# Presentation: 663686

## Slide 1

- AC 43-210

## STANDARDIZED PROCEDURES FORREQUESTING FIELD APPROVAL OF DATAMAJOR ALTERATIONS, AND REPAIRSRICHMOND FSDOAPRIL 29, 2004

- AC 43-210

- AC 43-210

## INTRODUCTION	

- STANDARDIZED PROCEDURES FOR REQUESTING FIELD APPROVALS
- FIELD APPROVAL PROCESS
- SUPPORTING DATA
- PURPOSES AND USES OF AFM
- ICA
- FIELD APPROVAL CHECKLIST

- AC 43-210

**Notes:**
This advisory circular (AC) describes standardized procedures for requesting field approvals for
certificated products. It describes the field approval process, data that supports making an
alteration or repair, and the purpose and uses of the Aircraft Flight Manual Supplements (AFMS)
and Instructions for Continued Airworthiness (ICA). This AC also gives instructions for
completing the Field Approval Checklist and shows a sample Compliance Checklist format.
This material is not regulatory, nor does it establish minimum standards. However, where terms
such as “must,” “shall,” and “will” are used in this AC, such use reflects actual regulatory
requirements.

## APPLICABILITY

- AIRCRAFT OWNERS
- AIRCRAFT OPERATORS
- AIRCRAFT MAINTENANCE TECH.
- CERTIFICATED REPAIR STATIONS
- ANY PERSON ENGAGED IN AIRCRAFT ALTERATIONS

- AC 43-210

## MAJOR OR MINOR?SOME DEFINITIONS

- MAJOR CHANGE TO TYPE DESIGN
- STC OR AMENDED TC (SEE AC-21-40 OR Order 8110.4)
- MAJOR ALTERATION
- MINOR ALTERATION
- MAJOR REPAIR

- AC 43-210

**Notes:**
Major Change:  Major alterations or repairs that are major changes to type design require an
amended TC or STC. AC 21-40, Application Guide for Obtaining a Supplemental Type
Certificate, provides guidance on the STC application process. FAA Order 8110.4, Type
Certification, as amended, offers FAA inspectors guidance on the process.

Major Alteration. An alteration that is not listed in the aircraft, engine, or propeller
specifications that also fits one or more of the following: An alteration that might appreciably
affect airworthiness by changing weight, balance, structural strength, performance, powerplant
operation, flight characteristics, or other qualities affecting airworthiness; is not done by
accepted practices; or cannot be done by elementary operations.

Major Repair. A repair that, if improperly done, might affect weight, balance, structural
strength, performance, powerplant operation, flight characteristics, or other qualities affecting
airworthiness, or is not done by accepted practices or cannot be done by elementary operations.

## APPROVED DATA OR NO?

- APPROVED DATA MUST COVER **ALL** OF THE WORK
- EXCEPT FOR SOME MAJOR REPAIR DATA, (service bulletins, etc.,) APPROVED DATA WILL HAVE AN FAA AUTHORIZED SIGNATURE ACCOMPANYING THE DATA.

- AC 43-210

**Notes:**
APPROVED DATA: Technical data that was examined and approved (for major alterations
and repairs) through applicable FAA authority, and previously approved documents such as
FAA-approved manufacturers’ service bulletins. This includes, but is not limited to, Type
Certificate Data Sheets (TCDS) (aircraft specifications), supplemental type certificates (STC),
Airworthiness Directives (AD), manufacturers’ FAA-approved data, Designated Engineering
Representative (DER)-approved data, and Designated Alteration Station (DAS)-approved data 
developed for alterations performed by that station only. (See paragraph 201a for more
information.)

## WHO CAN A.R.T.S. AFTER MAJOR REPAIR OR ALTERATION

- Holder of an Inspection Authorization (**approved** data req’d).
- Air Carrier with Continuous Airworthiness Maintenance Program OPSS (**approved** data req’d).
- Repair Station (limited to **approved** technical data).

- AC 43-210

**Notes:**
Part 65.95,
Part 134.437(b)
Part 145.201(a)(3)
Note that the approved data is required at the moment of Approval for Return to Service.  

WHO CAN SIGN MINOR ALTERATIONS???

