Advisory

Circular

 

Subject: Production Under 

14 CFR Part 21, Subparts F, G, K, and O

Date: DATE OF FINAL 

RULE

Initiated by: AIR-112 

AC No: 21-43A

This advisory circular (AC) provides information for production approval holders (PAH) 

under Title 14 of the Code of Federal Regulations (14 CFR) part 21, Certification 

Procedures for Products and Parts. This AC guides PAHs in developing and maintaining 

quality systems for the products and articles they produce. This guidance aids the 

applicant for a production approval or current PAH in developing a quality system that 

both meets the needs of the PAH and is compliant with the regulations. You can find this 

AC at http://www.faa.gov/regulations_policies/advisory_circulars/.

David W. Hempe

Manager

Design, Manufacturing, and Airworthiness Division, AIR-100
xx/xx/xxxx AC 21-43A

ii

Table Of Contents

Paragraph Page

Chapter 1. General Information

1-1. Purpose.............................................................................................. 1-1

1-2. Audience ........................................................................................... 1-1

1-3. Effective Date.................................................................................... 1-1

1-4. Explanation of Changes .................................................................... 1-1

1-5. Applicability...................................................................................... 1-1

1-6. Eligibility........................................................................................... 1-1

1-7. Application........................................................................................ 1-2

1-8. Organization Requirements............................................................... 1-2

Chapter 2. Quality System

2-1. Purpose.............................................................................................. 2-1

2-2. Background ....................................................................................... 2-1

2-3. Design Data Control.......................................................................... 2-1

2-4. Document Control............................................................................. 2-1

2-5. Supplier Control................................................................................ 2-2

2-6. Manufacturing Process Control......................................................... 2-2

2-7. Inspection and Testing ...................................................................... 2-3

2-8. Inspection, Measuring, and Test Equipment Control........................ 2-5

2-9. Inspection and Test Status................................................................. 2-5

2-10. Nonconforming Product and Article Control.................................... 2-6

2-11. Corrective and Preventive Actions.................................................... 2-6

2-12. Handling and Storage........................................................................ 2-7

2-13. Control of Quality Records............................................................... 2-8

2-14. Internal Audits................................................................................... 2-8

2-15. In-Service Feedback.......................................................................... 2-9

2-16. Quality Escapes................................................................................. 2-9

2-17. Issuing Authorized Release Documents............................................ 2-9

Chapter 3. Supplier Control Program

3-1. Purpose.............................................................................................. 3-1

3-2. Background ....................................................................................... 3-1

3-3. Supplier Control................................................................................ 3-1

3-4. Use of Suppliers in Other Countries ................................................. 3-1

3-5. FAA Surveillance of Supplier Control Systems ............................... 3-1

3-6. Elements of a Supplier Control System ............................................ 3-1
xx/xx/xxxx AC 21-43A

iii

Table Of Contents (Continued)

Paragraph Page

Chapter 4. Electronic Records

4-1. Purpose.............................................................................................. 4-1

4-2. Background ....................................................................................... 4-1

4-3. Electronic Manufacturing and Quality System Records................... 4-1

4-4. Information Management System Facility Management.................. 4-6

4-5. Training ............................................................................................. 4-6

Chapter 5. Internal Audit Program

5-1 Purpose.............................................................................................. 5-1

5-2. Background ....................................................................................... 5-1

5-3. Types of Internal Audit Programs..................................................... 5-1

5-4. Elements of an Internal Audit Program ............................................ 5-1

Chapter 6. Additional PAH Requirements

6-1. Quality Manual.................................................................................. 6-1

6-2. Location of or Change to Manufacturing Facilities.......................... 6-1

6-3. Inspections and Tests ........................................................................ 6-1

6-4. Issuance of a Production Approval ................................................... 6-2

6-5. Production Limitation Record........................................................... 6-2

6-6. Duration............................................................................................. 6-2

6-7. Transferability................................................................................... 6-2

6-8. Privileges........................................................................................... 6-3

6-9. Responsibility of Holder ................................................................... 6-3

6-10. Amendment of Production Certificates............................................. 6-4

6-11. Approval for Deviation ..................................................................... 6-5

6-12. Design Changes................................................................................. 6-5

6-13. Changes in Quality System............................................................... 6-5

6-14. Issuance of Letters of TSO Design Approval: Import Articles........ 6-5

Appendix A. Related Publications................................................................................A-1

Appendix B. Definitions.................................................................................................B-1

Appendix C. Production Under Type Certificate .......................................................C-1

Appendix D. Scrap or Salvageable Aircraft Products and Articles..........................D-1
xx/xx/xxxx AC 21-43A

iv

Table Of Contents (Continued)

Paragraph Page

Appendix E. Issuing Authorized Release Documents for Aircraft Engines, 

Propellers, and Articles..................................................................................................E-1

Appendix F. Production Approval Holder/Supplier Arrangement .......................... F-1

Appendix G. Production Certification: Multilateral/Multicorporate Consortia....G-1
xx/xx/xxxx AC 21-43A

1-1

Chapter 1. General Information

1-1. Purpose. 

a. This advisory circular (AC) provides information about Title 14 of the Code of 

Federal Regulations (14 CFR) part 21, Certification Procedures for Products and Parts. 

This AC addresses the manufacturing and production requirements of part 21, subpart F, 

Production Under Type Certificate; subpart G, Production Certificates; subpart K, Parts 

Manufacturer Approvals; and subpart O, Technical Standard Order Approvals.

b. This AC provides information on how an applicant for a production approval or

a current production approval holder (for this AC both are referred to as a PAH) should 

develop and maintain its quality systems. This guidance aids the PAH in developing a 

quality system that both meets the needs of the PAH and complies with the regulations.

c. This AC is not mandatory and does not constitute a regulation. This AC describes

an acceptable means, but not the only means, to comply with these requirements. 

However, if you use the means described in the AC, you must follow it in all 

important respects.

1-2. Audience. This AC affects all PAHs and type certificate holders producing under 

subpart F, Production Under Type Certificate.

1-3. Effective Date. This AC is effective (INSERT EFFECTIVE DATE OF FINAL 

RULE) the day Changes to Production Certificates and Approvals; Final Rule is 

published in the Federal Register under docket number FAA-2013-0933.

1-4. Explanation of Changes. This revision reflects rule changes which –

a. Require PAHs to identify an accountable manager.

b. Allow PAHs to issue authorized release documents for aircraft engines, 

propellers, and articles.

c. Permit production certificate holders to manufacture and install interface 

components.

d. Require PAHs to ensure supplier-provided products, articles, or services conforms 

to the PAH’s requirements and establish a supplier-reporting process for nonconforming 

products, articles, or services released from or provided by a supplier 

e. Define the terms accountable manager, airworthiness approval, authorized release 

document, interface component and supplier.

f. This revision supersedes AC 21-43, dated 10/16/2009.

1-5. Applicability. Sections 21.131, 21.301, and 21.601 prescribe the procedural 

requirements for issuing production approvals (that is, production certificates (PC), 
xx/xx/xxxx AC 21-43A

1-2

parts manufacturer approvals (PMA), and technical standard order (TSO) approvals) 

and the rules governing the holders of those production approvals. Section 21.601 also 

includes procedural requirements for issuing letters of TSO design approval. 

Note: Type certificate holders producing under subpart F should review 

appendix C to this AC for additional information.

1-6. Eligibility. Section 21.132, Eligibility, prescribes eligibility requirements for a 

production certificate. Applicants for a production certificate are required by the rule to

hold the following for the product concerned:

a. A current type certificate (TC), 

b. A supplemental type certificate (STC), or

c. Rights to the benefits of that TC or STC under a licensing agreement.

1-7. Application. Sections 21.133, 21.303, and 21.603 require an applicant for a 

production approval to apply in a form and manner prescribed by the Federal Aviation 

Administration (FAA). Sections 21.303 and 21.603 contain additional requirements that 

require the applicant to provide additional information with the application. Applicants 

should refer to the applicable section for requirements pertaining to the type of 

production approval they seek. 

a. For a PC, an applicant will submit FAA Form 8110-12, Application for 

Type Certificate, Production Certificate, or Supplemental Type Certificate. This form is

submitted to the Manager, Manufacturing Inspection Office (MIO), in the directorate 

in which the applicant’s principal manufacturing facility is located.

b. For a PMA:

(1) If an applicant is applying based on identicality or test and computation, the 

applicant will submit a letter of application to the Aircraft Certification Office (ACO) in 

the geographical area in which the applicant’s manufacturing facility is located.

