any failure, malfunction, or
defect in any product or article manufactured by it that it determines
has resulted in any of the occurrences listed in paragraph (c) of this
section.
(b) The holder of a type certificate (including amended or
supplemental type certificates), a PMA, or a TSO authorization, or the
licensee of a type certificate must report any defect in any product or
article manufactured by it that has left its quality system and that it
determines could result in any of the occurrences listed in paragraph
(c) of this section.
(c) * * *
(d) The requirements of paragraph (a) of this section do not apply
to--
(1) Failures, malfunctions, or defects that the holder of a type
certificate (including amended or supplemental type certificates), PMA,
TSO authorization, or the licensee of a type certificate determines--
(i) Were caused by improper maintenance or use;
(ii) Were reported to the FAA by another person under this chapter;
or
(iii) Were reported under the accident reporting provisions of 49
CFR part 830 of the regulations of the National Transportation Safety
Board.
(2) Failures, malfunctions, or defects in products or articles--
(i) Manufactured by a foreign manufacturer under a U.S. type
certificate issued under Sec. 21.29 or under an approval issued under
Sec. 21.621; or
(ii) Exported to the United States under Sec. 21.502.
[[Page 58943]]
(e) * * *
(1) * * *
(2) * * *
(3) Must include as much of the following information as is
available and applicable:
(i) The applicable product and article identification information
required by part 45 of this chapter;
(ii) Identification of the system involved; and
(iii) Nature of the failure, malfunction, or defect.
(f) If an accident investigation or service difficulty report shows
that a product or article manufactured under this part is unsafe
because of a manufacturing or design data defect, the holder of the
production approval for that product or article must, upon request of
the FAA, report to the FAA the results of its investigation and any
action taken or proposed by the holder of that production approval to
correct that defect. If action is required to correct the defect in an
existing product or article, the holder of that production approval
must send the data necessary for issuing an appropriate airworthiness
directive to the appropriate aircraft certification office.
11. Amend Sec. 21.5 by revising paragraph (a) to read as follows:
Sec. 21.5 Airplane or Rotorcraft Flight Manual.
(a) With each airplane or rotorcraft not type certificated with an
Airplane or Rotorcraft Flight Manual and having no flight time before
March 1, 1979, the holder of a type certificate (including amended or
supplemental type certificates) or the licensee of a type certificate
must make available to the owner at the time of delivery of the
aircraft a current approved Airplane or Rotorcraft Flight Manual.
* * * * *
12. Amend subpart A by adding Sec. 21.7 to read as follows:
Sec. 21.7 Approval of articles.
If an article is required to be approved under this chapter, it may
be approved--
(a) Under a PMA for parts and appliances;
(b) Under a TSO;
(c) In conjunction with type certification procedures for a
product; or
(d) In any other manner approved by the FAA.
13. Amend subpart A by adding Sec. 21.9 to read as follows:
Sec. 21.9 Replacement and modification parts.
(a) If a person knows, or should know, that a replacement or
modification part is reasonably likely to be installed on a type-
certificated product, the person may not produce that part unless it
is--
(1) Produced under a type certificate;
(2) Produced under an FAA production approval;
(3) A standard part;
(4) A commercial part, administered in a manner acceptable to the
FAA; or
(5) Produced by an owner or operator for maintaining or altering
that owner or operator's product.
(b) Except as provided in paragraphs (a)(1) through (a)(4) of this
section, a person who produces a replacement or modification part for
sale may not represent that part as suitable for installation on a
type-certificated product.
(c) Except as provided in paragraphs (a)(1) through (a)(4) of this
section, a person may not sell or represent a part as suitable for
installation on an aircraft type-certificated under Sec. Sec.
21.25(a)(2) or 21.27 unless that part--
(1) Was declared surplus by the U.S. Armed Forces;
(2) Was intended for use on that aircraft model by the U.S. Armed
Forces; and
(3) The person determines it is in a condition for safe operation.
Sec. 21.15 [Amended]
14. Amend Sec. 21.15 by removing the words ``Aircraft
Certification Office'' in paragraph (a) and adding, in their place, the
words ``aircraft certification office.''
15. Amend subpart B by adding Sec. 21.20 to read as follows:
Sec. 21.20 Compliance with applicable requirements.
The applicant for a type certificate, including an amended or
supplemental type certificate, must--
(a) Show compliance with all applicable requirements and must
provide the FAA the means by which such compliance has been shown; and
(b) Provide a statement certifying that the applicant has complied
with the applicable requirements.
Sec. 21.21 [Amended]
16. Amend Sec. 21.21 by removing the words ``the Federal Aviation
Regulations'' and adding, in their place, the words ``this subchapter''
wherever they appear.
Sec. 21.27 [Amended]
17. Amend Sec. 21.27 as follows:
a. Remove the words ``the Federal Aviation Regulations'' in
paragraph (c) and add, in their place, the words ``this subchapter;''
b. Remove the words ``FAR Part 23,'' wherever they occur, from the
second and third columns of the table in paragraph (f) and add, in
their place, the words ``part 23 of this chapter;''
c. Remove the words ``FAR Part 25,'' wherever they occur, from the
third column of the table in paragraph (f) and add, in their place, the
words ``part 25 of this chapter;''
d. Remove the words ``FAR Part 27'' from the third column of the
table in paragraph (f) and add, in their place, the words ``part 27 of
this chapter;'' and
e. Remove the words ``FAR Part 29'' from the third column of the
table in paragraph (f) and add, in their place, the words ``part 29 of
this chapter.''
18. Revise Sec. 21.29 to read as follows:
Sec. 21.29 Issue of type certificate: import products.
(a) The FAA may issue a type certificate for a product that is
manufactured in a foreign country or jurisdiction with which the United
States has an agreement for the acceptance of these products for export
and import and that is to be imported into the United States if--
(1) The applicable State of Design certifies that the product has
been examined, tested, and found to meet--
(i) The applicable aircraft noise, fuel venting and exhaust
emissions requirements of this subchapter as designated in Sec. 21.17,
or the applicable aircraft noise, fuel venting and exhaust emissions
requirements of the State of Design, and any other requirements the FAA
may prescribe to provide noise, fuel venting and exhaust emission
levels no greater than those provided by the applicable aircraft noise,
fuel venting, and exhaust emission requirements of this subchapter as
designated in Sec. 21.17; and
(ii) The applicable airworthiness requirements of this subchapter
as designated in Sec. 21.17, or the applicable airworthiness
requirements of the State of Design and any other requirements the FAA
may prescribe to provide a level of safety equivalent to that provided
by the applicable airworthiness requirements of this subchapter as
designated in Sec. 21.17;
(2) The applicant has provided technical data to show the product
meets the requirements of paragraph (a)(1) of this section; and
(3) The manuals, placards, listings, and instrument markings
required by the applicable airworthiness (and noise, where applicable)
requirements are presented in the English language.
