58914 Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 

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). 

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. 


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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— 

Most transport category aircraft were manufactured in the U.S. ............. Transport category aircraft are manufactured in a global environment. 

The typical business model consisted of a production certificate holder 

with a relatively small number of suppliers..

The number of suppliers has increased dramatically. These suppliers 

manufacture a greater percentage of a given aircraft 

These suppliers were mainly located in the U.S. .................................... Suppliers are located all over 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 manufacture of replacement 

parts.

The production of replacement parts under parts manufacturer approvals has increased dramatically. 

The international market for aviation products was relatively small ........ The international market for aviation products has increased dramatically. 

The U.S. had few bilateral agreements with other countries for the export and import of aviation products. These agreements were limited 

in scope.

The U.S. has approximately 30 bilateral agreements with other countries. These agreements have, in comparison, a much broader 

scope. 

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 § 21.143(a)(1), 

but the proposal would extend it to 

PMA and TSO authorization holders 

also. Refer to proposed §§ 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 § 21.137(a) through 

(o) of subpart G. These requirements 

would be incorporated by reference into 

subparts K and O (proposed §§ 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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Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 58917 

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, computerbased medium. 

Location of or Change to Manufacturing 

Facilities 

This proposal would standardize the 

language of current §§ 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 

§§ 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 § 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 

§§ 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 §§ 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 §§ 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 §§ 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 

§§ 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, § 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. 


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58918 Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 

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 typecertificated 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 § 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 Certificates ................. Require an applicant for a TC or STC 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 Certificates.Require an applicant for a major change in type design to provide a statement certifying the 

applicant has shown compliance with applicable requirements. 

Part 21 Subpart F—Production under Type Certificate.Require a person producing under a 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 Certificates ....... Enhance quality system requirements 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 Certificates ... Allow for issuing an airworthiness certificate for an aircraft imported to the U.S. via an export 

certificate of airworthiness if—

• Type certificated in accordance with §§ 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 Manufacturer Approvals.Revise subpart K, using proposed subpart G as a model, to reduce the scope of subpart K to 

PMAs only: 

Move §§ 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 § 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. 


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This NPRM proposes to amend 14 CFR— To—

Add a statement of compliance requirement for PMA applicants. 

Part 21 Subpart L—Export Airworthiness Approvals.Completely revise subpart L to 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 § 21.323(b) restrictions related to who may obtain an export airworthiness approval 

for Class III products. 

Remove § 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 Aircraft Engines, Propellers, and Articles for Import.Correct subpart N and its title to replace ‘‘approval’’ with ‘‘acceptance.’’ Design approvals are 

not issued under part 21 subpart N. Mark each article in accordance with part 45. 

Part 21 Subpart O—Technical Standard Order 

Approvals.

Rewrite subpart O using proposed 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 of Products, 

Parts, Appliances, and TSO Articles.

Add requirements governing who must mark products, parts, appliances, 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 


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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 typecertificated 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 

§ 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 

§ 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 


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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 § 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, § 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 

§ 21.3(d)(2) to clarify that approvals, not 

type certificates, are issued under 

proposed § 21.621. 

This proposal would amend 

§ 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, § 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 § 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 

§ 21.305 from subpart K to allow us to 

limit subpart K to PMA requirements 

only. It would also amend § 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 

§ 21.303(a) and (b) from subpart K and 

combine them into one paragraph as 

§ 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 § 21.9(a)(4) would allow 

manufacturers to produce ‘‘commercial 

parts,’’ as defined in proposed § 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 § 21.50; 

• Maintains current commercial parts 

lists to reflect design changes; and 

• Records FAA approval of both the 

lists and their revisions. 

Proposed § 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 § 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. 


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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 

§ 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 typecertificated 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 typecertificated 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 typecertificated products, then these 

manufacturers must not produce the 

parts, unless they meet one of the 

conditions of proposed § 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 § 21.9(a) has identified typecertificated 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 § 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 § 21.9(b), such 

statements would be prohibited if they 

were false or misleading. 

This proposal would also add new 

§ 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 §§ 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 § 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 § 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 § 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 


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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 § 21.20. 