(2) If the applicant is applying based on a licensing agreement, the applicant 

will submit a letter of application to the Manufacturing Inspection District Office 

(MIDO) in the geographical area in which the applicant’s manufacturing facility 

is located.

c. For a TSO authorization, an applicant will submit a letter of application to the 

ACO in the region in which the applicant’s principal manufacturing facility is located.

1-8. Organization Requirements. Sections 21.135, 21.305, and 21.605 require each 

PAH to provide the FAA with a document describing how its organization will ensure 

compliance with the provisions of the applicable subpart. This document must identify 

an accountable manager and describe assigned responsibilities and delegated authority. 
xx/xx/xxxx AC 21-43A

1-3

The document is also required by the rule to describe the functional relationship between 

those responsible for quality to management and other organizational components. 

a. The FAA recognizes the varying business models and organizational structures 

of different businesses. The intent of this requirement is to obtain a commitment from 

top management to—

(1) Establish a quality system that complies with this part and ensures 

each product and article conforms to its approved design and is in a condition 

for safe operation.

(2) Continually improve that quality system.

b. The accountable manager serves as the PAH’s primary contact with the FAA. 

This individual is responsible for, and has authority over, a PAH’s production operations. 

In addition, the accountable manager confirms the quality manual’s procedures are in 

place and the requirements of the applicable regulations are being met.
xx/xx/xxxx AC 21-43A

2-1

Chapter 2. Quality System

2-1. Purpose. This chapter provides information and describes criteria for establishing 

and maintaining a quality system. PAHs may use this document in support of their 

responsibilities under §§ 21.137, 21.307, and 21.607.

2-2. Background. Section 21.137 requires each PAH to establish and describe, in 

writing, a quality system that ensures each product and article conforms to its approved 

design and is in a condition for safe operation. Sections 21.307 and 21.607 require a 

PAH to establish a quality system that meets the requirements of § 21.137. The intent is 

for each PAH to develop a quality system that both meets the needs of the PAH and the 

rule. As such, PAH quality systems are scalable to the size and complexity of the product 

or article being produced. The quality system requirements contain the following 

15 elements outlined in paragraphs 2-3 through 2-17 below.

2-3. Design Data Control. Section 21.137(a) requires procedures for controlling design 

data, and subsequent changes, to ensure only current, correct, and approved data are used. 

a. Procedures. PAHs are required by the rule to have procedures for design data 

control. These procedures should ensure proper storage, maintenance, and protection of 

design data. In addition, PAHs should ensure design data is identified, controlled, and 

made available to those persons who require them. There also should be procedures for 

approving, documenting, and controlling changes to the design data. 

b. Design Changes. Design, manufacturing, and special process changes should 

be approved in a manner acceptable to the FAA. Design changes necessary to correct 

unsafe conditions should be incorporated into the FAA-approved design. Instructions for 

Continued Airworthiness (ICA) should be kept current with the design changes.

2-4. Document Control. Section 21.137(b) requires procedures for controlling quality 

system documents and data, and subsequent changes, to ensure only current, correct, and 

approved documents and data are used. 

a. Procedures. PAHs are required by the rule to have procedures for quality 

system document and data control. These procedures should ensure proper storage, 

maintenance, and protection of documents and data. Additionally, PAHs should ensure 

quality system documents and data, including all tags and forms, are identified, 

controlled, and made available to those persons who require them. 

b. Document and Data Changes. There should be procedures for documenting, 

approving, and controlling changes to the quality system documents and data. 

c. Electronic Storage. PAHs may choose to store documents electronically, 

as long as printed copies are made available on FAA request.
xx/xx/xxxx AC 21-43A

2-2

2-5. Supplier Control. Section 21.1(b)(10), Applicability and definitions, defines a 

supplier as a person that provides a product, article, or service, at any tier in the supply 

chain, that is used or consumed in the design or manufacture of, or installed on, a product

or article. Section 21.137(c) requires procedures for ensuring each supplier-furnished 

product, article, or service conforms to the PAH’s requirements. This section also 

requires the PAH to establish a supplier reporting process for products, articles, or 

services that have been released from the supplier and subsequently found not to conform 

to the PAH’s requirements.

a. Procedures. Refer to chapter 3 of this AC for additional information on what 

procedures a typical supplier control program should contain. 

b. PAH Responsibilities. The PAH is ultimately responsible for determining that 

all products and articles conform to their approved type design and are in condition for 

safe operation. This responsibility cannot be delegated to, or relieved by the use of, 

approved suppliers, risk and revenue sharing partners, or co-producers or other service 

or manufacturing providers.

2-6. Manufacturing Process Control. Section 21.137(d) requires procedures for 

controlling manufacturing processes to ensure each product and article conforms to its 

approved design. 

a. Manufacturing Processes. PAHs should have procedures for ensuring all 

manufacturing processes (including special processes) that have been identified and 

defined by FAA-approved design data are accounted for in the manufacturing process. 

b. Work Instructions and Revisions. PAHs should ensure work instructions and 

revisions to work instructions are reviewed, approved, controlled, documented, and made 

available to those persons who require them. 

c. Changed Processes. Appropriate personnel should substantiate and approve 

any new or changed processes.

d. Traceability. Traceability should be maintained throughout the manufacturing 

process from raw material to completed product or article. Articles introduced into 

production before full acceptance should have a process for identifying, controlling, 

and segregating them. 

e. Software Use.

(1) Airborne and production software present unique challenges in 

manufacturing process control. PAHs that develop airborne software may obtain 

additional guidance from the Society of Automotive Engineers (SAE), Aerospace 

Standard (AS) 9006, Deliverable Aerospace Software Supplement for AS9100A. 
xx/xx/xxxx AC 21-43A

2-3

(2) PAHs that use production software for the design, manufacture, inspection, 

test, acceptance, or calibration of a deliverable product or article may obtain additional 

guidance from SAE, Aerospace Recommended Practice (ARP) 9005, Aerospace 

Guidance for Non-Deliverable Software. 

(3) Procedures may allow for emergency non-routine use of non-released 

software in the acceptance process. These procedures should provide a means of locating 

and recalling the product that was manufactured, inspected, or tested by non-released 

software when necessary. 

(4) If non-released software is used for product or article acceptance, the product 

or article should be identified as nonconforming until the software used is approved and 

released. Each product or article affected should be identified by an individually unique 

serial number to ensure recall if necessary. The product or article should not be shipped 

until all acceptance software has been released unless an FAA-approved alternate means 

of acceptance is used. A recall system is not considered an acceptable alternate means of 

product acceptance for shipment of products or articles. 

f. Software quality assurance. The functional responsibilities for software 

quality assurance should be part of the quality assurance system submitted to the FAA. 

The organization responsible for software quality assurance should have functional 

independence to allow objective evaluations. The organization responsible for software 

quality assurance should have authority and responsibility to identify and evaluate 

problems and ensure completion of corrective action on deficiencies. In addition, this 

organization should—

(1) Ensure all software tasks are clearly and adequately described in 

documented procedures. 

(2) Verify suppliers that use computer-aided-manufacturing (CAM), computeraided-inspection (CAI), or computer-aided-testing (CAT) software and related digital 

input/output data for product or article acceptance implement appropriate controls.

(3) Have final authority for formally releasing software and related digital 

input/output data used for product or article acceptance. 

(4) Ensure corrective action has been taken on any deficiencies 

previously discovered.

2-7. Inspection and Testing. Section 21.137(e) requires procedures for inspections and 

tests used to ensure each product and article conforms to its approved design. These

procedures are required by the rule include the following, as applicable, 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.
xx/xx/xxxx AC 21-43A

2-4

a. Inspection Procedures. PAHs should have procedures documenting inspection 

methods for each product or article to ensure they conform to their FAA-approved design 

data. Procedures should include methods that ensure identification of inspection status 

throughout the manufacturing process and storage. In addition, procedures should ensure 

inspection marking devices are controlled and only issued to authorized persons. 

b. Testing Procedures. PAHs should establish, maintain, and control test 

procedures, instructions, and subsequent changes. PAHs should ensure the appropriate 

organizations participate in reviewing test instructions or procedures. Products or articles 

that have been adjusted or reworked after test acceptance (such that the results of that 

testing could be affected) should be retested using approved processes. 

c. Statistical Processes. 

(1) PAHs should document the use of statistical processes in the quality manual. 

Statistical processes will ensure criteria for acceptance or rejection prevent the 

acceptance of nonconforming products or articles. 