(b) A product type certificated under this section is considered to
be type certificated under the noise standards of part 36, and the fuel
venting and exhaust emission standards of part 34, of this subchapter.
Compliance with
[[Page 58944]]
parts 36 and 34, is certified under paragraph (a)(1)(i) of this
section, and the applicable airworthiness standards of this subchapter,
or an equivalent level of safety, with which compliance is certified
under paragraph (a)(1)(ii) of this section.
Sec. 21.33 [Amended]
19. Amend Sec. 21.33(a) introductory text by removing the words
``the Federal Aviation Regulations'' and adding, in their place, the
words ``this subchapter.''
Sec. 21.45 [Amended]
20. Amend Sec. 21.45 as follows:
a. Remove the words ``or certified'' from paragraph (b) and add in
their place the words ``on certificated.''
b. Remove the words ``Sec. Sec. 21.133 through 21.163'' from
paragraph (c) and add in their place the words ``subpart G of this
part.''
21. Revise Sec. 21.47 to read as follows:
Sec. 21.47 Transferability.
(a) A holder of a type certificate may transfer it or make it
available to other persons by licensing agreements.
(b) For a type certificate transfer in which the State of Design
will remain the same, each transferor must, before such a transfer,
notify in writing the appropriate aircraft certification office. This
notification must include the applicable type certificate number, the
name and address of the transferee, and the anticipated date of the
transfer.
(c) For a type certificate transfer in which the State of Design is
changing, a type certificate may only be transferred to or from a
person subject to the authority of another State of Design if the
United States has an agreement with that State of Design for the
acceptance of the affected product for export and import. Each
transferor must notify the appropriate aircraft certification office
before such a transfer in a form and manner acceptable to the FAA. This
notification must include the applicable type certificate number; the
name, address, and country of residence of the transferee; and the
anticipated date of the transfer.
(d) Before executing or terminating a licensing agreement that
makes a type certificate available to another person, the type
certificate holder must notify in writing the appropriate aircraft
certification office. This notification must include the type
certificate number addressed by the licensing agreement, the name and
address of the licensee, the extent of authority granted the licensee,
and the anticipated date of the agreement.
22. Revise Sec. 21.53(a) to read as follows:
Sec. 21.53 Statement of conformity.
(a) Each applicant must provide a statement to the FAA that each
aircraft engine or propeller presented for type certification conforms
to its type design.
* * * * *
Sec. 21.73 [Amended]
23. Amend Sec. 21.73(b) by removing the words ``Any manufacturer
of aircraft manufactured in a foreign country with which the United
States has an agreement'' and adding in their place the words ``Any
manufacturer of aircraft in a State of Manufacture subject to the
provisions of an agreement with the United States''.
24. Revise Sec. 21.75 to read as follows:
Sec. 21.75 Application.
Each applicant for a provisional type certificate, for an amendment
thereto, or for a provisional amendment to a type certificate must
apply to the appropriate aircraft certification office and provide the
information required by this subpart.
25. Revise Sec. 21.97(a) to read as follows:
Sec. 21.97 Approval of major changes in type design.
(a) An applicant for approval of a major change in type design
must--
(1) Provide substantiating data and necessary descriptive data for
inclusion in the type design;
(2) Show that the changed product complies with the applicable
requirements of this subchapter, and provide the FAA the means by which
such compliance has been shown; and
(3) Provide a statement certifying that the applicant has complied
with the applicable requirements.
* * * * *
26. Revise Sec. 21.113 to read as follows:
Sec. 21.113 Requirement for supplemental type certificate.
(a) If a person holds the TC for a product and alters that product
by introducing a major change in type design that does not require an
application for a new TC under Sec. 21.19, that person must either
apply to the appropriate aircraft certification office for an STC or
apply to amend the original type certificate under subpart D of this
part.
(b) If a person does not hold the TC for a product and alters that
product by introducing a major change in type design that does not
require an application for a new TC under Sec. 21.19, that person must
apply to the appropriate aircraft certification office for an STC.
(c) The application for an STC must be made in the form and manner
prescribed by the FAA.
Sec. 21.117 [Amended]
27. Amend Sec. 21.117 by removing the words ``if he'' from
paragraph (a) and adding in their place the words ``if the FAA finds
that the applicant''.
28. Revise Sec. 21.119(c) to read as follows:
Sec. 21.119 Privileges.
* * * * *
(c) Obtain a production certificate in accordance with the
requirements of subpart G of this part for the change in the type
design approved by that supplemental type certificate.
29. Amend subpart F by adding Sec. 21.122 to read as follows:
Sec. 21.122 Location of or change to manufacturing facilities.
(a) If the FAA finds no undue burden in administering the
applicable requirements of Title 49 U.S.C. and this subchapter, a type
certificate holder may use manufacturing facilities located outside of
the United States.
(b) The type certificate holder must obtain FAA approval before
making any changes to its manufacturing facilities that would affect
the inspection or airworthiness of its products or articles, including
changes to the location of any of its manufacturing facilities.
30. Revise Sec. 21.123 to read as follows:
Sec. 21.123 Production under type certificate.
Each manufacturer of a product or article being manufactured under
a type certificate must--
(a) Maintain at the place of manufacture all information and data
specified in Sec. Sec. 21.31 and 21.41;
(b) Make each product and article available for inspection by the
FAA;
(c) Maintain records of the completion of all inspections and tests
required by Sec. Sec. 21.127, 21.128, and 21.129 for at least 5 years
for the products and articles manufactured under the approval and at
least 10 years for critical components identified under Sec. 45.15(c)
of this chapter;
(d) Allow the FAA to make any inspection or test, including any
inspection or test at a supplier facility, necessary to determine
compliance with this subchapter;
(e) Obtain an airworthiness approval for each aircraft engine,
propeller, and article produced under that type certificate as evidence
that it conforms to its approved design and is in a condition for safe
operation; and
(f) Except as otherwise authorized by the FAA, obtain a production
certificate for that product in accordance with
[[Page 58945]]
subpart G of this part within 6 months after the date of issuance of
the type certificate.
Sec. 21.125 [Removed and Reserved]
31. Remove and reserve Sec. 21.125.
32. Revise Sec. 21.130 to read as follows:
Sec. 21.130 Statement of Conformity.
Each holder or licensee of a type certificate who manufactures a
product or article under this subpart must provide a statement to the
FAA that each product or article conforms to its type certificate and
is in a condition for safe operation.
33. Revise subpart G to read as follows:
Subpart G--Production Certificates
Sec.
21.131 Applicability.
21.132 Eligibility.
21.133 Application.
21.135 Organization.
21.137 Quality system.
21.138 Quality manual.
21.139 Location of or change to manufacturing facilities.
21.140 Inspections and tests.
21.141 Issuance.
21.142 Production limitation record.
21.143 Duration.
21.144 Transferability.
21.145 Privileges.
21.146 Responsibility of holder.
21.147 Amendment of production certificates.
21.150 Changes in quality system.
Sec. 21.131 Applicability.
