January 30, 2012

SUBMITTED ELECTRONICALLY TO: Federal Docket Management System, 

www.regulations.gov

U.S. Department of Transportation

Docket Operations

West Building, Room W12-140

1200 New Jersey Avenue, SE

Washington, D.C. 20590-0001

RE: Pratt & Whitney Petition for Exemption from 14 CFR §§ 21.142, 21.146 and 21.147

Dear Ladies and Gentlemen:

Pursuant to 14 CFR part 111

, the Pratt & Whitney Division of United Technologies 

Corporation (P&W) hereby petitions for an exemption from §§ 21.142 and 21.147 to the 

extent necessary to amend its production limitation record (PLR) to allow the installation of 

certain Interface Components (IC) described in aircraft type certificates (TC) held by P&W’s 

commercial partners rather than P&W. Additionally, P&W requests an exemption from 

§ 21.146 to the extent necessary to manufacture completed engines that do not conform to 

their approved design solely because of the installed IC.

If the petition is granted the IC would be installed during the initial build of engines for which 

P&W is either the holder or licensee of FAA type design data.

2 The installation of the IC 

would then be accomplished under P&W’s production certificate number 2.

P&W has reviewed a similar request for exemption submitted by GE Aviation on August 19, 

2009 which was granted on June 15, 2010 and amended on September 27, 2010 (the GE 

exemption3

). P&W agrees with and incorporates the justification offered by GE in support of 

its petition. In addition, P&W agrees to comply with the conditions and limitations imposed 

by the FAA in its initial grant of the GE exemption as well as the September 2010 

amendment.

In accordance with § 11.83 P&W also requests that the FAA extend this relief to allow some 

of the manufacturing activities to be performed outside the United States in accordance with 

other provisions of part 21 that are not covered by this exemption request.

4 These

 1 All citations are to 14 CFR unless otherwise noted.

2 This may include type certificates issued under § 21.21 or § 21.29.

3 Exemption nos. 10079 and 10079A; docket number FAA-2009-0772

4 Section 21.139(a) requires the FAA to find that there would be no undue burden on the agency if the 

manufacturing facilities of a PC holder are located outside the United States. This includes, but is not 

117 North Henry Street, Alexandria, VA 22314–2903

Telephone 703.299.0784 Fax 703.299.0254

www.potomac-law.com

Marshall S. Filler Direct Dial - 703.451.7393

Admitted in the District of Columbia and Virginia E-Mail - marshall.filler@potomac-law.com
U.S. Department of Transportation

Docket Operations

January 30, 2012

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RE: Pratt & Whitney Petition for Exemption from 14 CFR §§ 21.142 and 21.147

responsibilities are fully described in contractual agreements between P&W and its various

commercial partners.

Pertinent Regulations and Guidance

Section 21.132 permits qualified persons to apply for a production certificate (PC) when 

they hold, for the affected product, a TC, supplemental type certificate (STC) or rights to a 

TC/STC under a licensing agreement. 

Section 21.142 states that the FAA issues a PLR as part of a PC. The PLR lists the TC

number and model of every product that the PC holder is authorized to manufacture. 

Section 21.147 specifies that the holder of a PC must apply for an amendment to that 

certificate in a form and manner prescribed by the FAA. The applicant for an amendment to 

a PC to add a TC or model, or both, must comply with the applicable requirements of 

§§21.137, 21.138, and 21.150.

The FAA’s Production and Airworthiness Division (AIR-200) clarified the above

requirements by issuing a memorandum on October 3, 2008 confirming that a PC/PLR may 

not be issued or amended based on partial or limited licensing agreements in order to 

permit production of only certain parts or components included in a TC or STC. The 

memorandum set forth several alternatives that would allow such activities to take place, 

including requesting and obtaining an exemption from §§ 21.142.5

 P&W has analyzed the 

options in the AIR-200 memorandum and concluded that an exemption is the best way to 

deliver a complete propulsion system for installation on the affected aircraft.

For these reasons, P&W requests an exemption from §§ 21.142 and 21.147. Additionally, 

P&W requests an exemption from § 21.146 to the extent necessary to manufacture 

completed engines that do not conform to their approved design solely because of the 

installed IC.

Background

P&W is the holder of numerous engine type certificates issued by the FAA and other 

National Aviation Authorities (NAA) or their technical agents. Additionally, P&W anticipates 

 

limited to extending a PC outside the United States. A similar finding is also required by § 21.325(c) 

before export airworthiness approvals may be issued for products located outside the United States. In 

both situations, bilateral agreements may authorize the execution of technical assistance arrangements 

which could mitigate a potential undue burden on the FAA. Such agreements are consistent with the 

standards in Annex 8, chapter 2 adopted by the International Civil Aviation Organization (ICAO). 5 The FAA exempted GE from complying with §§ 21.151 and 21.153. Subsequently, part 21 was 

amended and the corresponding new section numbers are §§ 21.142 and 21.147, respectively. The new 

sections contain the same requirements as the old rules with some minor editorial changes.
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January 30, 2012

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RE: Pratt & Whitney Petition for Exemption from 14 CFR §§ 21.142 and 21.147

that it will be the licensee of certain FAA-validated type certificates6 for which Canada is the 

State of Design.

It has become increasingly common for aircraft manufacturers and air carriers to request 

delivery of a complete propulsion system including the type-certificated engine plus other 

articles (i.e., the IC7

) that have been certificated under parts 23, 25, 27 or 29, as applicable.

In this case, the IC for affected aircraft engines includes the nacelle, engine mounts and 

various piece parts for the engine build unit (EBU).

The IC will be manufactured by suppliers to the aircraft TC holder and/or suppliers to P&W. 

