Part 21 Transition Briefing

(File 2 of 5)

Segment 2- Major Changes in Subpart A-E

Presenter: Greg Edwards, Aircraft Engineering Division, AIR-100

Narration text: This segment covers major changes in Subparts A through E, which includes new or changed definitions and design or engineering changes.

Subparts A – E (Definitions)

Definitions

Narration text: An Article now has a consistent definition in part 21. It’s a material, part, component, process, or appliance. It was previously defined in various locations within Part 21. One previous location was § 21.601(b)(1), where it was defined for Subpart O only. Applying a single definition simplifies the regulatory language throughout part 21 and is supportive of our plain language initiative.

Next is a new definition. A Commercial Part is a part not specifically designed or produced for aircraft. It’s a part that the design approval holder has designated as a commercial part and the FAA has determined that the part is not specifically designed or produced for applications on aircraft. It’s also produced only under the commercial part manufacturer’s specification and marked only with the commercial part manufacturer’s markings. The FAA makes this determination when it reviews the application for a design approval. This includes changes to existing design approvals. The key here is that the design approval holder designates and the FAA agrees that the part is indeed a commercial part.

Design Approval is defined as a type certificate (which includes 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 here 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. All designs approved by us are now referred to as a Design Approval. In addition, “other approved design” is intended to include approvals that meet the proposed definition of “approved” in 14 CFR part 1.

Production Approval is defined as 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, again, to clarify that a PMA and a TSO authorization are dual approvals consisting of both a design approval and a production approval.

Subparts A – E (Definitions) continued

Narration text:

Airworthiness Approval is defined as an export certificate of airworthiness issued for an aircraft; or it could be a document issued for an aircraft engine, propeller or article. This certificate or document certifies 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. It still certifies 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. This is a simpler way to refer to these types of approvals.

The intent of the next two definitions 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.

State of Design means the State having jurisdiction over the organization responsible for the type design or other approved design. 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. State of Design includes 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.

State of Manufacture means 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.

Subparts A - E

21.3 – Reporting of failures, malfunctions, and defects.

21.9 – Relocates and combines former 21.303(a) & (b), and 21.305

21.20 – Applicant’s certifying statement

Narration text: § 21.3(f) reporting of failures, malfunctions and defects, is amended to require that all Production Approval Holders, instead of just TSO authorization holders, report the results of their investigations into certain accident or service difficulty reports to us. They have always had reporting requirements for 21.3(c) occurrences as other design approval holders, but were the only ones that were explicitly identified under 21.3(f) that had to report as a result of an accident or service difficulty report.

The entirely new § 21.9 Replacement and modification parts, is made up of previous §§ 21.303(a) and (b) from subpart K and combines the information into one paragraph as § 21.9(a). By moving these sections, it allows us to limit subpart K to PMA only. Furthermore, it amends the relocated sections to strengthen our ability to take compliance and enforcement action against producers of unapproved parts. There is little functional change to the PMA process brought on by the new § 21.9.

§ 21.20 Compliance with applicable requirements, is a new rule and in paragraph (a) requires an applicant for a type certificate, including an amended or supplemental type certificate, to show compliance with all applicable requirements and to provide the FAA the means by which such compliance has been shown. This sounds like a compliance check-list, now it’s in the regulations. Section 21.20 emphasizes that the applicant is responsible for satisfying all applicable requirements. The FAA has long-standing policy contained in 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 new rule 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. Section 21.97(a) has been changed in the same manner, requiring a compliance statement for a Type Certificate.

In paragraph (b) of 21.20, an applicant for a TC, including an amended or supplemental TC, must 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 §21.2 requirements related to fraudulent, intentionally false, or misleading statements.

Subparts A – E, cont.

21.47 – TC transfer changes

21.97 – Approval of major changes in type design

Narration text: Section 21.47 changes the requirement for the timing of the notification for TC transfers. It now requires notification before the transfer of a certificate or before executing or terminating a licensing agreement. This will provide us time to coordinate between our affected offices and to inform the prospective applicant of their responsibilities. Currently, the regulation requires each transferee to notify the FAA within 30 days. This will provide the FAA time to coordinate between affected FAA offices and to inform the prospective applicant of the responsibilities under this subchapter. It also revises this section to require a transferee 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 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 requirements.

A change to § 21.97(a) Approval of major changes in type design, is complementary to § 21.20 by requiring an applicant for an approval of a major change in type design to:

This reads just like § 21.20, Compliance with applicable requirements, and reiterates that a compliance checklist and statement of compliance are required for major changes too.

Questions and Answers about Major Changes in Subpart A - E

Greg Edwards, Aircraft Engineering Division, AIR-100 and Russell Burke, Course Manager, FAA Academy