This subpart prescribes--
(a) Procedural requirements for issuing production certificates;
and
(b) Rules governing holders of those certificates.
Sec. 21.132 Eligibility.
Any person may apply for a production certificate if that person
holds, for the product concerned--
(a) A current type certificate;
(b) A supplemental type certificate; or
(c) Rights to the benefits of that type certificate or supplemental
type certificate under a licensing agreement.
Sec. 21.133 Application.
Each applicant must apply for a production certificate in a form
and manner prescribed by the FAA.
Sec. 21.135 Organization.
Each applicant must provide the FAA with a document describing how
the applicant's organization will ensure compliance with the provisions
of this subpart. At a minimum, the document must describe assigned
responsibilities and delegated authority, and the functional
relationship of those responsible for quality to management and other
organizational components.
Sec. 21.137 Quality system.
Each applicant must establish and describe in writing a quality
system that ensures that each product and article conforms to its
approved design and is in a condition for safe operation. This quality
system must include:
(a) Design data control. Procedures for controlling design data and
subsequent changes to ensure that only current, correct, and approved
data is used.
(b) Document control. Procedures for controlling quality system
documents and data and subsequent changes to ensure that only current,
correct, and approved documents and data are used.
(c) Supplier control. Procedures that--
(1) Ensure that each supplier-furnished product or article conforms
to its approved design; and
(2) Require each supplier to report to the production approval
holder if a product or article has been released from that supplier and
subsequently found not to conform to the applicable design data.
(d) Manufacturing process control. Procedures for controlling
manufacturing processes to ensure that each product and article
conforms to its approved design.
(e) Inspecting and testing. Procedures for inspections and tests
used to ensure that each product and article conforms to its approved
design. These procedures must include the following, as applicable:
(1) A flight test of each aircraft produced unless that aircraft
will be exported as an unassembled aircraft.
(2) A functional test of each aircraft engine and each propeller
produced.
(f) Inspection, measuring, and test equipment control. Procedures
to ensure calibration and control of all inspection, measuring, and
test equipment used in determining conformity of each product and
article to its approved design. Each calibration standard must be
traceable to a standard acceptable to the FAA.
(g) Inspection and test status. Procedures for documenting the
inspection and test status of products and articles supplied or
manufactured to the approved design.
(h) Certifying staff. Procedures for establishing and maintaining a
certifying staff responsible for issuing airworthiness approvals for
each aircraft engine, propeller, and article.
(i) Nonconforming product and article control. (1) Procedures to
ensure that only products or articles that conform to their approved
design are installed on a type-certificated product. These procedures
must provide for the identification, documentation, evaluation,
segregation, and disposition of nonconforming products and articles.
Only authorized individuals may make disposition determinations.
(2) Procedures to ensure that discarded articles are rendered
unusable.
(j) Corrective and preventive actions. Procedures for implementing
corrective and preventive actions to eliminate the causes of an actual
or potential nonconformity to the approved design or noncompliance with
the approved quality system.
(k) Handling and storage. Procedures to prevent damage and
deterioration of each product and article during handling, storage,
preservation, packaging, and delivery.
(l) Control of quality records. Procedures for identifying,
storing, protecting, retrieving, and retaining quality records. A
production approval holder must retain these records for at least 5
years for the products and articles manufactured under the approval and
at least 10 years for critical components identified under Sec.
45.15(c) of this chapter.
(m) Internal audits. Procedures for planning, conducting, and
documenting internal audits to ensure compliance with the approved
quality system. The procedures must include reporting results of
internal audits to the manager responsible for implementing corrective
and preventive actions.
(n) In-service feedback. Procedures for receiving and processing
feedback on in-service failures, malfunctions, and defects. These
procedures must include a process for assisting the design approval
holder to--
(1) Address any in-service problem involving design changes; and
(2) Determine if any changes to the Instructions for Continued
Airworthiness are necessary.
(o) Quality escapes. Procedures for identifying, analyzing, and
initiating appropriate corrective action for products or articles that
have been released from the quality system and that do not conform to
the applicable design data or quality system requirements.
Sec. 21.138 Quality manual.
Each applicant must provide a manual describing its quality system
to the FAA for approval. The manual must be in the English language and
retrievable in a form acceptable to the FAA.
Sec. 21.139 Location of or change to manufacturing facilities.
(a) If the FAA finds no undue burden in administering the
applicable
[[Page 58946]]
requirements of Title 49 U.S.C. and this subchapter, an applicant may
obtain a production certificate for manufacturing facilities located
outside of the United States.
(b) The production certificate holder must obtain FAA approval
before making any changes to its manufacturing facilities that could
affect the inspection or airworthiness of its products or articles,
including changes to the location of any of its manufacturing
facilities.
Sec. 21.140 Inspections and tests.
Each applicant for or holder of a production certificate must allow
the FAA to inspect its quality system, facilities, technical data, and
any manufactured products or articles and witness any tests, including
any inspections or tests at a supplier facility, necessary to determine
compliance with this subchapter.
Sec. 21.141 Issuance.
The FAA issues a production certificate after finding that the
applicant complies with the requirements of this subpart.
Sec. 21.142 Production limitation record.
The FAA issues a production limitation record as part of a
production certificate. The record lists the type certificate number
and the model of every product that the production certificate holder
is authorized to manufacture.
Sec. 21.143 Duration.
A production certificate is effective until surrendered, suspended,
revoked, or the FAA otherwise establishes a termination date.
Sec. 21.144 Transferability.
The holder of a production certificate may not transfer the
production certificate.
Sec. 21.145 Privileges.
(a) The holder of a production certificate may--
(1) Obtain an aircraft airworthiness certificate without further
showing, except that the FAA may inspect the aircraft for conformity
with the type design; or
(2) In the case of other products, obtain approval from the FAA for
installation on type-certificated aircraft.
(b) Notwithstanding the provisions of Sec. 147.3 of this chapter,
the holder of a production certificate for a primary category aircraft,
or for a normal, utility, or acrobatic category aircraft of a type
design that is eligible for a special airworthiness certificate in the
primary category under Sec. 21.184(c), may--
(1) Conduct training for persons in the performance of a special
inspection and preventive maintenance program approved as a part of the
aircraft's type design under Sec. 21.24(b), provided a person holding
a mechanic certificate with appropriate airframe and powerplant ratings
issued under part 65 of this chapter gives the training; and
(2) Issue a certificate of competency to persons successfully
completing the approved training program, provided the certificate
specifies the aircraft make and model to which the certificate applies.
Sec. 21.146 Responsibility of holder.
The holder of a production certificate must--
(a) Amend the document required by Sec. 21.135 as necessary to
reflect changes in the organization and provide these amendments to the
FAA.