In all cases, the aircraft TC holder will be responsible for the design and continued 

operational safety of all installed IC. The quality, manufacturing and installation of the IC 

would occur under the authority of P&W’s PC number 2 and the requested exemption.

Conditions and Limitations 

P&W has analyzed the 14 conditions and limitations that were made a part of the GE 

exemption and agrees to comply with the same. This includes, but is not limited to: (a) the 

division of responsibility for design, quality, manufacturing, installation and continued

airworthiness of the IC would be clearly defined, (b) the application for amending the PLR

would be submitted to P&W’s local Manufacturing Inspection District Office (MIDO), (c) an 

agreement would be executed between P&W and the aircraft TC holders authorizing P&W’s 

use of the TC holders’ IC data, (d) the exemption would be limited to IC installed in the initial 

engine build (i.e., shipment of spare IC would not be authorized under P&W’s PC), (e) 

amendments would be made to P&W’s quality manual and other procedures pertinent to the 

requested activities, (f) the exemption would be limited to those engines listed on P&W’s 

PC, (g) coordination would take place between P&W and the responsible FAA certification 

directorates prior to installing the IC into the engine, (h) procedures would be developed for 

dispositioning IC discrepancies through the aircraft TC holder’s Materials Review Board

system, (i) procedures would be developed for ensuring that the completed engine 

(notwithstanding the installed IC) conforms to its approved type design, the IC conforms to 

its approved type design and is in condition for safe operation, and the completed engine

with the installed IC is in condition for safe operation, and (j) airworthiness documentation

would reference the exemption and make the required certifications regarding the IC and 

the engine.

Public Interest and Safety Showing

It is undoubtedly in the public interest for production approval holders to manufacture 

aircraft and engines in the safest and most cost-efficient manner consistent with regulatory 

 6 See § 21.29, Issue of type certificate; import products 7 The IC include individual parts and kits comprising multiple parts.
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January 30, 2012

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RE: Pratt & Whitney Petition for Exemption from 14 CFR §§ 21.142 and 21.147

requirements and sound public policy. Similarly, it is in the public interest for the FAA to 

facilitate existing commercial arrangements between aircraft and engine manufacturers and 

their suppliers. To this end, many such contracts require the engine to be delivered as a 

complete propulsion system. This requires engine manufacturers to install articles

certificated under the airworthiness standards of parts 23, 25, 27 or 29 during the initial

engine build (i.e., prior to the engine’s complete assembly, test and identification). 

Granting the requested exemption would streamline the engine and aircraft manufacturing

process and potentially reduce the need for duplicative certification efforts associated with 

some of the other options described in the AIR-200 memorandum. More importantly, it

would enhance safety by reducing the risk of engine damage associated with installing the 

IC after the initial engine build and acceptance test was completed.

8 It would also facilitate 

quick engine changes on in-service aircraft by reducing the complexity of the maintenance 

process.

For these reasons and in accordance with § 11.81(e), granting the exemption would be in 

the public interest and result in a level of safety at least equal to that required by the 

regulations from which the exemption is sought.

Good Cause Exists to Issue the Exemption without Notice and Comment

P&W requests that the FAA issue the exemption without publication in the Federal Register 

for notice and comment as is normally required.

Section 11.87 lists four factors that the agency considers in deciding whether a petitioner 

has shown good cause for the FAA not to delay action on the petition. Those factors are set 

forth below in italics along with the company’s response in plain text:

(a) Whether granting the petition would set a precedent: The FAA has previously issued 

a similar exemption to GE; therefore, the request would not set a precedent. It 

should also be noted that the GE petition was published for comment in the Federal 

Register and none were received in response.

(b) Whether the relief requested is identical to exemptions previously granted: The relief 

is the same as that requested by GE and P&W agrees to comply with the same 

conditions and limitations imposed on the GE exemption, as amended.

 8 P&W has analyzed the potential adverse effects associated with having to partially disassemble the 

engine to install IC subsequent to the engine build and acceptance test. This includes possible damage to 

flight safety critical parts; scoring of fatigue sensitive parts; air, fuel and oil leaks and damage to the 

engine flange. Although processes have been developed to mitigate these adverse effects, the risks are 

eliminated if the IC are installed before completion of the engine build and acceptance test.
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RE: Pratt & Whitney Petition for Exemption from 14 CFR §§ 21.142 and 21.147

(c) Whether delaying action would adversely affect P&W: Delaying action for the full 120 

days or longer required for the notice and comment process will make it more 

difficult for P&W to make the necessary arrangements to conduct the requested 

activities. As the FAA is aware, granting the exemption will require the drafting and 

implementation of many new procedures in accordance with the anticipated 

conditions and limitations. Moreover, if the FAA publishes the petition for comment, 

P&W will be forced to expend resources making alternative business arrangements 

to manage the regulatory uncertainty associated with the delay.

(d) Whether the petition was filed in a timely manner: The petition is timely filed. 

In light of the above considerations P&W submits that good cause exists not to delay action 

on this request. 

Summary of Exemption Request

In accordance with § 11.81(e), P&W offers the following summary suitable for publication in 

the Federal Register in the event the FAA believes that good cause to waive publication has 

not been established.

The Pratt & Whitney Division of United Technologies Corporation petitions the 

FAA for an exemption from §§ 21.142, 21.146 and 21.147 to allow the 

installation of certain Interface Components (IC) described in aircraft type 

certificates (TC) held by P&W’s commercial partners rather than P&W. The 

exemption would apply to the initial build of engines for which P&W is the TC 

holder or licensee of engine type design data. The relief sought is identical to 

that previously provided to GE Aviation pursuant to exemption 10079, as 

amended.

Respectfully submitted,

Marshall S. Filler

Counsel for the Pratt & Whitney Division of

 United Technologies Corporation