Subpart E—Supplemental Type 

Certificates 

Section 21.117 Issue of Supplemental 

Type Certificates 

This proposal would amend § 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 

§ 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 § 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 § 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 typecertificated 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 § 21.123(c) is based on 

existing § 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 


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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 § 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 tenyear minimum record retention 

requirement is adequate for critical 

components. 

This proposal would add new 

§ 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 

§ 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 

§ 21.146(d) later in this preamble. 

This proposal would remove current 

§ 21.123(c) and (d) and replace them 

with proposed § 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 § 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 § 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 § 21.130 to 

those producing under a PC, PMA, or 

TSO authorization, in the form of an 

airworthiness approval requirement. See 

proposed §§ 21.146(d), 21.316(d), and 

21.616(d), respectively. 

The statement required under existing 

§ 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 § 21.130 that 

are redundant to those currently found 

in §§ 21.127(a), 21.128, and 21.129, 

while retaining the conformity 

statement requirement in proposed 

§ 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 § 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 § 21.183(d) for 

surplus military aircraft. Having a 

conformity certificate for that aircraft 

would satisfy existing § 21.183(d)(1). 

Subpart G—Production Certificates 

Section 21.137 Quality system 

Proposed § 21.137(a) is based on 

current § 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 § 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 § 21.137(c) is based on 

current § 21.143(a)(2) and (b) and 

§ 21.303(h)(1) and (2) and would require 

manufacturers to establish procedures to 

control conformity of each supplierfurnished product or article to its 

approved design before release for 

installation. For the purposes of this 

NPRM, a ‘‘supplier’’ is any person or 


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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 § 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 § 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 § 21.137(d) is based on 

current § 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 § 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 

§§ 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 § 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 § 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 § 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 § 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 § 21.137(i)(1) is based on 

current § 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 typecertificated 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 typecertificated 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 nonaviation purposes. 

Proposed § 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 § 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 § 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 § 21.137(l) is a new 

requirement for PC holders (and by 

cross reference for holders of PMAs and 

TSO approvals at proposed §§ 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. 


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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 § 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 § 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 

§ 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 

§§ 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 §§ 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 § 21.165(a) and for a holder of a TSO 

authorization in § 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 

§ 21.165(b), a PMA in § 21.303(k), and a 

TSO authorization in § 21.607(a). This 

proposal would also retain other current 

requirements in § 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 § 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 nonU.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 


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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 §§ 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 

§ 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 § 21.303(h)(6) and 

a TSO authorization in § 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 § 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 § 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 § 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 § 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 § 21.21 or § 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, § 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 § 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 § 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 § 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 § 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 § 21.25 or 

§ 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 


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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 § 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 § 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 

§ 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 § 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 § 21.325(b)(1) 

to proposed § 21.137(e). The purpose of 

this change is to place all productionrelated 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 

§ 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 § 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 


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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 

§ 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 § 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 

§ 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, 

If a—

Is in a foreign location, may an export airworthiness 

approval be issued for that item under the 

current regulation? 

Is in a foreign location, may an export airworthiness 

approval be issued for that item under the 

proposed regulation? 

New aircraft .......................... No. 

New engine or propeller ...... No. 

Used aircraft ......................... Yes, if no undue burden on the FAA .............................. Yes, if no undue 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 

§ 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 § 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 

§ 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 


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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 § 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 

§ 21.331(b) and § 21.325(c) to put 

exceptions to proposed § 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, § 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 § 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 § 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 § 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 


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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, § 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 § 21.502 for 

importing these articles into the United 

States. 

Subpart O—Technical Standard Order 

Approvals 

Section 21.603 Application 

Proposed § 21.603(a) is based on 

existing § 21.605(a)(1) and (2) with 

minor edits for consistency. (Existing 

§ 21.605(a)(3) is removed because it is 

addressed under proposed § 21.607.) 

Proposed § 21.603(b) is a redesignation 

of existing § 21.605(b). (Existing 

§ 21.605(c) is relocated to proposed 

§ 21.611.) 

Proposed § 21.603(c) is based on 

existing § 21.605(d) and (e) and 

eliminates some of the overlap of these 

paragraphs. Under proposed § 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 § 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 § 45.10 

and expand it to apply to all production 

approval holders. This proposal would 

relocate existing § 21.603(b) to proposed 

§ 21.613(b). 