## GOT APPROVED DATA?

- IF YOU HAVE APPROVED DATA THAT COVERS **ALL** OF THE WORK, JUST COMPLETE THE AIRCRAFT MAINTENANCE RECORDS and SUBMIT THE FAA FORM 337  WITH APPROVED DATA AS DESCRIBED IN
- AC 43-9(C) AIRCRAFT MAINTENANCE RECORDS AND
- AC 43.9-1(E) INSTRUCTIONS FOR COMPLETING FAA FORM 337

- AC 43-210

**Notes:**
Note that a form 337 is required in ADDITION to the maintenance record entry required by Part 43.9.  

The criteria for all maintenance record entries is in Section 91.417(a)(l)(i), and Part 43.9. Requires the maintenance record entry to include “a description of the work performed.” 
The description should be in sufficient detail to permit a person unfamiliar with the work to understand what was done, and the methods and procedures used in doing it. When the work is extensive, this results in a voluminous record. To provide for this contingency, the rule permits reference to technical data acceptable to the administrator in lieu of making the detailed entry. Manufacturer’s manuals, service letters, bulletins, work orders, FAA AC’s, and others, which accurately describe what was done, or how it was done, may be referenced. Except for the documents mentioned, which are in common usage, referenced documents are to be made a part of the maintenance records and retained in accordance with section 9 1.417(b).

## NEED DATA APPROVED?

- AC 43-210 IS JUST THE PLACE FOR YOU!

- AC 43-210

**Notes:**
So 
If you’ve decided that the work you want to do is a major alteration, and
That it is not a major change in type design requiring an STC, etc. 
And you’ve decided that you do not have previously approved data to cover the entire project
Then this advisory circular, 43-210 is the place to go for guidance.  

## OVERVIEW OF THE STEPS

- DO YOUR HOMEWORK
- CREATE A STANDARD DATA **(SDP)** PACKAGE AS DESCRIBED IN THE AC
- SUBMIT THE SDP TO THE LOCAL FSDO
- INTERACT WITH THE ASI
- RECEIVE A FINAL RESPONSE

- AC 43-210

**Notes:**
The most important step you can take to get a field approval is to establish clear lines of
communication with the FAA. After determining that you need a field approval, contact your
local FSDO and an ASI will be assigned to your project. Let the ASI know what you are
planning to do and your proposed schedule to complete the alteration or repair. Have as much
information available as possible during this first contact or visit with the ASI. Do not cut metal,
string wire, or install equipment until the field approval is granted. If you need frequent field
approvals, discuss establishing set procedures for future approvals with the ASI.
b. FAA ASIs are the only persons who can perform field approvals. However, not all FAA
ASIs are authorized to perform field approvals, or their approval authority may be limited. If the
ASI you are working with cannot assist you with your project, he or she may contact another
ASI to help you. This ASI may be at his or her office, at another FSDO, or at a FSDO in another
FAA region. Also review Chapter 2, paragraph 202 to see how Designated Engineering
Representatives (DER) can help support your field approval request.

## WHAT WILL THE ASI DO

- EVALUATE THE DATA
- AND IF NECESSARY
- REQUEST ADDITIONAL DATA
-  FORWARD TO ANOTHER ASI
- REQUEST ENGINEERING HELP (ACO)
- OR
- APPROVE THE DATA, OR
- DENY THE REQUEST—IN WRITING

- AC 43-210

## WHAT ARE THE REASONS FOR DENIAL

- MINOR ALTERATION—NO 337 NEEDED
- MAJOR  CHANGE—STC NEEDED
- DATA IS ALREADY APPROVED—NO FURTHER APPROVAL IS NEEDED
- ALTERATION CONTRARY TO SAFETY
- CONTINUED FAILURE TO PROVIDE AN ADEQUATE SDP—FAA TERMINATES THE PROJECT

- AC 43-210

## WHAT IS IN THE SDP

- Field Approval Checklist
- Copies of supporting data including any previously approved data
- FAA Form 337 **not** signed in block 6 or 7

- AC 43-210

**Notes:**
The SDP is not the only way to organize and present data to the FAA when requesting a
field approval, but should help speed up the process. Appendix 1 of the Advisory circular has a copy of the Field
Approval Checklist and instructions for completing it.