(2) Statistical sampling should include sampling plans appropriate for the 

type of product or article being accepted. Personnel should be trained in statistical 

sampling techniques. 

(3) Engineering and manufacturing organizations should participate in the 

review, implementation, and maintenance of statistical quality/process control techniques 

used for product or article acceptance. PAHs may use SAE ARP9013, Statistical Product 

Acceptance Requirements, which sets forth general requirements for implementing any 

of the following statistical product acceptance methods: 

(a) SAE ARP9013/1, Statistical Product Acceptance Requirements Using 

Isolated Lot Sampling Methods;

(b) SAE ARP9013/2, Statistical Product Acceptance Requirements Using 

Attribute or Variable Lot Acceptance Sampling Plans;

(c) SAE ARP9013/3, Statistical Product Acceptance Requirements Using 

Process Control Methods; or

(d) SAE ARP9013/4, Statistical Product Acceptance Requirements Using 

Continuous Sampling, Skip-Lot Sampling, or Methods for Special Cases.

Note: SAE ARP9013 does not apply to statistical methods that are 

separate from product acceptance. Many companies use statistical 

methods solely to monitor and improve their product quality, and 

those methods are not subject to the requirements of this document. 

This document series applies only to those statistical methods used 

for product acceptance. 
xx/xx/xxxx AC 21-43A

2-5

d. Nondestructive Testing. PAHs using nondestructive testing to verify 

conformity of products or articles should have procedures addressing acceptance 

and rejection criteria. Adequate test pieces with known defects should be available 

to nondestructive inspection (NDI) personnel. PAHs should also have procedures 

addressing the certification, recertification, and decertification of nondestructive 

testing personnel. PAHs may choose to use National Aerospace Standard (NAS) 410, 

NAS Certification and Qualification of Nondestructive Test Personnel (issued 

February 2003).

e. Flight Test Procedures. PAHs that manufacture a complete aircraft should 

ensure flight test procedures and subsequent changes are submitted to and approved by 

the FAA. Flight test pilots should be fully qualified, and flight check-off lists should be

properly completed.

2-8. Inspection, Measuring, and Test Equipment Control. Section 21.137(f) requires 

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 is required by the rule to be traceable to a standard 

acceptable to the FAA. 

a. Approval, Inspection, and Calibration Procedures. PAHs should have 

procedures ensuring tools, gages, and equipment are approved, periodically inspected, 

and calibrated. Standards used for calibration should have adequate accuracy and be 

traceable to a standard acceptable to the FAA. Any equipment required for special 

processing, such as tools, gages, instruments, and timers should be available and 

calibrated. Calibration of thread gages presents unique challenges. The Industrial 

Fasteners Institute standard IFI-301, Gage Calibration Requirements and Procedures for 

Thread Gages is an industry standard that has been reviewed by the FAA and found 

acceptable to provide guidance for initial and subsequent calibration of thread gages. 

b. Tool Control Procedures. PAHs should have a tool control procedure ensuring 

tools and gages used for product or article acceptance (including NDI equipment) are 

protected, maintained, and used in an acceptable environment. Procedures should ensure 

PAHs conduct an evaluation and take necessary corrective action when a product or 

article has been accepted by an out-of-tolerance gage.

2-9. Inspection and Test Status. Section 21.137(g) requires procedures for 

documenting the inspection and test status of products and articles supplied or 

manufactured to the approved design. 

a. Procedures. PAHs should have procedures that define how inspection and test 

records are generated and maintained. PAHs should ensure supplier-furnished articles or 

services conform to the FAA-approved design data and purchase order requirements, as 

applicable. Records of this verification should be generated and maintained. 
xx/xx/xxxx AC 21-43A

2-6

b. Inspection. The PAH should ensure the inspection status of production 

products or articles are identifiable throughout the manufacturing cycle including any 

storage facility controlled by the PAH. In addition, the PAH is responsible for generating 

and maintaining records of completed tests for aircraft, aircraft engines, or propellers.

2-10. Nonconforming Product and Article Control. Section 21.137(h) requires 

procedures to ensure only products or articles that conform to their approved design are 

installed on a type-certificated product. These procedures are required by the rule to 

provide for the identification, documentation, evaluation, segregation, and disposition of 

nonconforming products and articles. Only authorized individuals may make disposition 

determinations. Section 21.137(h) also requires procedures to ensure discarded articles 

are rendered unusable.

a. Procedures. PAHs should have procedures that ensure a material review 

board (MRB) is established, documented, and operational. PAHs should have procedures 

that include how nonconforming products or articles are identified, controlled, 

and dispositioned.

b. Disposition Determinations. Authorized individuals should review 

nonconforming material to determine if acceptance of the nonconformance constitutes a 

major or minor change to FAA-approved data. The FAA, through the design approval 

process, will approve any MRB disposition identified as a major change. 

c. Data Analysis. Senior management should review and analyze nonconforming 

material data to detect adverse trends and determine appropriate levels of corrective and 

preventive actions.

d. Disposition of Scrap and Salvageable Aircraft Products and Articles. 

These products and articles should be disposed of in an acceptable manner. Appendix D

to this AC provides additional information on controlling and dispositioning scrap and 

salvageable aircraft products and articles. 

2-11. Corrective and Preventive Actions. Section 21.137(i) requires 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. 

a. Corrective Action. PAHs are required by the rule to have procedures to 

eliminate the cause(s) of known nonconformities or noncompliances to prevent 

recurrence. Corrective actions should be appropriate to the effects of the nonconformities 

or noncompliances encountered and address the following:

(1) Review of nonconformities or noncompliances;

(2) Identification of the cause(s) of nonconformities or noncompliances;

(3) Evaluation of the need for action to ensure nonconformities or 

noncompliances do not reoccur;
xx/xx/xxxx AC 21-43A

2-7

(4) Identification and implementation of action(s) needed;

(5) Recording of the results of action(s) taken;

(6) Review of corrective action(s) taken; and

(7) Flow-down of the corrective action requirement to a supplier, when it is 

determined that the supplier is responsible for the nonconformities or noncompliances.

b. Preventive Action. PAHs are required by the rule to have procedures to 

eliminate the cause(s) of potential nonconformities or noncompliances to prevent their 

occurrence. Preventive actions should be appropriate to the effects of the potential 

problems and should address the following:

(1) Identification of potential nonconformities/noncompliances and 

their causes;

(2) Evaluation of the need for action to prevent occurrence of 

nonconformities/noncompliances;

(3) Identification and implementation of action(s) needed;

(4) Recording of results of action(s) taken; and

(5) Review of preventive action(s) taken.

c. Monitoring of Actions. When processes or procedures result in 

nonconforming products or articles, PAHs should monitor the response to, 

implementation of, and effectiveness of corrective and preventive actions. 

2-12. Handling and Storage. Section 21.137(j) requires procedures to prevent damage 

and deterioration of each product and article during handling, storage, preservation, 

and packaging.

a. Procedures. PAHs should have procedures to ensure only conforming and 

properly identified products or articles are placed in storage. These procedures should 

also ensure traceability for split lots, and control of the removal or issuance of those 

products or articles. 

b. Storage, Handling, Manufacturing, and Assembly. PAHs are responsible 

for the following:

(1) Having procedures to ensure compliance with any special environmental 

controls during material storage, handling, manufacturing, and assembly of products 

or articles. 

(2) Identifying and controlling shelf life or environmentally sensitive products 

or articles. 
xx/xx/xxxx AC 21-43A

2-8

(3) Properly separating and identifying products or articles in storage and 

manufacturing areas. 

2-13. Control of Quality Records. Section 21.137(k) requires procedures for 

identifying, storing, protecting, retrieving, and retaining quality records. A PAH is 

required by the rule to 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 14 CFR part 45, Identification and Registration Marking, § 45.15(c). 

a. Procedures. 

(1) PAHs procedures should account for all records generated by or needed 

to show compliance to the applicable requirement of subparts G, K, and O, including 

records generated throughout the supply chain. Additionally, the PAH is responsible for 

controlling record storage facilities to ensure both against degradation of records and the 

availability of these records. 

(2) Records to be retained should include, but are not limited to, inspection and 

test records, calibration records, supplier records, special process certifications, MRB 

records, and production travelers.

(3) Records should be legible, complete, and accurate. Any storage media 

used for record retention should exhibit legible data, acceptance stamps, and required 

signatures. Refer to chapter 4 of this AC for additional guidance on computer-generated 

or stored records.

b. Record Retention Schedule. PAHs should establish a record retention 

schedule for various types of process, test, and quality and inspection system data.

c. Record Disposition. The procedures should define how obsolete records will 

be dispositioned or destroyed.