This proposal would remove existing 

§ 21.603(c). The TSO standards listed in 

§ 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 

§ 21.603(c). 

Section 21.611 Issuance 

Proposed § 21.611 is based on existing 

§ 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 § 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 § 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 

§ 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 


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58932 Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 

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 § 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 § 21.123(c) warrants further 

explanation. Eighteen months after 

adoption of the proposed changes to 

§ 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. 


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DERIVATION TABLE FOR PART 21 SUBPART G—Continued 

Proposed section— Based on—

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). 


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DERIVATION TABLE FOR PART 21 SUBPART L—Continued 

Proposed section— Based on—

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). 


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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). 


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58936 Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 

DISTRIBUTION TABLE FOR PART 21 SUBPART K—Continued 

Current section— Replaced by—

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 (a)(3) ............................................... 21.601(a) and 21.601(a)(1) 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). 


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DISTRIBUTION TABLE FOR PART 21 SUBPART O—Continued 

Current section— Replaced by—

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, § 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 × 

$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. 


pwalker on PRODPC60 with PROPOSALS2
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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 typecertificated 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 largebusiness 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 


pwalker on PRODPC60 with PROPOSALS2
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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 § 21.9(a)(4) would allow 

manufacturers to produce ‘‘commercial 

parts,’’ as defined in proposed § 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 § 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 


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58940 Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 

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 frontloaded 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. 

Regulation Undiscounted 

total costs 

Discounted 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 Certificates ........................................................................................................... 0 0 

Subpart D—Changes to Type Certificates .......................................................................................................... 0 0 

Subpart E—Supplemental Type Certificates ....................................................................................................... 0 0 

Subpart F—Production Under Type Certificate Only .......................................................................................... 360,000 206,400 

Subpart G—Production Certificates .................................................................................................................... 40,707,300 23,373,800 

Subpart H—Airworthiness Certificates ................................................................................................................ (4,155,500 ) (2,342,200 ) 

Subpart I—Provisional Airworthiness Certificates ............................................................................................... 0 0 

Subpart J—Delegation Option Authorization Procedures ................................................................................... 0 0 

Subpart K—Approval of Materials, Parts, Processes, and Appliances .............................................................. 91,506,000 52,692,200 

Subpart L—Export Airworthiness Approvals ....................................................................................................... (564,351,000 ) (323,561,300 ) 

Subpart N—Approval of Engines, Propellers, Materials, Parts, and Appliances: Import ................................... 0 0 

Subpart O—Technical Standard Order Authorizations ....................................................................................... 90,835,500 52,081,900 

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, Parts, and TSO Articles ......................................................................... 105,005,900 60,203,400 


pwalker on PRODPC60 with PROPOSALS2
Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 58941 

Regulation Undiscounted 

total costs 

Discounted total 

costs 

Total Costs ................................................................................................................................................... (238,770,500 ) (136,588,900 ) 

BREAKDOWN OF SUBPART L COST SAVINGS

Regulation section Undiscounted 

cost savings 

Discounted 

cost savings 

21.323: No Designated Manufacturing Inspection Representative required to export Class III products .............. ($95,552,000) ($54,783,200) 

21.325(c): Class II and III products do not have to be located in the U.S. to be exported ................................... (119,661,500) (68,605,900) 

21.329: No annual inspection requirements to export used aircraft ....................................................................... (7,765,000) (4,451,900) 

21.331: No overhaul requirements to export used engines and propellers ............................................................ (341,372,500) (195,720,300) 

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 § 1.1 by revising the 

definition of ‘‘Approved’’ to read as 

follows: 

§ 1.1 General definitions. 

* * * * * 


pwalker on PRODPC60 with PROPOSALS2
58942 Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 

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 § 1.2 by adding the 

following abbreviations in alphabetical 

order: 

§ 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 § 21.1 to read as follows: 

§ 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 § 21.2 to read as follows: 

§ 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 § 21.3 by revising 

paragraphs (a), (b), (d), (e)(3), and (f) to 

read as follows: 

§ 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 § 21.29 or under 

an approval issued under § 21.621; or 

(ii) Exported to the United States 

under § 21.502. 