## DATA

- CHAPTER 2 OF THE AC PROVIDES ALL YOU NEED TO KNOW ABOUT SUBSTANTIATING DATA.
- APPROVED DATA
- ACCEPTABLE DATA
- DER APPROVAL OF DATA AND
- DER LIMITATIONS

- AC 43-210

## THE FIELD APPROVAL PROCESS

- RESEARCH
- OBTAIN FIELD APPROVAL
- PERFORM THE ALTERATION

- AC 43-210

## RESEARCH

- THOROUGHLY UNDERSTAND WHAT IS INVOLVED IN THE ALTERATION AND HOW THE AIRCRAFT AND ITS OTHER SYSTEMS WILL BE AFFECTED BY THE WORK YOU PLAN TO DO.
- THOROUGHLY UNDERSTAND HOW THE APPROVED OPERATION(S) OF THE AIRCRAFT BE AFFECTED

- AC 43-210

## RESEARCH

- REGULATIONS INVOLVED
- Part 21, 23, 25, etc. (Airworthiness Rules)
- Part 91, 121, 135 (Operating Rules)
- Review FAA Order 8310.6 Airworthiness Compliance Check Sheets (reprinted)
- FAA Technical Advisory Circulars

- AC 43-210

**Notes:**
Review FAA Order 8310.6, Airworthiness Compliance Check Sheets Handbook.
This order contains a variety of checklists that can help you determine if all of the applicable
rules and regulations have been considered. This document does not contain every possible
alteration, but includes many common ones. The compliance checklist specifies each
certification rule and the method by which compliance is shown (e.g., analysis, structural test,
ground test, flight test, and so forth). It provides a concise, easily-reviewed list to help ensure
that relevant certification rules and their means of compliance are addressed. For determining
design loads, review AC 43.13-2, Chapter 1, Structural Data.  

Caution: this document has not been revised since October 1971.  It does not cover many new systems and may not adequately cover certain rules that might apply to the work you will be doing.  

Technical Advisory Circulars have a section (usually section 7) which is entitled “Airworthiness Criteria” or “Airworthiness Considerations.”   

## RESEARCH

- AIRCRAFT TECHNICAL REQUIREMENTS
- Previous Alterations
- Acft Manufacturer’s Data
- Service Bulletins
- STSs already approved
- Other Field Approvals
- Flight Manual Supplements

- AC 43-210

**Notes:**
CHAPTER 4. AIRCRAFT FLIGHT MANUAL SUPPLEMENTS (AFMS)
400. What is the purpose of an AFMS and under what circumstances do I need to create
one?
401. How do I create an AFMS?
402. What happens during the AFMS approval process?

## RESEARCH

- Equipment manufacturer’s technical data
- Installation manuals
- STCs
- Other data

- AC 43-210

## RESEARCH

- INSTURCTIONS FOR CONTINUED AIRWORTHINESS
**CHAPTER 5. INSTRUCTIONS FOR CONTINUED AIRWORTHINESS (ICA)**

- AC 43-210

**Notes:**
CHAPTER 5. INSTRUCTIONS FOR CONTINUED AIRWORTHINESS
(ICA)
500. Why does my alteration need ICAs?
501. What value does an ICA have for my alteration?
502. What needs to be in the ICAs?
503. Does the FAA approve ICAs?
504. What are the requirements for an ICA?
505. What do I do with the ICA after the FAA has accepted it?
506. What are the requirements for ICAs for aircraft originally certificated under the
CAR?
507. Are there circumstances under which field-approved equipment does not need to be
operational?
508. When should an ICA be revised?
509. May I use the ICA Checklist (Figure 1) for all types of major alterations?

## Obtain Field Approval

- PREPARE THE SDP

- AC 43-210

**Notes:**
Appendix 1 of the Advisory Circular contains the checklist and detailed instructions for completing it.  
When requesting a field approval, you may use this form (checklist) to provide the requested data, forms,
descriptive items, and other information. 
If you do not use this form (checklist), an equivalent method for
presenting the information and data may be used. The checklist form (or equivalent), its
attachments, Federal Aviation Administration (FAA) Form 337, Major Repair and Alteration
(Airframe, Powerplant, Propeller, or Appliance), and the data make up the Standard Data
Package (SDP). 