2-14. Internal Audits. Section 21.137(l) requires procedures for planning, conducting, 

and documenting internal audits to ensure compliance with the approved quality system. 

The procedures are required by the rule to include reporting results of internal audits to 

the manager responsible for implementing corrective and preventive actions. Chapter 5 

of this AC provides additional information on internal audit programs.

a. Procedures. PAHs should have procedures that establish an internal audit 

program. The internal audit program should verify compliance with established policies, 

procedures, and approved data. 

b. Reporting. PAHs should ensure the results of internal audits are reported to 

the appropriate level of management, and that audits are used for improving the quality 

system or product. 
xx/xx/xxxx AC 21-43A

2-9

2-15. In-Service Feedback. Section 21.137(m) requires procedures for receiving and 

processing feedback on in-service failures, malfunctions, and defects. These procedures 

are required by the rule to include a process to assist design approval holders to address 

any in-service problem(s) involving design changes and determine if any changes to the 

Instructions for Continued Airworthiness (ICA) are necessary.

a. Procedures. PAHs should have procedures that establish a system for 

receiving, processing, and tracking of in-service failures, including how records are 

generated and maintained. 

b. Corrective Actions. PAHs should ensure service problems, unairworthy 

conditions, unsafe features, and unsafe characteristics reported by the FAA or users are 

investigated and receive prompt corrective action. 

c. Service Bulletins and Maintenance Manuals. PAHs should ensure service 

bulletins and changes to maintenance manuals are approved by authorized personnel and 

coordinated with FAA engineering.

d. Recalls. Users of products or articles should be notified when those products 

or articles are recalled for suspected or known nonconformance. PAHs are required by 

the rule to notify the FAA in accordance with § 21.3, Reporting of failures, malfunctions, 

and defects.

2-16. Quality Escapes. Section 21.137(n) requires 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.

a. Procedures. PAHs should have procedures that document how they will track, 

evaluate, categorize, and disposition all nonconforming products or articles. These 

procedures should include actions to correct deficiencies in the quality system that 

allowed the quality escape.

b. Analytical Tools. PAHs should use trend analysis and risk assessment tools to 

determine the severity of and long-term effects of nonconformances.

2-17. Issuing Authorized Release Documents. Section 21.137(o) requires procedures 

for issuing authorized release documents (using FAA Form 8130-3, Airworthiness 

Approval Tag) if the PAH intends to issue those documents. These procedures are 

required by the rule to provide for the selection, appointment, training, management, and 

removal of individuals authorized by the PAH to issue authorized release documents. 

These documents may be issued by the PAH for new aircraft engines, propellers, and 

articles that were produced under its production approval; and for used aircraft engines, 

propellers, and articles when rebuilt or altered in accordance with 14 CFR part 43, 

Maintenance, Preventive Maintenance, Rebuilding, and Alteration, § 43.3(j). When the 

authorized release document is being used for export purposes, the PAH must comply 

with the rules applicable to the export of new and used aircraft engines, propellers, and 

articles specified in § 21.331 and the responsibilities of exporters specified in § 21.335. 
xx/xx/xxxx AC 21-43A

2-10

a. Procedures. PAHs that intend to issue authorized release documents must 

include procedures in their quality systems that ensure only qualified personnel issue 

these documents. An evaluation of these individuals’ qualifications would need to 

include an assessment of their knowledge, background, experience, and training. 

Qualifications should be commensurate with the complexity and type of product or article 

for which the PAH issues the authorized release document. Refer to appendix E to this 

AC for additional guidance.

b. Conditional Requirement. Section 21.137(o) is only applicable to a PAH that 

wants to issue an authorized release document. PAHs not issuing an authorized release 

document may continue to obtain airworthiness approvals from the FAA.
xx/xx/xxxx AC 21-43A

3-1

Chapter 3. Supplier Control Program

3-1. Purpose. This chapter provides information and describes criteria for establishing 

and maintaining a supplier control program. PAHs may use this document in support of 

their responsibilities under §§ 21.137, 21.307, and 21.607.

3-2. Background. Part 21 requires PAHs to establish and maintain a quality system. 

Part 21 also requires that this quality system ensure supplier-produced components 

(for example, software, articles, and subassemblies), services (for example, special 

processes and calibration), and customer- or buyer-furnished equipment or material 

conform to the PAH’s requirements.

3-3. Supplier Control. 

a. Contract Requirements. A PAH’s system is required by the rule to ensure 

all products or articles furnished by its suppliers, including subtier suppliers, conform 

to the PAH’s requirements. The PAH’s requirements will depend on the complexity of 

supplied products or articles and whether or not the supplier holds a production approval 

for similar products or articles. 

b. PAH Responsibilities. The PAH should ensure access to, and cooperation 

of, all involved facilities in the supply chain for the PAH and the FAA. The PAH is 

responsible for supplier adherence to the requirements flowed-down through the 

supply chain. A PAH does not delegate responsibility under its production approval 

to a supplier. 

3-4. Use of Suppliers in Other Countries. A PAH may use suppliers in other countries 

when the PAH has established and implemented a supplier control system acceptable to 

the FAA. A PAH that plans to use a supplier in another country should notify the FAA 

as soon as possible to determine the FAA’s ability to perform surveillance.

3-5. FAA Surveillance of Supplier Control Systems. The FAA does not approve 

suppliers, but may conduct surveillance of the supplier control system at both PAH and 

supplier facilities in accordance with FAA Order 8120.23, Certificate Management of 

Production Approval Holders. The FAA may also request technical assistance from a 

bilateral partner civil aviation authority (CAA) to act on behalf of the FAA. The PAH 

cannot rely on FAA or CAA surveillance as a means of supplier control.

3-6. Elements of a Supplier Control System. A PAH is responsible for ensuring each 

product or article conforms to the FAA-approved design data and is in a condition for 

safe operation. This responsibility remains the same whether the PAH produces the 

entire product or article at its facility, or uses suppliers to furnish related articles. The 

supplier control program is required by the rule to be FAA-approved and defined in a 

manual. Implementation and maintenance of the supplier control system is subject to 

evaluation by the FAA. FAA production approvals are based on the ability of the quality 

system to ensure production of conforming products or articles. Therefore, the supplier 

control system should contain procedures that include the following:
xx/xx/xxxx AC 21-43A

3-2

a. Organizational Structure. Establishment of an organizational structure that 

ensures appropriate authority, sufficient resources, and adequate expertise to control 

supplier activities.

b. Supplier Arrangement. Documentation of the supplier arrangement, generally 

through a contract, that defines all necessary elements and procedures between the PAH 

and a supplier. Appendix F to this AC contains elements that should be defined in the 

arrangement between the PAH and the supplier. 

c. Supplier Evaluation and Selection. A process that evaluates and selects 

suppliers based on their capability to perform all manufacturing activities, inspections, 

and tests, necessary to determine conformity of articles to the applicable design data.

Additionally, the supplier evaluation and selection process should determine the suppliers

ability to meet other PAH specified requirements. The process should include criteria for 

the initial evaluation, selection, periodic or ongoing evaluations, and disapproval of 

suppliers. These should include the following:

(1) Initial evaluation of suppliers to determine their capability to meet 

requirements. The PAH should make this determination before permitting the supplier to 

furnish any articles. The need for the PAH to conduct onsite evaluations should be based 

on a supplier control process as described in paragraph 3-6e of this AC. The FAA 

strongly encourages PAHs to conduct initial onsite evaluations based on risk factors 

such as:

(a) Category of the part as listed on the FAA’s Aircraft Certification 

Service Category Parts List (available on the FAA website);

(b) Number of supplier tiers, and number of suppliers within each tier, used 

by the supplier (including, if necessary, onsite evaluations of subtier suppliers);

(c) Design and manufacturing complexity of the article;

(d) Ability of the PAH to inspect the article on receipt; and

(e) Other risk factors as discussed in paragraph 3-6e(1) of this AC.

(2) Periodic or ongoing evaluations of suppliers to ensure their continued 

adherence to the requirements.

(3) Methods for determining the extent and type of evaluations (for example, 

onsite evaluations, process reviews, document reviews, or independent product 

evaluations). The extent and type of evaluations should be based on the type, 

complexity, method of control, and criticality of the articles procured. The need for 

the PAH to conduct onsite evaluations should be based on a supplier control process 

and verification of supplier product as described in paragraphs 3-6e and 3-6f of this AC. 