(b) Maintain the quality system in compliance with the data and
procedures approved for the production certificate;
(c) Ensure that each article and completed product, including
primary category aircraft assembled under a production certificate by
another person from a kit provided by the holder of the production
certificate, presented for airworthiness certification or approval
conforms to its approved design and is in a condition for safe
operation;
(d) Issue an airworthiness approval for each aircraft engine,
propeller, and article produced under that production certificate that
conforms to its approved design and is in a condition for safe
operation;
(e) Maintain complete and current type design data for each product
and article produced under the production certificate;
(f) Retain its production certificate and make it available to the
FAA upon request; and
(g) Make available to the FAA information regarding all delegation
of authority to suppliers.
Sec. 21.147 Amendment of production certificates.
The holder of a production certificate must apply for an amendment
to a production certificate in a form and manner prescribed by the FAA.
The applicant for an amendment to a production certificate to add a
type certificate or model, or both, must comply with the applicable
requirements of Sec. Sec. 21.137, 21.138, and 21.150.
Sec. 21.150 Changes in quality system.
After the issuance of a production certificate--
(a) Each change to the quality system is subject to review by the
FAA; and
(b) The holder of a production certificate must immediately notify
the FAA, in writing, of any change that may affect the inspection,
conformity, or airworthiness of its product or article.
34. Amend Sec. 21.183 by revising paragraphs (c), (d)(1), (d)(2),
and (d)(3) to read as follows:
Sec. 21.183 Issue of standard airworthiness certificates for normal,
utility, acrobatic, commuter, and transport category aircraft; manned
free balloons; and special classes of aircraft.
* * * * *
(c) Import aircraft. An applicant for a standard airworthiness
certificate for an import aircraft is entitled to that certificate if--
(1) The aircraft is type certificated in accordance with Sec.
21.21 or Sec. 21.29 and produced under the authority of another State
of Manufacture;
(2) The State of Manufacture certifies, in accordance with the
provisions of an agreement with the United States for import and export
of that aircraft, that the aircraft conforms to the type design and is
in condition for safe operation; and
(3) The FAA finds that the aircraft conforms to the type design and
is in condition for safe operation.
(d) * * *
(1) The applicant presents evidence to the FAA that the aircraft
conforms to a type design approved under a type certificate or a
supplemental type certificate and to applicable Airworthiness
Directives;
(2) The aircraft (except an experimentally certificated aircraft
that previously had been issued a different airworthiness certificate
under this section) has been inspected in accordance with the
performance rules for 100-hour inspections set forth in Sec. 43.15 of
this chapter, or an equivalent performance standard acceptable to the
FAA, and found airworthy by--
(i) The manufacturer;
(ii) The holder of a repair station certificate as provided in part
145 of this chapter;
(iii)The holder of a mechanic certificate as authorized in part 65
of this chapter;
(iv) The holder of a certificate issued under part 121 of this
chapter, and having a maintenance and inspection organization
appropriate to the aircraft type; or
(v) The holder of a license or certificate to perform aircraft
maintenance that is issued by a foreign country or jurisdiction if the
United States has an agreement with that
[[Page 58947]]
country or jurisdiction for the acceptance of used aircraft; and
(3) The FAA finds after inspection, that the aircraft conforms to
the type design, and is in condition for safe operation.
* * * * *
35. Revise Sec. 21.185(c) to read as follows:
Sec. 21.185 Issue of airworthiness certificates for restricted
category aircraft.
* * * * *
(c) Import aircraft. An applicant for the original issue of a
special airworthiness certificate for a restricted category import
aircraft is entitled to that certificate if--
(1) The aircraft is type-certificated in accordance with Sec.
21.25 or Sec. 21.29 and produced under the authority of another State
of Manufacture;
(2) The State of Manufacture certifies, in accordance with the
provisions of an agreement with the United States for import and export
of that aircraft that the aircraft conforms to the type design and is
in condition for safe operation; and
(3) The FAA finds that the aircraft conforms to the type design and
is in condition for safe operation.
* * * * *
36. Revise Sec. 21.195(d)(2) to read as follows:
Sec. 21.195 Experimental certificates: aircraft to be used for market
surveys, sales demonstrations, and customer crew training.
* * * * *
(d) * * *
(1) * * *
(2) The applicant shows that the aircraft has been flown for at
least 50 hours, or for at least 5 hours if it is a type certificated
aircraft which has been modified. The FAA may reduce these operational
requirements if the applicant provides adequate justification.
37. Revise Sec. 21.197(c) to read as follows:
Sec. 21.197 Special flight permits.
* * * * *
(c) Upon application, as prescribed in Sec. Sec. 119.51 or 91.1017
of this chapter, a special flight permit with a continuing
authorization may be issued for aircraft that may not meet applicable
airworthiness requirements, but are capable of safe flight for the
purpose of flying aircraft to a base where maintenance or alterations
are to be performed. The permit issued under this paragraph is an
authorization, including conditions and limitations for flight, which
is set forth in the certificate holder's operations specifications. The
permit issued under this paragraph may be issued to--
(1) Certificate holders authorized to conduct operations under part
119 of this chapter, that have an approved program for continuing
flight authorization; or
(2) Management specification holders authorized to conduct
operations under part 91, subpart K, for those aircraft they operate
and maintain under a continuous airworthiness maintenance program
prescribed by Sec. 91.1411 of this part.
Sec. 21.223 [Amended]
38. Amend Sec. 21.223 by removing the word ``control'' from
paragraph (c).
Sec. 21.225 [Amended]
39. Amend Sec. 21.225 by removing the word ``control'' from
paragraph (b).
Sec. 21.251 [Amended]
40. Amend Sec. 21.251 by removing the words ``(FAA Form 8130-3)''
from paragraphs (b)(4)(iii) and (b)(4)(iv).
Sec. 21.253 [Amended]
41. Amend Sec. 21.253 by removing the words ``(FAA Form 312)''
from paragraph (a)(1).
42. Revise Sec. 21.267(d) to read as follows:
Sec. 21.267 Production certificates.
* * * * *
(d) After placing the manufacturing and quality system data
required by Sec. 21.137 with the data required by Sec.
21.293(a)(1)(ii), a statement certifying that this has been done.
Sec. 21.271 [Amended]
43. Amend Sec. 21.271(a) by removing the words ``(FAA Form 8130-
3).''
44. Revise Sec. 21.293(a)(2) introductory text to read as follows:
Sec. 21.293 Current records.
(a) * * *
(1) * * *
(2) For 5 years--
* * * * *
45. Revise subpart K to read as follows:
Subpart K--Parts Manufacturer Approvals
Sec.
21.301 Applicability.
21.303 Application.
21.305 Organization.
21.307 Quality system.
21.308 Quality manual.
21.309 Location of or change to manufacturing facilities.
21.310 Inspections and tests.
21.311 Issuance.
21.313 Duration.
21.314 Transferability.
21.316 Responsibility of holder.
21.319 Design changes.
21.320 Changes in quality system.
Sec. 21.301 Applicability.