Item 1—Aircraft. Information to complete the Make, Model, and Serial Number blocks will be
found on the aircraft manufacturer’s identification plate. The Registration Number is the same
as shown on AC Form 8050-3, Certificate of Aircraft Registration (the N number).
NOTE: Only U.S.-registered aircraft are eligible for field approvals.
Item 2—Applicant. Enter the applicant’s name, address, and telephone number.
Item 3—Type of Product and Certification Basis. On the upper line, enter a check mark in
the appropriate box to identify the item being approved. If you check Other and enter the
product’s description in the space provided. On the bottom line, check the box that identifies
how your aircraft or product was certificated. If you don’t know this information, you can find it
on the Type Certificate Data Sheet (TCDS) for your aircraft or engine. On the TCDS, look in
the section titled Certification Basis.

## FIELD APPROVAL CHECKLIST

- AC 43-210

**Notes:**
Item 4—Brief Description of Project. Using the space provided, enter a short summary of the
proposed alteration or repair, e.g., “Installing a GPS in the instrument panel above the right
yoke.” If additional space is needed, attach a continuation page and make a note of that on the
form in this area.
Item 5—Schedule for Completion of Project. On the first line, enter the date when you need
the field approval. On the second line, enter the date when you plan to start the work, and on the
last line, enter the date when you expect to have the work done.

## FIELD APPROVAL CHECKLIST

- AC 43-210

**Notes:**
Item 6—Who Will Perform the Alteration or Repair? On the top line, enter the name of the
certificated mechanic who will be doing the work. If a repair station is doing the work, leave the
mechanic’s name blank and enter the name of the repair station. On the second line, enter the
mechanic’s A&P certificate number, or if a repair station is doing the work, their certificate.
Also enter a contact name if you are using a repair station. If the ASI doing the approval has a
question and you are not available, this will make it easier for him or her to find someone
knowledgeable about the project. On the third line, give the telephone number for the mechanic
or the repair station doing the work. On the bottom line, enter where the work will be done.
This should be as complete as possible.
Item 7—Designees (DARs and DERs). If you are working with any Designated Engineering
Representatives (DER) or Designated Airworthiness Representatives (DAR) for this project,
include their names and telephone numbers in case the ASI needs to contact them for additional
information or clarification. DERs have limitations to their authorization(s). If you are working with 
a designee, check with him or her to make sure that the work you want the designee to do is
within the scope of his or her authorization.

## FIELD APPROVAL CHECKLIST

- AC 43-210

**Notes:**
Item 8—Compliance Statement and Compliance Checklist. Before completing the alteration
or repair to your aircraft, be aware that after it has been altered or repaired the aircraft must still
meet its certification basis. In block 8 you include the proof (data) that it still does. Your
compliance statement should explain how your aircraft still meets its certification basis. For
example, if you want to modify the wheels of your small airplane, you would need to ensure that
the altered wheels still conform to Title 14 of the Code of Federal Regulations (14 CFR) part 23,
section 23.731. The compliance checklist will list each affected 14 CFR/Civil Air Regulation
(CAR) and indicate how compliance was shown. This checklist is created by the person doing
the alteration or repair and should address each section of the regulations applicable to the
project. Appendix 2, has a sample compliance checklist format.
Item 9—Previous Alterations or Repairs that May be Affected by This Alteration. Look at
the aircraft and review its records to determine if there are any modifications, Supplemental
Type Certificates (STC), alterations, or repairs that could cause a problem or conflict with the
proposed alteration or repair. If an FAA Form 337 was completed for any alteration or repair
that might be affected, include it. If a logbook entry was made concerning the work done, make
a copy of that entry and include it in your package. Photographs and drawings of previous
alterations or repairs that might be a factor can also be very helpful.
Item 10—Instructions for Continued Airworthiness (ICA). In this attachment, describe how
you will keep the altered or repaired part of the aircraft airworthy. This might include
inspections that need to be done each 100 hours or during the annual inspection. These should
be specific instructions that include what should be looked at and minimum or maximum
measurements of parts for wear or deterioration. Troubleshooting, functional checks, installation
and removal procedures, and servicing requirements, such as fluid change intervals or lubrication
schedules, are also items that would be included. Figure 1 provides guidance and a sample
checklist for creating ICAs.
Item 11—Aircraft Flight Manual Supplement (AFMS). If you have an AFMS for your
alteration, include a copy of it. Guidance for creating an AFMS is available in Advisory Circular
(AC) 23-8, Flight Test Guide for Certification of Part 23 Airplanes, as amended. Appendix 5 of
AC 23-8 has a sample format that can be used.