The FAA strongly encourages PAHs to conduct periodic/ongoing onsite evaluations.
xx/xx/xxxx AC 21-43A

3-3

d. Approved Supplier List. Suppliers under the PAH quality system are included 

in or referenced in a controlled list, along with each supplier’s associated scope. 

Procedures ensure purchase documentation is issued only to suppliers on this list.

e. Supplier Control Process. A process that describes the means of supplier 

control, based on the criticality and complexity of the article or service provided to 

ensure conformity. The techniques described below are not all-inclusive but are 

provided to assist the PAH in developing supplier control procedures applicable 

to the organization.

(1) Risk assessment, which takes into account the combination of supplier 

and product risk factors. Product risk factors include safety classification from the 

design approval process, special process, and design and manufacturing complexity. 

SAE ARP9134, Supply Chain Risk Management Guidelines (dated 3/3/2004), is an 

industry guideline that the FAA has reviewed and found acceptable to provide guidance 

for the identification of supplier risk factors.

(2) Qualification and auditing of a supplier’s quality system.

(3) Monitoring continued capability, throughout the supply chain, to perform 

all manufacturing activities, inspections, and tests to determine conformity of articles 

to applicable design data. The PAH will determine and apply acceptance standards 

for the physical condition, configuration status, and conformity of articles (including 

customer/buyer-furnished equipment). This determination will be made whether the 

articles are to be used in production or as replacement or spare articles. 

(4) First article inspection, to verify the article conforms to the approved data 

and any additional contract requirements, including destructive testing. A first article 

inspection should be conducted for a new production line, changes to the manufacturing 

or quality processes, or a new supplier. SAE AS9102A, Aerospace First Article 

Inspection Requirement (revision A, dated 1/13/2004), is an industry standard that has 

been reviewed and found acceptable by the FAA to provide guidance in establishing first 

article processes and procedures.

f. Verification of Supplier Product. Methods to verify articles conform to 

specified requirements, including customer-supplied materials and customer-designated 

sources. These methods include, but are not limited to, the following:

(1) For articles accepted at the PAH’s facility, inspection may be accomplished 

on receipt or when characteristics remain accessible, at any time before the final 

acceptance of the end item. The procedures should encompass a complete inspection 

(for example, all dimensional characteristics, nondestructive testing, hardness checks, 

spectrographic analysis, and functional tests). When the PAH has established that the 

supplier’s production or process methods will consistently produce articles that conform 

to the approved design data, use of statistical quality control methods may be acceptable. 

The inspection plan used is required by the rule to preclude the acceptance of any 
xx/xx/xxxx AC 21-43A

3-4

nonconforming articles. Additionally, when it is necessary to determine material 

integrity, the following methods should be considered:

(a) Laboratory analysis to verify an article’s complete chemical and 

physical properties when tests can be performed without destroying the article 

(for example, by test coupon or small section of the article).

(b) When laboratory analysis cannot be performed without destroying 

the article, a sample of such articles should be subject to a qualitative and quantitative 

analysis (for example, by test coupon or small section of the article). This analysis will 

verify the article’s complete chemical and physical properties.

(2) For articles that cannot or will not be inspected on receipt, the PAH’s 

procedures should include, as a minimum, inspection and testing of first articles to verify 

the articles conform to the PAH’s requirements and periodic inspection thereafter. 

Inspections and tests completed for the purpose of showing conformity to contract 

requirements may be accomplished at a supplier’s facility. These inspections and tests 

are required by the rule to be conducted according to a documented process within the 

PAH’s FAA-approved quality system. More than one article may require such inspection 

or testing until the production repeatability of the supplier has been established. These 

procedures should include methods to control, identify, and segregate articles waiting for 

testing or inspection from those already approved. 

(3) The PAH may allow a supplier to perform an appropriate or major inspection 

when it has established that the supplier is capable of performing such an inspection 

function. However, the PAH should approve any delegation of inspection or use 

of statistical techniques beyond the first tier supplier. Such delegation includes 

the following:

(a) Major inspections. These include properties classified as critical 

by the approved design holder’s engineering drawings, process specifications, test 

specifications, and quality control procedures; or properties that cannot be verified 

except by destructive test of each article or extensive disassembly.

(b) Material review. This includes the identification and maintenance of 

relevant MRB procedures that define the scope and authority of the supplier MRB. 

Material review also includes the process for submitting, to the PAH, supplier 

nonconformances that are required by the rule to be approved before they can be 

considered as changes to the FAA-approved type design. 

(c) Statistical techniques.

(4) The PAH is required by the rule to have supplier, including subtier supplier, 

information available to the FAA on request. This information should include, but is not 

limited to, the following:

(a) The name and address of each supplier.
xx/xx/xxxx AC 21-43A

3-5

(b) The name and address of each supplier that performs major inspection or 

material review for the PAH.

(c) The name and address of each supplier that furnishes articles when 

conformance to the approved design data cannot, or will not, be made on receipt at the 

PAH’s receiving facility.

(d) Where, and by whom, the article will undergo inspection.

(e) The title and telephone number of the person to contact at the supplier 

facility that can furnish the purchase order(s), quality control data, technical data, and 

other pertinent data or information to the FAA.

(f) Identification of each supplier with direct ship authorization.

(g) Results of the PAH’s supplier evaluations, audits, or other 

surveillance activities.

(5) The PAH is required by the rule to have a method for generating and 

maintaining inspection records. These procedures should include the following:

(a) Contents of each record used for the article inspected. This should 

include, as a minimum, the name, part or article number, serial number (if applicable), 

sample size, type and number of inspections made, conformance or nonconformance, 

number and description of nonconformances found, and action taken.

(b) Requirements for record legibility, completeness, accuracy, and 

retention periods.

(c) Requirements that tools used for record retention (for example, tape files 

and microfilm) exhibit legible data and acceptance stamps or signatures.

g. Supplier Rating. A system that exhibits the performance, capability, and 

reliability of suppliers.

h. Notification to the FAA. A procedure to ensure advance notification to the 

FAA of any significant change in the scope of any supplier arrangements.

i. Reporting of Supplier Nonconformances. The rule requires a supplierreporting process for products, articles, or services that have been released from the 

supplier and subsequently found not to conform to the PAH’s requirements.

j. Change Control. A system that ensures changes in requirements are properly 

controlled and incorporated as agreed between the supplier and the PAH. These include,

but are not limited to—

(1) Submittal of supplier designs and changes to the PAH for approval before 

incorporation, when required;
xx/xx/xxxx AC 21-43A

3-6

(2) Submittal of changes of a supplier’s manufacturing process to the PAH, 

when required;

(3) Submittal of changes to a supplier’s quality system to the PAH that may 

affect inspection, conformity, or the airworthiness of the article to the PAH; and

(4) Methods used to act on notifications of nonconforming articles, and ensuring 

proper investigation and corrective action is taken.

k. Direct Ship. Methods for controlling direct shipments from a PAH’s supplier 

to a customer for articles manufactured under the PAH’s production approval. The 

customer may order articles from either the PAH or the supplier. SAE ARP9114, Direct 

Ship Guidance for Aerospace Companies (dated 9/9/2005), is an industry guideline that 

has been reviewed by the FAA and found acceptable to provide guidance in establishing 

direct shipment processes and procedures. There may be restrictions on the direct 

shipment of articles from suppliers not located in the United States. The FAA MIDO 

may be contacted for more specific information. Direct shipment may only be used 

when the PAH—

(1) Has approved quality procedures that will compensate for the absence of 

inspections normally conducted at the PAH’s facility. Compensating factors should 

include onsite evaluations of the supplier and the inspection of the article as either—

(a) A source inspection performed by the PAH, or

(b) An inspection by the supplier under a delegated inspection authority 

from the PAH.

(2) Provides direct ship authorization to a supplier.

(3) Issues and maintains records of direct ship authorization and makes them 

available to regulatory authorities on request. 

(4) Ensures the requirements of the importing country will be met before 

authorizing direct shipment to a customer located outside the United States.

(5) Obligates the supplier to—

(a) Direct ship the article.

(b) Meet any special customer requirements accepted by the PAH.

(c) Maintain evidence that the supplier has direct ship authorization from 

the PAH.

(d) Maintain evidence of direct shipments made on behalf of the PAH.

(e) Provide a signed direct ship declaration with the shipment.
xx/xx/xxxx AC 21-43A

3-7

(f) Provide a signed or stamped statement of conformance certifying that 

the article conforms to approved data with the shipment.