This subpart prescribes--
(a) Procedural requirements for issuing PMAs; and
(b) Rules governing holders of PMAs.
Sec. 21.303 Application.
(a) The applicant for a PMA must apply in a form and manner
prescribed by the FAA, and include the following:
(1) The identity of the product on which the part is to be
installed.
(2) The name and address of the manufacturing facilities at which
these parts are to be manufactured.
(3) The design of the part, which consists of--
(i) Drawings and specifications necessary to show the configuration
of the part; and
(ii) Information on dimensions, materials, and processes necessary
to define the structural strength of the part.
(4) Test reports and computations necessary to show that the design
of the part meets the airworthiness requirements of this subchapter.
The test reports and computations must be applicable to the product on
which the part is to be installed, unless the applicant shows that the
design of the part is identical to the design of a part that is covered
under a type certificate. If the design of the part was obtained by a
licensing agreement, the applicant must provide evidence of that
agreement.
(5) An applicant for a PMA based on test reports and computations
must provide a statement certifying that the applicant has complied
with the airworthiness requirements of this subchapter.
(b) Each applicant for a PMA must make all inspections and tests
necessary to determine--
(1) Compliance with the applicable airworthiness requirements;
(2) That materials conform to the specifications in the design;
(3)That the part conforms to its approved design; and
(4) That the manufacturing processes, construction, and assembly
conform to those specified in the design.
Sec. 21.305 Organization.
Each applicant must provide the FAA with a document describing how
the applicant's organization will ensure compliance with the provisions
of this subpart. At a minimum, the document must describe assigned
responsibilities and delegated authority, and the
[[Page 58948]]
functional relationship of those responsible for quality to management
and other organizational components.
Sec. 21.307 Quality system.
Each applicant must establish a quality system that meets the
requirements of Sec. 21.137.
Sec. 21.308 Quality manual.
Each applicant must provide a manual describing its quality system
to the FAA for approval. The manual must be in the English language and
retrievable in a form acceptable to the FAA.
Sec. 21.309 Location of or change to manufacturing facilities.
(a) If the FAA finds no undue burden in administering the
applicable requirements of Title 49 U.S.C. and this subchapter, an
applicant may obtain a PMA for manufacturing facilities located outside
of the United States.
(b) The PMA holder must obtain FAA approval before making any
changes to its manufacturing facilities that could affect the
inspection or airworthiness of its parts, including changes to the
location of any of its manufacturing facilities.
Sec. 21.310 Inspections and tests.
(a) Each applicant for or holder of a PMA must allow the FAA to
inspect its quality system, facilities, technical data, and any
manufactured parts and witness any tests, including any inspections or
tests at a supplier facility, necessary to determine compliance with
this subchapter.
(b) Unless otherwise authorized by the FAA, the applicant or
holder--
(1) May not present any part to the FAA for an inspection or test
unless compliance with Sec. 21.303(b)(2) through (4) has been shown
for that part; and
(2) May not make any change to a part between the time that
compliance with Sec. 21.303(b)(2) through (4) is shown for that part
and the time that the part is presented to the FAA for the inspection
or test.
Sec. 21.311 Issuance.
The FAA issues a PMA after finding that the applicant complies with
the requirements of this subpart and the design complies with the
requirements of this chapter applicable to the product on which the
part is to be installed.
Sec. 21.313 Duration.
A PMA is effective until surrendered, withdrawn, or the FAA
otherwise terminates it.
Sec. 21.314 Transferability.
The holder of a PMA may not transfer the PMA.
Sec. 21.316 Responsibility of holder.
Each holder of a PMA must--
(a) Amend the document required by Sec. 21.305 as necessary to
reflect changes in the organization and provide these amendments to the
FAA.
(b) Maintain the quality system in compliance with the data and
procedures approved for the PMA;
(c) Ensure that each part conforms to its approved design and is in
a condition for safe operation;
(d) Issue an airworthiness approval for each part produced under
that PMA that conforms to its approved design and is in a condition for
safe operation;
(e) Maintain complete and current design data for each part
produced under the PMA;
(f) Retain each document granting PMA and make it available to the
FAA upon request; and
(g) Make available to the FAA information regarding all delegation
of authority to suppliers.
Sec. 21.319 Design changes.
(a) Classification of design changes. (1) A ``minor change'' to the
design of a part produced under a PMA is one that has no appreciable
effect on the weight, balance, structural strength, reliability,
operational characteristics, or other characteristics affecting the
airworthiness of the part.
(2) A ``major change'' to the design of a part produced under a PMA
is any change that is not minor.
(b) Approval of design changes. (1) The PMA holder must approve
minor changes using a method acceptable to the FAA.
(2) The PMA holder must obtain FAA approval of any major change
before including it in the design of a part produced under a PMA.
Sec. 21.320 Changes in quality system.
After the issuance of a PMA--
(a) Each change to the quality system is subject to review by the
FAA; and
(b) The holder of the PMA must immediately notify the FAA, in
writing, of any change that may affect the inspection, conformity, or
airworthiness of its part.
46. Revise subpart L to read as follows:
Subpart L--Export Airworthiness Approvals
Sec.
21.321 Applicability.
21.325 Export airworthiness approvals.
21.327 Application.
21.329 Issuance of export certificates of airworthiness.
21.331 Issuance of export airworthiness approvals for aircraft
engines, propellers, and articles.
21.335 Responsibilities of exporters.
Sec. 21.321 Applicability.
This subpart prescribes--
(a) Procedural requirements for issuing export airworthiness
approvals; and
(b) Rules governing the holders of those approvals.
Sec. 21.325 Export airworthiness approvals.
(a) An export airworthiness approval for an aircraft is issued in
the form of an export certificate of airworthiness. This certificate
does not authorize operation of that aircraft.
(b) The FAA prescribes the form and manner in which an export
airworthiness approval for an aircraft engine, propeller, or article is
issued.
(c) If the FAA finds no undue burden in administering the
applicable requirements of Title 49 U.S.C. and this subchapter, an
export airworthiness approval may be issued for a product or article
located outside of the United States.
Sec. 21.327 Application.
Any person may apply for an export airworthiness approval. Each
applicant must apply in a form and manner prescribed by the FAA.
Sec. 21.329 Issuance of export certificates of airworthiness.
(a) The FAA issues an export certificate of airworthiness for an
aircraft if--
(1) A new or used aircraft manufactured under subpart F or G of
this part meets the airworthiness requirements under subpart H of this
part for a--
(i) Standard airworthiness certificate; or
(ii) Special airworthiness certificate in either the ``primary'' or
the ``restricted'' category; or
(2) A new or used aircraft not manufactured under subpart F or G of
this part has a valid--
(i) Standard airworthiness certificate; or
(ii) Special airworthiness certificate in either the ``primary'' or
the ``restricted'' category; and
(3) Each requirement of the importing country or jurisdiction has
been met.