## FIELD APPROVAL CHECKLIST

- AC 43-210

**Notes:**
Item 12—Data Attached. A list of the data that is commonly included in the SDP is available.
If the data you are attaching is included on this list, check the appropriate box. If you have data
or information that is not included in this list, check the box labeled Other and enter a short
description of what you are including in the space provided. Include ICA if aircraft was issued a
type certificate (TC) after January 28, 1981.
For complicated alterations, a detailed inventory of all attachments may be useful.  

## FIELD APPROVAL CHECKLIST

- AC 43-210

**Notes:**
Item 13—FAA Use Only. Don’t write or mark in this area, it is for FAA use only.

## COMPLIANCE CHECKLIST

- AC 43-210

**Notes:**

APPENDIX 2. SAMPLE COMPLIANCE CHECKLIST FORMAT
The compliance checklist documents which regulations are applicable to the requested field
approval and how compliance with those regulations was shown. Instructions for completing
this sample compliance checklist are as follows:
1. Title 14 of the Code of Federal Regulations (14 CFR) Part/Civil Air Regulations
(CAR) Paragraph. Specific applicable regulations may be listed by number, e.g., 14 CFR
part 23, section 23.1353.
2. Subject. The subject or title of the 14 CFR part/CAR applicable paragraphs, e.g., storage
battery design and installation, should be listed.
3. Method of Compliance. The method of compliance may include design drawings (D),
analyses (A), tests (T), or other methods (O). Some compliance checklists simply list the letter
corresponding to the applicable methods of compliance. Other compliance checklists reference
specific data by title or number. You and the ASI should agree on the format.
4. Documentation Reference. List the documentation (test report number, analysis report
number, and so forth) that demonstrated compliance to the subject 14 CFR part or CAR
paragraph.

## OBTAIN FIELD APPROVAL

- Prepare the SDP (continued)
- Complete the FAA Form 337
- Do not sign blocks 6 and 7.
- Block 8 documents the alteration/repair and is the permanent record of the alteration/repair. This entry should be as complete as possible and contain all of the data that you have developed to substantiate the alteration or repair.

- AC 43-210

**Notes:**
Complete FAA Form 337. Complete FAA Form 337, with the exception of the
signatures in blocks 6 and 7. (The signatures are entered after the alteration or repair is
completed and inspected for conformance. AC 43.9-1, Instructions for Completion of FAA
Form 337 (OMB No. 2120-0020), Major Repair and Alteration (Airframe, Powerplant,
Propeller, or Appliance), as amended, provides guidance on how to complete this form.) 

Block 8 documents the alteration/repair and is the permanent record of the alteration/repair. This entry
should be as complete as possible and contain all of the data that you have developed to
substantiate the alteration or repair.

## OBTAIN FIELD APPROVAL

- Submit the SDP to the FSDO
- Contact the ASI
- Sent the package to the ASI
- Coordinate further DATA requirements with the ASI
- Schedule the inspection (if needed)

- AC 43-210

**Notes:**
a. Contact the FAA ASI. Contact your local FAA office and speak with an ASI who can
approve your alteration or repair. Discuss your alteration or repair with the ASI and determine if
you need to meet to review your request. Be as specific as possible about your needs and
especially your schedule.
b. Send the data package to the ASI. Arrange to get your data package to the ASI. Again,
the package needs to be as complete as possible. Using the checklist form will help you give the
ASI everything he or she needs; however, the checklist is only one way to organize your data,
and the ASI may request additional data or information.
c. Coordinate any further data requirements with the ASI. When the ASI has your data
package, he or she will review it for completeness. The ASI may ask for additional information
or data. Also, if the alteration or repair is complex, the ASI may need help from an ACO
engineer. If this happens, you should expect a delay.
d. Schedule an aircraft inspection (if needed). The ASI may need to inspect the aircraft to
perform the approval.