(g) Provide traceability of the shipment to the customer purchase request.

(h) Provide evidence with the shipment that acceptance or inspection has 

been accomplished by the PAH or through a delegated inspection authority.

(i) Provide a statement with the shipment that delegation of inspection 

authority has been granted by the PAH, and that the inspection was performed on behalf 

of the PAH when delegated inspection is used.

l. Other-Party Supplier Surveillance. Methods for the use of other-party supplier 

surveillance may be used by a PAH provided the processes used meet the requirements 

identified in FAA Order 8120.12, Production Approval Holder Use Of Other-Parties 

To Supplement Their Supplier Control Program, and are documented in the PAH’s 

quality manual.

m. Suppliers Holding a Production Approval. Methods addressing suppliers 

that hold a production approval for the article to be supplied. A PAH’s surveillance of 

individual suppliers may be reduced, but not eliminated, provided that—

(1) Satisfactory interface between the two quality systems can be demonstrated 

to the FAA;

(2) The articles to be supplied are included in the scope of their production 

approval, and

(3) If the supplier is located outside the United States, a bilateral agreement 

for airworthiness is in effect between the United States and the country of the supplier. 

The bilateral agreement will include provisions for United States acceptance of the types 

of articles or products produced under the supplier’s production approval.

n. Use of Suppliers Located Outside the United States. Methods for the use of 

suppliers (including subtier suppliers) outside the United States. These should include 

provisions for the following:

(1) The PAH providing early notification to the FAA of the proposed use of a 

supplier in another country or jurisdiction. 

(2) The PAH is required by the rule to make available to the FAA information 

on non-U.S. suppliers when requested.

(3) The PAH should ensure the FAA has access within the country where 

its supplier (including subtier suppliers) is manufacturing. It should also ensure all 

necessary processes, agreements, or procedures are in place to mitigate any undue burden 

on the FAA. Such burdens could inhibit the FAA from performing its regulatory 

functions and certificate management responsibilities.
xx/xx/xxxx AC 21-43A

3-8

(4) The PAH is required by the rule to assure access to its suppliers. Assurance 

of access should be provided by the supplier, or when no regulatory agreements are in 

place, the government of the country or jurisdiction in which the supplier is located. 

This assurance of access will be made available to the FAA. If access is at any time 

obstructed or denied, the FAA may instruct the PAH to cease using the supplier.

o. FAA Certificate Management in Other Countries. When a PAH uses a 

supplier in a country or jurisdiction that has a bilateral agreement with the United States, 

the FAA may use a bilateral partner CAA to perform surveillance activities and/or 

conduct inspections on behalf of the FAA. The following procedures should be used:

(1) The PAH will afford the FAA or CAA any necessary support in its 

surveillance activity.

(2) When specifically requested by the FAA/CAA to facilitate surveillance 

activities, suppliers located outside the United States will make appropriate data available 

to the FAA through the PAH for certificate management purposes. This data should be in 

the English language.

Note 1: FAA Order 8100.11, Decision Paper Requirements for 

Undue Burden and No Undue Burden Determinations Under 

14 CFR part 21 for Production and Export Airworthiness Approvals,

is used by FAA personnel when notified by the PAH of its intent to 

use a supplier outside the United States. 

Note 2: When the FAA requests a bilateral partner CAA to conduct 

surveillance activities or conformity inspection(s) at a supplier facility, 

the PAH will be responsible for any charges imposed by the CAA to 

accomplish the request(s).
xx/xx/xxxx AC 21-43A

4-1

Chapter 4. Electronic Records

4-1. Purpose. This chapter provides information and guidance to PAHs on managing 

and controlling information systems that generate and store records used in the 

manufacture of products and articles. 

4-2. Background. Several CFR sections require PAHs to maintain manufacturing and 

quality records as evidence that products and articles were produced in accordance with 

approved design requirements. As the aerospace industry has grown, many PAHs have 

developed or purchased information systems to generate and store manufacturing and 

quality records. This chapter does not discuss what manufacturing and quality records 

should contain. Rather, it describes the control mechanisms that a PAH should use for an 

information system that generates or stores records of products and articles manufactured 

to CFR requirements. 

4-3. Electronic Manufacturing and Quality System Records. The record system 

should detect and deter unauthorized disclosure, modification, or use of records. Record 

systems require protection to ensure an accurate history of the manufacturing process 

of a product or article. An information management system should be protected from 

intruders. The system should also be protected from employees with authorized access 

privileges who attempt to perform unauthorized actions. Protection is achieved not only 

by technical, physical, and personnel safeguards, but also by clearly articulating to all 

employees the organizational procedures regarding authorized system use. 

a. Security Principles of Electronic Record Systems. Although information 

management systems are diverse, common security attributes should be present in all 

record systems. An acceptable electronic record system should include the following: 

(1) User Identification. Each system user should be uniquely identified in the 

system with an account number or other identification code. This code identifies who has 

logged onto the system and is the primary means of verifying access. The information 

management system should retain the user identification codes entered to verify the 

requests made on the system. This information should be available for review by the 

system manager.

(2) Authentication of User. There should be a means of verifying that the 

person entering the user identification code is the authorized individual. Typically, this 

authentication is through a password known only to the authorized user. This password 

would allow access to the system only when used together with the user identification 

code. Passwords should be updated periodically. 

(3) Principle of Least Possible Privilege. The authorization capability of 

the record system should follow the principle that each person is limited to only the 

information and transaction authority required by their job responsibilities. Privacy 

locks may be used to ensure this principle is followed. The level of access at which 

information is guarded within the system will depend on the design of the system. 

Based on the design of the information management system, privacy locks and keys 
xx/xx/xxxx AC 21-43A

4-2

may control single data elements or any combination of data elements. Levels 

of protection may include the following:

(a) Data items, 

(b) Data aggregates, 

(c) Sets, 

(d) Fields, 

(e) Files, or 

(f) The complete system. 

(4) Relation to Quality Data Responsibilities. The system should ensure 

authorization privileges coincide with the responsibilities outlined in the organization’s 

quality system. For example, a manufacturing individual should not normally have write 

capability to an inspection acceptance field within a manufacturing record. Additionally, 

an inspector should not have access to a material review engineer disposition field within 

a material review record. The system should be capable of assigning each user the 

specific access authority needed. The various types of authorization may include 

the following: 

(a) Read-Only Access. Allows the user to read all or specific fields of 

information, but does not allow any write or data manipulation capability. 

(b) Insert or Write Access Authorizations. Allows the user to enter data 

into specified fields or series of fields. 

(c) Change Access Authorizations. Allows the user to change entries 

in specified fields, but does not allow removal of the original entry. This may be 

accomplished by adding information to a restricted field (which is only used when the 

information in a field will be retained) but the information is not correct. For example, 

when an article has been rejected by inspection, the rejection history may need to be 

retained even after the article is repaired. Change access authorization may be given to 

allow a senior inspector the authority to change the inspection status of a reworked 

article; however, the record retains the original rejection indication and the user 

identification of the individual making the change. 

(d) Delete Access Authorizations. Allows the user to remove entries and 

leave the fields blank. While authorization to delete information by the user making the 

entry may be unrestricted, subsequent delete authorization should be closely controlled. 

Delete access authorization may be issued only to supervisors for deleting incorrect 

entries by subordinate employees. Subsequent to final approval of a product or article, 

information should not be deleted. After approval, incorrect data should be changed 

rather than deleted. 
xx/xx/xxxx AC 21-43A

4-3

(e) Security Access Authorizations. The system manager should retain the 

security access authorizations. These authorizations should only be exercised when 

properly executed documents allow their use, such as an approval letter signed by the 

director of quality. 

b. Auditing Mechanisms. The information management system should include 

mechanisms that detect security breaches. These breaches should include any attempt to 

circumvent security or modify data without authorization. When such a security breach 

is detected, the system should alert the security manager and note any fields that have 

been accessed. The security breach information should be retained within the system 

until reviewed by the system manager. Security breach logs should be available only to 

select individuals and be protected from modification or data alteration at all times. 

Normally the system operator will be warned of unauthorized activity. Serious events, 

such as repeated unauthorized access attempts, may generate alarms at the system level. 

c. Protection Against Software and Hardware Destruction. Information system 

records should be protected from destructive computer programs (that is, computer 

viruses) that attack or degrade the software. Information management systems should 

include virus detection programs that ensure viruses are not introduced into the 

environment through contaminated software or hardware. 