(b) An aircraft need not meet a requirement specified in paragraph
(a) of this section, as applicable, if--
(1) The importing country or jurisdiction accepts, in a form and
manner acceptable to the FAA, a deviation from that requirement; and
(2) The export certificate of airworthiness lists as an exception
each difference, if any, between the aircraft to be exported and its
type design.
[[Page 58949]]
Sec. 21.331 Issuance of export airworthiness approvals for aircraft
engines, propellers, and articles.
(a) A production approval holder may issue an export airworthiness
approval under this subpart to export a new aircraft engine, propeller,
or article that it manufactured under this part and that--
(1) Conforms to its approved design and is in a condition for safe
operation; and
(2) Meets each requirement of the importing country or
jurisdiction.
(b) An aircraft engine, propeller, or article need not meet a
requirement of paragraph (a) of this section if--
(1) The importing country or jurisdiction accepts, in a form and
manner acceptable to the FAA, a deviation from that requirement; and
(2) The export airworthiness approval lists as an exception each--
(i) Requirement specified by this section that is not met; and
(ii) Difference, if any, between the aircraft engine, propeller, or
article to be exported and its approved design.
(c) A person who is not a production approval holder may obtain
from the FAA or its designee an export airworthiness approval under
this subpart to export a new aircraft engine, propeller, or article.
(d) A person may obtain from the FAA or its designee an export
airworthiness approval under this subpart to export a used aircraft
engine, propeller, or article that--
(1) Conforms to its approved design and is in a condition for safe
operation; and
(2) Meets each requirement of the importing country or
jurisdiction.
Sec. 21.335 Responsibilities of exporters.
Unless otherwise agreed to by the importing country or
jurisdiction, each exporter must--
(a) Forward to the importing country or jurisdiction all documents
specified by that country or jurisdiction;
(b) Preserve and package products and articles as necessary to
protect them against corrosion and damage during transit or storage and
state the duration of effectiveness of such preservation and packaging;
(c) Remove or cause to be removed any temporary installation
incorporated on an aircraft for the purpose of export delivery and
restore the aircraft to the approved configuration upon completion of
the delivery flight;
(d) Secure all proper foreign entry clearances from all the
countries or jurisdictions involved when conducting sales
demonstrations or delivery flights; and
(e) When title to an aircraft passes or has passed to a foreign
purchaser--
(1) Request cancellation of the U.S. registration and airworthiness
certificates from the FAA, giving the date of transfer of title, and
the name and address of the foreign owner;
(2) Return the Registration and Airworthiness Certificates to the
FAA; and
(3) Provide a statement to the FAA certifying that the U.S.
identification and registration numbers have been removed from the
aircraft in compliance with Sec. 45.33.
47. Revise subpart N to read as follows:
Subpart N--Acceptance of Aircraft Engines, Propellers, and Articles
for Import
Sec. 21.500 Acceptance of aircraft engines and propellers.
An aircraft engine or propeller manufactured in a foreign country
or jurisdiction meets the requirements for acceptance under this
subchapter if--
(a) That country or jurisdiction is subject to the provisions of an
agreement with the United States for the acceptance of that product;
(b) That product is identified in accordance with part 45 of this
chapter; and
(c) The holder or licensee of a U.S. type certificate for that
product furnishes with each such aircraft engine or propeller imported
into the United States, an export airworthiness approval issued in
accordance with the provisions of that agreement certifying that the
individual aircraft engine or propeller--
(1) Conforms to its U.S. type certificate and is in condition for
safe operation; and
(2) Has been subjected by the manufacturer to a final operational
check.
Sec. 21.502 Acceptance of articles.
An article (including an article produced under a letter of TSO
design approval) manufactured in a foreign country or jurisdiction
meets the requirements for acceptance under this subchapter if--
(a) That country or jurisdiction is subject to the provisions of an
agreement with the United States for the acceptance of that article;
(b) That article is marked in accordance with part 45 of this
chapter; and
(c) An airworthiness approval has been issued in accordance with
the provisions of that agreement for that article for import into the
United States.
48. Revise subpart O to read as follows:
Subpart O--Technical Standard Order Approvals
Sec.
21.601 Applicability and definitions.
21.603 Application.
21.605 Organization.
21.607 Quality system.
21.608 Quality manual.
21.609 Location of or change to manufacturing facilities.
21.610 Inspections and tests.
21.611 Issuance.
21.613 Duration.
21.614 Transferability.
21.616 Responsibility of holder.
21.618 Approval for deviation.
21.619 Design changes.
21.620 Changes in quality system.
21.621 Issue of letters of TSO design approval: import articles.
Sec. 21.601 Applicability and definitions.
(a) This subpart prescribes--
(1) Procedural requirements for issuing TSO authorizations;
(2) Rules governing the holders of TSO authorizations; and
(3) Procedural requirements for issuing letters of TSO design
approval.
(b) For the purposes of this subpart--
(1) A TSO issued by the FAA is a minimum performance standard for
specified articles used on civil aircraft;
(2) A TSO authorization is an FAA design and production approval
issued to the manufacturer of an article that has been found to meet a
specific TSO;
(3) A letter of TSO design approval is an FAA design approval for
an article that has been found to meet a specific TSO in accordance
with the procedures of Sec. 21.621;
(4) An article manufactured under a TSO authorization, an FAA
letter of acceptance as described in Sec. 21.613(b), or an article
manufactured under a letter of TSO design approval described in Sec.
21.621 is an approved article for the purpose of meeting the
regulations of this chapter that require the article to be approved;
and
(5) An article manufacturer is the person who controls the design
and quality of the article produced (or to be produced, in the case of
an application), including any related parts, processes, or services
procured from an outside source.
Sec. 21.603 Application.
(a) An applicant for a TSO authorization must apply to the
appropriate aircraft certification office in the form and manner
prescribed by the FAA. The applicant must include the following
documents in the application:
[[Page 58950]]
(1) A statement of conformance certifying that the applicant has
met the requirements of this subpart and that the article concerned
meets the applicable TSO that is effective on the date of application
for that article.
(2) One copy of the technical data required in the applicable TSO.
(b) If the applicant anticipates a series of minor changes in
accordance with Sec. 21.619, the applicant may set forth in its
application the basic model number of the article and the part number
of the components with open brackets after it to denote that suffix
change letters or numbers (or combinations of them) will be added from
time to time.
(c) If the application is deficient, the applicant must, when
requested by the FAA, provide any additional information necessary to
show compliance with this part. If the applicant fails to provide the
additional information within 30 days after the FAA's request, the FAA
denies the application and notifies the applicant.
Sec. 21.605 Organization.
Each applicant must provide the FAA with a document describing how
the applicant's organization will ensure compliance with the provisions
of this subpart. At a minimum, the document must describe assigned
responsibilities and delegated authority, and the functional
relationship of those responsible for quality to management and other
organizational components.