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(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 § 21.5 by revising 

paragraph (a) to read as follows: 

§ 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 § 21.7 

to read as follows: 

§ 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 § 21.9 

to read as follows: 

§ 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 §§ 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. 

§ 21.15 [Amended] 

14. Amend § 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 

§ 21.20 to read as follows: 

§ 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. 

§ 21.21 [Amended] 

16. Amend § 21.21 by removing the 

words ‘‘the Federal Aviation 

Regulations’’ and adding, in their place, 

the words ‘‘this subchapter’’ wherever 

they appear. 

§ 21.27 [Amended] 

17. Amend § 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 § 21.29 to read as follows: 

§ 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 § 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 § 21.17; 

and 

(ii) The applicable airworthiness 

requirements of this subchapter as 

designated in § 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 § 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 


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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. 

§ 21.33 [Amended] 

19. Amend § 21.33(a) introductory 

text by removing the words ‘‘the Federal 

Aviation Regulations’’ and adding, in 

their place, the words ‘‘this 

subchapter.’’

§ 21.45 [Amended] 

20. Amend § 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 ‘‘§§ 21.133 

through 21.163’’ from paragraph (c) and 

add in their place the words ‘‘subpart G 

of this part.’’

21. Revise § 21.47 to read as follows: 

§ 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 § 21.53(a) to read as 

follows: 

§ 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. 

* * * * * 

§ 21.73 [Amended] 

23. Amend § 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 § 21.75 to read as follows: 

§ 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 § 21.97(a) to read as 

follows: 

§ 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 § 21.113 to read as follows: 

§ 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 § 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 § 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. 

§ 21.117 [Amended] 

27. Amend § 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 § 21.119(c) to read as 

follows: 

§ 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 

§ 21.122 to read as follows: 

§ 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 § 21.123 to read as follows: 

§ 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 §§ 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 

§§ 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 § 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 


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subpart G of this part within 6 months 

after the date of issuance of the type 

certificate. 

§ 21.125 [Removed and Reserved] 

31. Remove and reserve § 21.125. 

32. Revise § 21.130 to read as follows: 

§ 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. 

§ 21.131 Applicability. 

This subpart prescribes—

(a) Procedural requirements for 

issuing production certificates; and 

(b) Rules governing holders of those 

certificates. 

§ 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. 

§ 21.133 Application. 

Each applicant must apply for a 

production certificate in a form and 

manner prescribed by the FAA. 

§ 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. 

§ 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 supplierfurnished 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 § 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. 

§ 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. 

§ 21.139 Location of or change to 

manufacturing facilities. 

(a) If the FAA finds no undue burden 

in administering the applicable 


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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. 

§ 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. 

§ 21.141 Issuance. 

The FAA issues a production 

certificate after finding that the 

applicant complies with the 

requirements of this subpart. 

§ 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. 

§ 21.143 Duration. 

A production certificate is effective 

until surrendered, suspended, revoked, 

or the FAA otherwise establishes a 

termination date. 

§ 21.144 Transferability. 

The holder of a production certificate 

may not transfer the production 

certificate. 

§ 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 

§ 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 § 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 § 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. 

§ 21.146 Responsibility of holder. 

The holder of a production certificate 

must—

(a) Amend the document required by 

§ 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. 

§ 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 §§ 21.137, 21.138, and 

21.150. 

§ 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 § 21.183 by revising 

paragraphs (c), (d)(1), (d)(2), and (d)(3) 

to read as follows: 

§ 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 § 21.21 or § 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 

§ 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 


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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 § 21.185(c) to read as 

follows: 

§ 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 § 21.25 or § 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 § 21.195(d)(2) to read as 

follows: 

§ 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 § 21.197(c) to read as 

follows: 

§ 21.197 Special flight permits. 

* * * * * 

(c) Upon application, as prescribed in 

§§ 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 § 91.1411 of this 

part. 

§ 21.223 [Amended] 

38. Amend § 21.223 by removing the 

word ‘‘control’’ from paragraph (c). 

§ 21.225 [Amended] 

39. Amend § 21.225 by removing the 

word ‘‘control’’ from paragraph (b). 

§ 21.251 [Amended] 

40. Amend § 21.251 by removing the 

words ‘‘(FAA Form 8130–3)’’ from 

paragraphs (b)(4)(iii) and (b)(4)(iv). 