(1) Inventories. Inventories of all software and hardware configurations and 

locations should be used to ensure unauthorized hardware/software does not enter the 

information management system’s environment. 

(2) Portable Equipment. Portable computer equipment such as laptops 

represent special risks from destructive software, therefore, procedures should address 

their use in the information management system’s environment. 

(3) Network Security. Many PAHs use large information management system 

networks with several interacting workstations or terminals. If a large interactive system 

is used, procedures should address additional protection necessary to control the network. 

The PAH should define the degree of protection, based on the complexity and application 

of the system.

(4) System Backup. Provisions should be developed for loss of data resulting 

from system failure. In all cases, lost data will be regenerated. The amount of time 

between backups will depend on the degree of risk the approval holder wishes to accept 

to reestablish lost information.

d. Media Control. The media on which information is stored should be carefully 

controlled and protected. Transportable media such as tapes, disks, and cartridges should 

be stored in secure locations. Media from external sources should be subject to 

validation to ensure they are from authorized sources. The listing below provides some 

examples of the types of media available.
xx/xx/xxxx AC 21-43A

4-4

(1) Floppy disks and computer hard drives should not be used for long-term 

storage of quality and manufacturing records. Information that will be retained for more 

than 3 months should be transferred to optical disks or magnetic storage media such as 

chromium dioxide or metal particle tapes. An external or electronic labeling system 

should be used that ensures retrieval of individual records. 

(2) Magnetic tapes should be tested within 6 months of use to verify the tape is 

free of errors and complies with the standards of the National Institute of Standards and 

Technology. Optimally, new tapes that have been maintained in a cool dry environment 

should be chosen for storing records. Specific storage criteria for magnetic tapes includes 

the following: 

(a) Environmental temperatures between 62 and 68 degrees Fahrenheit. 

(b) Relative humidity between 35 percent and 45 percent. 

(c) All tapes should be rewound under controlled tension every 31⁄2 years. 

(d) All information that will be retained for more than 10 years should be 

transferred to new tapes before reaching 10 years. 

(e) Annually, a statistically valid sample of all tapes should be tested to 

identify any loss of data. Tapes with 10 or more errors due to storage conditions should 

have all data transferred to new tapes. If the sample contains defective tapes, all other 

tapes that might have been affected by the same cause (that is, poor quality tape, high 

usage, poor environment, or improper handling) should be tested and corrected. 

(f) Smoking, eating, or drinking in the magnetic tape storage or test areas 

should be prohibited. 

(3) Chromium dioxide tapes should be handled like magnetic tapes except for 

periodic rewinding and cleaning. Although unproven, some industry experts believe 

rewinding and cleaning can be destructive to these tapes.

(4) Before use of any metal particle tapes for long-term storage, the PAH 

should ensure the tapes can maintain the integrity of the data stored. 

(5) Additional information regarding long-term storage of electronic 

media can be found in the National Institute of Standards and Technology’s Special 

Publication 500-101, Care and Handling of Computer Magnetic Storage Media. 

This publication is available from the Superintendent of Documents, U.S. Government 

Printing Office, Washington, DC 20402. 
xx/xx/xxxx AC 21-43A

4-5

(6) Optical disks are recommended for their greater durability over older media 

such as magnetic tapes or disks.

(a) Gold compact disks or digital versatile disks are preferred over similar 

media for long-term data storage. This is preferred over aluminum and silver writing 

surfaces, which are susceptible to corrosion or oxidation.

(b) The PAH should maintain data transferred to storage, and provide 

access and ensure integrity of information for the long term. This may require migrating 

data from one media to the next to avoid media obsolescence. The devices necessary to 

read the discs should also be kept and maintained.

(c) When obtaining archival grade discs, the PAH should consider the 

following: dye failure, bonding failure, scratches, and production quality. Testing is a 

highly recommended step in the process as conditions vary from machine to machine and 

among disks. It is recommended that the PAH keep multiple copies. Ideally one master 

copy should be stored under optimal conditions; one in-use copy should be stored for 

access purposes; and one safety copy should be stored at a different location.

(d) Rewritable disk formats are not recommended as their use can lead to 

accidental, but permanent, loss of data.

(e) Optical disks, for all their resilience, are still susceptible to 

environmental factors. Optical disks should not be exposed to extreme temperatures or 

direct sunlight that may cause heat buildup in the disk or damage the data layer with 

ultraviolet rays. The environment should optimally be maintained between 65 and 

75 degrees Fahrenheit, and between 30 and 50 percent humidity.

e. Documentation. The information management system should be 

properly documented. 

(1) All software programs within the system, including program changes, 

should be fully documented. 

(2) Procedures should be developed that control all data entered into the system. 

The procedures should address all information management system and human 

interface activities. 

f. Availability. The information management system industry is extremely 

dynamic concerning the systems that are available for recordkeeping. If the PAH 

changes from one system to another, the records produced by the old system will remain 

accessible to the FAA in a usable format. The PAH’s documented quality control system 

should indicate how this accessibility is accomplished. 
xx/xx/xxxx AC 21-43A

4-6

4-4. Information Management System Facility Management. The information 

management system cannot be properly protected unless the facilities that house the 

equipment are properly protected from physical threats and hazards. Areas that should be 

considered include the following: 

a. Physical Security. Each area where electronic records will be used should be 

surveyed for potential physical hazards. Fire and water are two of the most damaging 

forces regarding electronic information. Although not all hazards can be eliminated, 

opportunities for loss can be minimized by careful planning. 

b. Environmental Conditions. Procedures should address the environmental 

conditions (for example, temperature, humidity, static) of the areas where the record 

system computers and stored media are located. Manufacturer specifications provide a 

useful guide for developing procedures. 

c. Disaster Recovery. A contingency plan should be developed that will 

allow recovery of critical system information in case of a disaster, such as a fire. 

One acceptable method is to have a remote backup system to which data is 

regularly transferred. 

4-5. Training. Organizations that have elected to use electronic record systems should 

train each employee who is involved with any portion of that system. The subject matter 

and objectives should vary depending on the employee’s level within the organization 

and job responsibilities. Training should include security awareness, organizational 

policy, system operation, and record storage requirements. Training should be 

documented and those documents made available for review by the FAA. 
xx/xx/xxxx AC 21-43A

5-1

Chapter 5. Internal Audit Program

5-1. Purpose. This chapter provides information and describes criteria for establishing 

an internal audit program. This chapter may be used by PAHs and their suppliers to 

show compliance with § 21.137 regarding internal audits.

5-2. Background. An internal audit program is a comprehensive, continuous 

monitoring process that is initiated and usually managed by top company and quality 

assurance (QA) management. The personnel conducting the various audits in support of 

the internal audit program may be internal or external to the process. The objective of 

this process is to promote attitudes and procedures that focus on controlling processes, 

rather than depending on corrections of deficiencies, to meet quality goals.

5-3. Types of Internal Audit Programs. An internal audit program should be part of 

the overall quality system, be approved by top company and QA management, and have 

a detailed written description of the key elements of the program. Each PAH is unique 

regarding size, facilities, personnel, resources, and methods of operation. Therefore, 

different types of programs may be appropriate for individual organizations. The 

three basic audit programs commonly used are (1) a dedicated internal quality audit 

department, (2) a dedicated individual manager with part-time auditors provided from 

throughout the organization, and (3) a combination of internal and external resources. 

5-4. Elements of an Internal Audit Program. An internal audit program should 

provide an adequate level of independence, a reporting process that ensures an 

accountable manager is aware of the audit results, and an effective corrective action 

process. The corrective action process should determine the root causes of deficiencies, 

correct these deficiencies, and prevent the recurrence of deficiencies. The program 

should have a structure and process designed to improve all system elements and 

processes that affect product quality. The key elements of an internal audit program 

are as follows:

a. Audit Planning.

(1) Audit Schedules. Specific audit schedules should identify areas or activities 

subject to audit and ensure they are audited in a predetermined frequency and defined 

timeframe. Audit schedules should be based on the criticality of the activity being 

audited and should consider factors such as audit result history, production volume, 

process performance, high-risk areas, and management concerns. 

(2) Auditor Selection. The internal quality audit program should specify that 

auditors receive training in auditing, audit principles, and systems analysis techniques. 

When full-time dedicated audit resources are not practical, developed procedures should 

show that persons performing audits or supervising audit teams are not directly 

responsible for the areas being audited.