Sec. 21.607 Quality system.
Each applicant must establish a quality system that meets the
requirements of Sec. 21.137.
Sec. 21.608 Quality manual.
Each applicant must provide a manual describing its quality system
to the FAA for approval. The manual must be in the English language and
retrievable in a form acceptable to the FAA.
Sec. 21.609 Location of or change to manufacturing facilities.
(a) If the FAA finds no undue burden in administering the
applicable requirements of Title 49 U.S.C. and this subchapter, an
applicant may obtain a TSO authorization for manufacturing facilities
located outside of the United States.
(b) The holder of a TSO authorization must obtain FAA approval
before making any changes to its manufacturing facilities that could
affect the inspection or airworthiness of its TSO articles, including
changes to the location of any of its manufacturing facilities.
Sec. 21.610 Inspections and tests.
Each applicant for or holder of a TSO authorization must allow the
FAA to inspect its quality system, facilities, technical data, and any
manufactured articles and witness any tests, including any inspections
or tests at a supplier facility, necessary to determine compliance with
this subchapter.
Sec. 21.611 Issuance.
If the FAA finds that the applicant complies with the requirements
of this subchapter, the FAA issues a TSO authorization to the applicant
(including all TSO deviations granted to the applicant).
Sec. 21.613 Duration.
(a) A TSO authorization or letter of TSO design approval is
effective until surrendered, withdrawn, or otherwise terminated by the
FAA.
(b) If a TSO is revised or canceled, the holder of an affected FAA
letter of acceptance of a statement of conformance, TSO authorization,
or letter of TSO design approval may continue to manufacture articles
that meet the original TSO without obtaining a new acceptance,
authorization, or approval but must comply with the requirements of
Sec. Sec. 21.3, 21.137(l), 21.610, 21.613 through 21.619, and
45.15(b).
Sec. 21.614 Transferability.
The holder of a TSO authorization or letter of TSO design approval
may not transfer the TSO authorization or letter of TSO design
approval.
Sec. 21.616 Responsibility of holder.
Each holder of a TSO authorization must--
(a) Amend the document required by Sec. 21.605 as necessary to
reflect changes in the organization and provide these amendments to the
FAA;
(b) Maintain a quality system in compliance with the data and
procedures approved for the TSO authorization;
(c) Ensure that each manufactured article conforms to its approved
design, is in a condition for safe operation, and meets the applicable
TSO;
(d) Issue an airworthiness approval for each article or part
produced under that TSO authorization that conforms to its approved
design, is in a condition for safe operation, and meets the applicable
TSO;
(e) Maintain complete and current design data for each article
produced under the TSO authorization. The manufacturer must retain this
data until it no longer manufactures the article. At that time, copies
of the data must be sent to the FAA;
(f) Retain its TSO authorization and make it available to the FAA
upon request; and
(g) Make available to the FAA information regarding all delegation
of authority to suppliers.
Sec. 21.618 Approval for deviation.
(a) Each manufacturer who requests approval to deviate from any
performance standard of a TSO must show that factors or design features
providing an equivalent level of safety compensate for the standards
from which a deviation is requested.
(b) The manufacturer must send requests for approval to deviate,
together with all pertinent data, to the appropriate aircraft
certification office. If the article is manufactured under the
authority of a foreign country or jurisdiction, the manufacturer must
send requests for approval to deviate, together with all pertinent
data, through the civil aviation authority of that country or
jurisdiction to the FAA.
Sec. 21.619 Design changes.
(a) Minor changes by the manufacturer holding a TSO authorization.
The manufacturer of an article under an authorization issued under this
part may make minor design changes (any change other than a major
change) without further approval by the FAA. In this case, the changed
article keeps the original model number (part numbers may be used to
identify minor changes) and the manufacturer must forward to the
appropriate aircraft certification office, any revised data that are
necessary for compliance with Sec. 21.603(b).
(b) Major changes by the manufacturer holding a TSO authorization.
Any design change by the manufacturer extensive enough to require a
substantially complete investigation to determine compliance with a TSO
is a major change. Before making a major change, the manufacturer must
assign a new type or model designation to the article and apply for an
authorization under Sec. 21.603.
(c) Changes by persons other than the manufacturer. No design
change by any person (other than the manufacturer who provided the
statement of conformance for the article) is eligible for approval
under this part unless the person seeking the approval is a
manufacturer and applies under Sec. 21.603(a) for a separate TSO
authorization. Persons other than a manufacturer may obtain approval
for design changes under part 43 or under the applicable airworthiness
regulations of this chapter.
[[Page 58951]]
Sec. 21.620 Changes in quality system.
After the issuance of a TSO authorization--
(a) Each change to the quality system is subject to review by the
FAA; and
(b) The holder of the TSO authorization must immediately notify the
FAA, in writing, of any change that may affect the inspection,
conformity, or airworthiness of its article.
Sec. 21.621 Issue of letters of TSO design approval: Import articles.
(a) The FAA may issue a letter of TSO design approval for an
article--
(1) Designed and manufactured in a foreign country or jurisdiction
subject to the provisions of an agreement with the United States for
the acceptance of these articles for export and import; and
(2) For import into the United States if--
(i) The State of Design certifies that the article has been
examined, tested, and found to meet the applicable TSO or the
applicable performance standards of the State of Design and any other
performance standards the FAA may prescribe to provide a level of
safety equivalent to that provided by the TSO; and
(ii) The manufacturer has provided to the FAA one copy of the
technical data required in the applicable performance standard through
its State of Design.
(b) The FAA issues the letter of TSO design approval that must list
any deviation granted to the manufacturer under Sec. 21.618.
PART 43--MAINTENANCE, PREVENTIVE MAINTENANCE, REBUILDING, AND
ALTERATION
49. The authority citation for part 43 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40113, 44701, 44703, 44705, 44707,
44711, 44713, 44717, 44725.
50. Amend Sec. 43.2(a)(2) by removing the reference to ``Sec.
21.305 of this chapter'' and adding in its place ``part 21 of this
chapter.''
51. Revise Sec. 43.3(j)(3) to read as follows:
Sec. 43.3 Persons authorized to perform maintenance, preventive
maintenance, rebuilding, and alterations.
* * * * *
(j) A manufacturer may--
(1) * * *
(2) * * *
(3) Perform any inspection required by part 91 or part 125 of this
chapter on aircraft it manufactured under a type certificate, or
currently manufactures under a production certificate.
PART 45--IDENTIFICATION AND REGISTRATION MARKING
52. The authority citation for part 45 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40103, 40113-40114, 44101-44105,
44107-44111, 44504, 44701, 44708-44709, 44711-44713, 44725, 45302-
45303, 46104, 46304, 46306, 47122.
PART 45--[NOMENCLATURE CHANGE]
53. Amend part 45 by removing the word ``Administrator'' and the
words ``Administrator of the FAA'' and adding, in their place, the word
``FAA'' wherever they appear.