§ 21.253 [Amended] 

41. Amend § 21.253 by removing the 

words ‘‘(FAA Form 312)’’ from 

paragraph (a)(1). 

42. Revise § 21.267(d) to read as 

follows: 

§ 21.267 Production certificates. 

* * * * * 

(d) After placing the manufacturing 

and quality system data required by 

§ 21.137 with the data required by 

§ 21.293(a)(1)(ii), a statement certifying 

that this has been done. 

§ 21.271 [Amended] 

43. Amend § 21.271(a) by removing 

the words ‘‘(FAA Form 8130–3).’’

44. Revise § 21.293(a)(2) introductory 

text to read as follows: 

§ 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. 

§ 21.301 Applicability. 

This subpart prescribes—

(a) Procedural requirements for 

issuing PMAs; and 

(b) Rules governing holders of PMAs. 

§ 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. 

§ 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 


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functional relationship of those 

responsible for quality to management 

and other organizational components. 

§ 21.307 Quality system. 

Each applicant must establish a 

quality system that meets the 

requirements of § 21.137. 

§ 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. 

§ 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. 

§ 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 § 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 

§ 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. 

§ 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. 

§ 21.313 Duration. 

A PMA is effective until surrendered, 

withdrawn, or the FAA otherwise 

terminates it. 

§ 21.314 Transferability. 

The holder of a PMA may not transfer 

the PMA. 

§ 21.316 Responsibility of holder. 

Each holder of a PMA must—

(a) Amend the document required by 

§ 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. 

§ 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. 

§ 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. 

§ 21.321 Applicability. 

This subpart prescribes—

(a) Procedural requirements for 

issuing export airworthiness approvals; 

and 

(b) Rules governing the holders of 

those approvals. 

§ 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. 

§ 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. 

§ 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. 


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§ 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. 

§ 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 § 45.33. 

47. Revise subpart N to read as 

follows: 

Subpart N—Acceptance of Aircraft 

Engines, Propellers, and Articles for 

Import 

§ 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. 

§ 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. 

§ 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 § 21.621; 

(4) An article manufactured under a 

TSO authorization, an FAA letter of 

acceptance as described in § 21.613(b), 

or an article manufactured under a letter 

of TSO design approval described in 

§ 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. 

§ 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: 


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(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 

§ 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. 

§ 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. 

§ 21.607 Quality system. 

Each applicant must establish a 

quality system that meets the 

requirements of § 21.137. 

§ 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. 

§ 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. 

§ 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. 

§ 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). 

§ 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 §§ 21.3, 21.137(l), 

21.610, 21.613 through 21.619, and 

45.15(b). 

§ 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. 

§ 21.616 Responsibility of holder. 

Each holder of a TSO authorization 

must—

(a) Amend the document required by 

§ 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. 

§ 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. 

§ 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 

§ 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 

§ 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 

§ 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. 


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§ 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. 

§ 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 § 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 § 43.2(a)(2) by removing 

the reference to ‘‘§ 21.305 of this 

chapter’’ and adding in its place ‘‘part 

21 of this chapter.’’

51. Revise § 43.3(j)(3) to read as 

follows: 

§ 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 § 45.1 to read as follows: 

§ 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 

§ 45.10 to read as follows: 

§ 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 § 45.11 to read as follows: 

§ 45.11 Identification of products. 

(a) Aircraft. A manufacturer of aircraft 

covered under § 21.182 of this chapter 

must identify each aircraft by a fireproof 

identification plate that—

(1) Must be marked with the 

information specified in § 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 § 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 § 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). 


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58952 Federal Register / Vol. 71, No. 193 / Thursday, October 5, 2006 / Proposed Rules 

(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 § 119.3 of this chapter); or 

(iii) Export. 

(2) Aircraft operating under part 121 

of this chapter and under an FAAapproved continuous airworthiness 

maintenance program; or 

(3) Aircraft operating in commuter air 

carrier operations (as defined in § 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 § 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). 

§ 45.13 Product identification data. 

* * * * * 

§ 45.14 [Removed] 

60. Remove § 45.14. 

61. Revise § 45.15 to read as follows: 

§ 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. 

§ 45.16 [Amended] 

62. Amend § 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 


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