## OBTAIN FIELD APPROVAL

- ASI Evaluates the SDP
- ACO Role
- Flight Manual Supplement Approval
- Other ASI input

- AC 43-210

**Notes:**
305. What is the ACO’s role in the field approval process?
The ASI may need help reviewing the data. If so, an ASI typically will request assistance from
an engineer at the ACO. If necessary, the ASI will forward the data package to the ACO. The
ACO will review the proposed alteration(s) or repair(s) and concur or recommend changes. If
you are including an Aircraft Flight Manual Supplement (AFMS), the ASI may send it to the
ACO for approval. The review process can increase the amount of time it takes to get approval.
Chapter 4 discusses the AFMS and the process for getting one approved.

## FIELD APPROVAL

**3. **** ****For FAA**** ****Use Only**

**The data identified herein complies with the applicable airworthiness requirements and is approved for the above described aircraft, subject to conformity inspection by a person authorized in 14 CFR Part 43, Section 43.7.**
** **
**FAA AEA-FSDO-21, Richmond, Virginia.  _____________  __________________________****                                            Date           Elwyn L. Jordan**

- AC 43-210

## AFTER DATA FIELD APPROVAL

- After the alteration or repair data is approved you can proceed to alter or repair the article.
- Perform a conformity inspection as required by block 3 of the Form 337
- When the conformity inspection is complete, approve the aircraft or article for return to service according to Part 91.407(a), Part 43.9, and your RSM.
- Review the requirements of  Part 91.407(b) to see if a flight check should be performed.

- AC 43-210

**Notes:**
AN INTERESTING NOTE: Do not start the work until you have received your approval in
block 3 of FAA Form 337. As indicated earlier, some alterations and repairs
cannot be approved using the field approval process. Or, the inspector may
not be able to complete the approval as requested. If you start the work on
the aircraft before the approval is finalized, the work you do may not
conform to the alteration or repair as it is approved.

## AIRCRAFT RECORDS

- FORM 337 AND COMPLETE SET OF APPROVED DATA
- INSTRUCTIONS FOR CONTINUED AIRWORTHINESS
- FLIGHT MANUAL SUPPLEMENTS
- OPERATING GUIDES
- A.R.T.S. & Flight Check sign-off if required.
- WEIGHT AND BALANCE REVISION
- EQUIPMENT LIST AMENDMENT

- AC 43-210

**Notes:**
For major alterations, these are records that must be transferred with the ownership of the aircraft.  

## RECORDS TO FSDO

- FORM 337 AND COMPLETE SET OF APPROVED DATA
- FLIGHT MANUAL SUPPLEMENTS
- WE REVIEW THESE RECORDS AND THEN FORWARD THEM TO THE FAA’S AIRCRAFT RECORDS SECTION IN OKC

- AC 43-210

## REPAIR STATION RECORDS

- WORK ORDER
- FORM 337 AND COMPLETE SET OF APPROVED DATA
- INSTRUCTIONS FOR CONTINUED AIRWORTHINESS
- FLIGHT MANUAL SUPPLEMENTS
- A.R.T.S. & Flight Check sign-off if required.
- WEIGHT AND BALANCE REVISION
- EQUIPMENT LIST AMENDMENT

- AC 43-210

**Notes:**
Discussion on keeping these records.

## SUMMARY

- STANDARDIZED PROCEDURES FOR REQUESTING FIELD APPROVALS
- FIELD APPROVAL PROCESS
- SUPPORTING DATA
- PURPOSES AND USES OF AFM
- ICA
- FIELD APPROVAL CHECKLIST
- Records: Aircraft, FSDO, Repair Station

- AC 43-210

**Notes:**
Finally in one nationally produced document, we have a standard procedure for requesting field approvals.  
We discussed 
	the FA process and the SDP
	supporting data
	AFM
	ICA
	the Field Approval
	the field approval checklist
We briefly reviewed the aircraft, FSDO, and Repair Station records requirements after a major repair or alteration.  

## QUESTIONS?

- AC 43-210

## THANK YOU

- AC 43-210