54. Amend part 45 by removing the word ``shall'' and adding, in its
place, the word ``must'' wherever it appears
55. Revise Sec. 45.1 to read as follows:
Sec. 45.1 Applicability.
This part describes the requirements for--
(a) Identifying products, parts, appliances, and TSO articles
manufactured under--
(1) A type certificate;
(2) A production approval as defined under part 21 of this chapter;
and
(3) The provisions of an agreement between the United States and
another country or jurisdiction for the acceptance of products, parts,
appliances, and articles; and
(b) Nationality and registration marking of U.S. registered
aircraft.
Subpart B--Identification of Products, Parts, Appliances, and TSO
Articles
56. Revise the heading of subpart B to read as set forth above.
57. Amend subpart B by adding Sec. 45.10 to read as follows:
Sec. 45.10 Identification.
No person may identify a product, part, appliance, or TSO article
in accordance with this subpart unless--
(a) That person produced the product, part, appliance, or TSO
article--
(1) Under part 21, subpart F, G, K, or O of this chapter; or
(2) For export to the United States under the provisions of an
agreement between the United States and another country or jurisdiction
for the acceptance of products, parts, appliances, and TSO articles;
and
(b) That product, part, appliance, or TSO article conforms to its
approved design, and is in a condition for safe operation; and, for a
TSO article; that TSO article meets the applicable performance
standards.
58. Revise Sec. 45.11 to read as follows:
Sec. 45.11 Identification of products.
(a) Aircraft. A manufacturer of aircraft covered under Sec. 21.182
of this chapter must identify each aircraft by a fireproof
identification plate that--
(1) Must be marked with the information specified in Sec. 45.13
using an approved method of fireproof marking;
(2) Must be secured in such a manner that it will not likely be
defaced or removed during normal service, or lost or destroyed in an
accident; and
(3) Except as provided in paragraphs (d) through (h) of this
section, must be secured to the aircraft fuselage exterior so that it
is legible to a person on the ground, and must be either adjacent to
and aft of the rear-most entrance door or on the fuselage surface near
the tail surfaces.
(b) Aircraft engines. A manufacturer of an aircraft engine or
module of a modular engine configuration, as defined by the type
design, produced under a type certificate or production certificate
must identify each engine or module by a fireproof identification plate
that--
(1) Must be marked with the information specified in Sec. 45.13
using an approved method of fireproof marking;
(2) Must be affixed to the engine at an accessible location; and
(3) Must be secured in such a manner that it will not likely be
defaced or removed during normal service, or lost or destroyed in an
accident.
(c) Propellers and propeller blades and hubs. Each person who
produces a propeller, propeller blade, or propeller hub under a type
certificate or production certificate must identify each product or
part using an approved fireproof method. This identification must--
(1) Be placed on a non-critical surface;
(2) Contain the information specified in Sec. 45.13;
(3) Not likely be defaced or removed during normal service; and
(4) Not likely be lost or destroyed in an accident.
(d) Manned free balloons. A manufacturer of manned free balloons
must identify each balloon by the identification plate required by
paragraph (a) of this section. The plate must be secured to the balloon
envelope and must be located, if practicable, where it is legible to
the operator when the balloon is inflated. In addition, the basket and
heater assembly must be permanently and legibly marked with the
manufacturer's name, part number (or equivalent), and serial number (or
equivalent).
[[Page 58952]]
(e) Aircraft manufactured before March 7, 1988. The owner or
operator of an aircraft manufactured before March 7, 1988, must
identify the aircraft by the identification plate required by paragraph
(a) of this section. The plate must be secured at an accessible
exterior or interior location near an entrance, if the model
designation and builder's serial number are also displayed on the
exterior of the aircraft fuselage. The model designation and builder's
serial number must be--
(1) Legible to a person on the ground;
(2) Located either adjacent to and aft of the rear-most entrance
door or on the fuselage near the tail surfaces; and
(3) Displayed in such a manner that they are not likely to be
defaced or removed during normal service.
(f) For powered parachutes and weight-shift-control aircraft, the
identification plate required by paragraph (a) of this section must be
secured to the exterior of the aircraft fuselage so that it is legible
to a person on the ground.
(g) The identification plate required by paragraph (a)(3) of this
section may be secured to the aircraft at an accessible location near
an entrance for--
(1) Aircraft produced for--
(i) Operations under part 121 of this chapter;
(ii) Commuter operations (as defined in Sec. 119.3 of this
chapter); or
(iii) Export.
(2) Aircraft operating under part 121 of this chapter and under an
FAA-approved continuous airworthiness maintenance program; or
(3) Aircraft operating in commuter air carrier operations (as
defined in Sec. 119.3 of this chapter) under an FAA-approved
continuous airworthiness maintenance program.
(h) Gliders. Paragraphs (a)(3) and (e) of this section do not apply
to gliders registered or to be registered in the United States.
59. Amend Sec. 45.13 as follows:
(a) Revise the heading to read as set forth below.
(b) Remove the words ``and (b)'' from paragraph (a) introductory
text and add in their place the words ``through (c).''
(c) Remove the words ``of this part'' from paragraph (c).
Sec. 45.13 Product identification data.
* * * * *
Sec. 45.14 [Removed]
60. Remove Sec. 45.14.
61. Revise Sec. 45.15 to read as follows:
Sec. 45.15 Identification requirements for parts, appliances, and TSO
articles.
(a) Parts and appliances. The manufacturer of a part or appliance
must permanently and legibly mark each part or appliance and each
component of each part or appliance with the following:
(1) The name, trademark, symbol of the production approval holder,
or the FAA-issued production approval number; and
(2) Part number.
(b) TSO articles. The manufacturer of a TSO article must
permanently and legibly mark--
(1) Each TSO article and each component of a TSO article according
to the requirements of paragraph (a) of this section; and
(2) Each TSO article, unless otherwise specified in the applicable
TSO, with the TSO number and letter of designation, all markings
specifically required by the applicable TSO, and the serial number or
the date of manufacture of the article or both.
(c) Critical parts. Each person who manufactures a part or
component for which a replacement time, inspection interval, or related
procedure is specified in the Airworthiness Limitations section of a
manufacturer's maintenance manual or Instructions for Continued
Airworthiness must permanently and legibly mark that part or component
with a serial number (or equivalent) in addition to the other
applicable requirements of this section.
(d) If the FAA finds a part or component is too small or otherwise
impractical to mark with any of the information required by this part,
the manufacturer must attach that information to the part or component
or its container.
Sec. 45.16 [Amended]
62. Amend Sec. 45.16 by removing the last sentence.
Issued in Washington, DC on September 21, 2006.
John J. Hickey,
Director, Aircraft Certification Service.
[FR Doc. 06-8281 Filed 10-4-06; 8:45 am]
BILLING CODE 4910-13-P