(3) Audit Preparation. The auditor needs to be cognizant of internal and 

external requirements and other factors that may impact the process.
xx/xx/xxxx AC 21-43A

5-2

(4) Checklist Development. A thorough audit program should determine and 

evaluate how an organization’s quality manual, operating procedures, process controls, 

methods, and practices account for and incorporate all internal and external requirements. 

The questions contained in a checklist, in effect, transpose standards, regulations, or 

procedural requirements into a series of questions. The checklist denotes points to be 

checked and helps the auditor determine the correct order in which to proceed with 

an audit. 

b. Conducting the Audit. The auditor should use the audit checklist to gather 

evidence to determine compliance or noncompliance to the quality system or standard 

being evaluated. Evidence is gathered via review of products or articles, documents, 

observation of activities, record checks, and interviews with key individuals in the area(s) 

under review. Evidence gathered during the audit should be documented as the audit 

is conducted. 

c. Reporting the Results. A report should be prepared documenting the results of 

the audit. Procedures should be in place allowing straight-line reporting from the audit 

team to top company and QA management. The audit report should, at a minimum, 

include the following:

(1) Date the audit was conducted,

(2) Auditor performing the audit,

(3) Standard or procedure the audit was conducted against (for example, part 21 

requirements or the PAH Quality Manual),

(4) Summary of findings. This should include a brief descriptions of the 

findings and supporting documents (for example, PAH procedures or records),

(5) Evaluation and relative importance of a finding (major or minor), and

(6) Summary of observations, both positive and negative.

d. Root Cause/Corrective and Preventive Action. The PAH should determine 

root cause and develop a corrective and preventive action plan.

e. Close the Audit Findings. After the process owner indicates completion of 

the corrective action, QA management should verify that process changes effectively 

corrected the existing deficiency and prevented recurrence. If the verification process 

indicates that the corrective action was not effective, top company management should be 

notified. QA management should then request additional corrective action and 

revalidation from the process owner.

f. File Report. Audit reports, including corrective action and closure data, should 

be maintained.
xx/xx/xxxx AC 21-43A

6-1

Chapter 6. Additional PAH Requirements

6-1. Quality Manual. Sections 21.138, 21.308, and 21.608 state that each applicant or 

current PAH provide a manual describing its quality system to the FAA for approval. 

The manual is required by the rule to be in the English language and retrievable in a form 

acceptable to the FAA. 

a. If the quality manual is stored digitally through a computer-based medium, it 

should be easily available to PAHs and FAA personnel who need to use the manual for 

performing their duties. 

b. PAHs are reminded that the manual is required by the rule to address all of the 

quality system requirements in 21.137.

6-2. Location of or Change to Manufacturing Facilities. Sections 21.139, 21.309, 

and 21.609 state that a PAH may obtain a production approval for manufacturing 

facilities located outside the United States, if the FAA finds no undue burden in 

administering the applicable requirements of Title 49 of the United States Code and 

this subchapter. 

a. The PAH is required by the rule to obtain FAA approval before making any 

changes to the location of any of its manufacturing facilities. 

b. The PAH is required by the rule to immediately notify the FAA, in writing, of 

any change to the manufacturing facilities affecting the inspection, conformity, or 

airworthiness of its product or article. 

c. Each applicant for a production approval or current PAH should check with its 

local MIDO to determine approval and notification methods.

6-3. Inspections and Tests. 

a. Sections 21.140, 21.310, and 21.610 state that each applicant or current PAH 

allow the FAA to—

(1) Inspect its quality system, facilities, technical data, and manufactured 

products or articles,

(2) Witness any tests including any inspections or tests at any supplier 

facility (within the PAH’s supply chain) necessary to determine compliance with the 

applicable subchapter. 

(3) Have access to all involved facilities in the supply chain. The PAH should 

also ensure access to and cooperation of all involved facilities in the supply chain for 

itself or its representatives.
xx/xx/xxxx AC 21-43A

6-2

b. Section 21.310 also prescribes prohibitions unique to that section. PAHs

operating under subpart K should refer to the applicable section to ensure they are not in 

violation of those prohibitions.

6-4. Issuance of a Production Approval. Sections 21.141, 21.311, and 21.611 states 

that the FAA issues a production approval after finding that the applicant complies with 

the requirements of the applicable subpart. 

a. Applicants for a production approval should ensure they have reviewed and 

documented how they have met the applicable requirements so the FAA may complete a 

timely review.

b. Applicants for a production approval that are part of a multinational and/or 

multicorporate consortium may refer to appendix G to this AC for further guidance on 

how to comply with § 21.137.

6-5. Production Limitation Record. Section 21.142, Production limitation record,

states that the FAA will issue a production limitation record (PLR) as part of a PC. 

The PLR lists the TC number and model of every product the PAH is authorized to 

manufacture. In addition, the PLR identifies every interface component the PC holder 

is authorized to manufacture and install. Applicants for a PC should ensure the PLR 

accurately reflects the product(s) and interface components they intend to manufacture.

6-6. Duration. 

a. Sections 21.143, 21.313, and 21.613 state that a production approval be 

considered effective until it is surrendered, suspended, revoked, or terminated by the 

FAA. There are minor differences between the duration of a PC and that of a PMA or 

TSO authorization. Applicants receiving a production approval should refer to the 

applicable section for information on the duration of a particular production approval. 

b. Section 21.613 also sets forth the requirements for revised or canceled TSOs. 

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. 

However, the holder is required by the rule to comply with the requirements 

of this chapter.

6-7. Transferability. Sections 21.144, 21.314, and 21.614 states that a PAH may not 

transfer a production approval or letter of TSO design approval. 

a. The FAA prohibits that transfer of a production approval, but the FAA 

recognizes that companies do change ownership. In many cases, design data, quality 

systems, and manufacturing processes are all transferred as part of the change in 

ownership, and in these instances the FAA will support the establishment of a new 

production approval. 
xx/xx/xxxx AC 21-43A

6-3

b. Applicants for new production approvals based on previously issued production 

approvals should consult their local Aircraft Certification Office and Manufacturing 

Inspection Office for assistance.

6-8. Privileges. Section 21.145, Privileges, identifies privileges associated with a 

production certificate. PAHs should refer to the applicable section to ensure they know 

these privileges.

6-9. Responsibility of Holder. Sections 21.146, 21.316, and 21.616 prescribe a PAH’s 

responsibilities. PAHs should refer to the appropriate rule section for the type of 

production approval they wish to obtain or maintain to ensure they understand all of the 

applicable requirements.

a. The PAH is responsible for controlling the manufacture of completed products 

and articles in conformity with the FAA-approved type design data and quality system 

requirements. This responsibility cannot be delegated to or relieved by the use of 

approved suppliers, risk and revenue sharing partners, or co-producers.

b. Although this responsibility never changes, the PAH may be relieved of some 

of the burden of inspection and testing duties when it uses type-certificated products or 

articles manufactured under another person’s production approval. This relief may be 

extended to include products or articles manufactured in a foreign country and imported

into the United States under the provisions of a bilateral agreement in accordance 

with part 21, subpart N, Approval of Engines, Propellers, Materials, Parts, and 

Appliances: Import. 

c. All types of PAHs now have substantially similar responsibilities, as 

described below. 

(1) Paragraph (a) of each section requires the PAH to document any 

organizational changes. Such documentation is accomplished by amending the document 

required by §§ 21.135, 21.305, and 21.605, respectively, detailing how the organization 

will comply with the provisions of the respective subpart. The PAH is required by the 

rule to provide these amendments to the FAA. This requirement ensures the FAA 

remains informed of changes in a PAH’s organization as well as its continued compliance 

with the respective subpart.

(2) Paragraph (b) of each section requires a PAH to maintain its quality system 

in compliance with the data and procedures approved for its production approval. 

(3) Paragraph (c) of each section requires a PAH to ensure each product or 

article conforms to its approved design and is in a condition for safe operation. 

(4) Paragraph (d) of each section requires a PAH to mark its product or article 

in accordance with part 45, including critical parts.
xx/xx/xxxx AC 21-43A

6-4

(5) Paragraph (e) of each section requires a PAH to identify any parts of the 

product or article that leave the manufacturer’s facility as FAA-approved. This includes 

the manufacturer’s part number and name, trademark, symbol, or other FAA-approved 

PAH identification. (Examples of other FAA-approved PAH identification are 

production approval number, cage code, or a federal supply code for manufacturers 

(FSCM).) The information may be conveyed in the form of stickers, tags, shipping 

documents, shipping containers, or by other means. This information may also be 

applied directly to the subassemblies or component parts in accordance with 

approved data.

(6) Paragraph (f) of each section requires a PAH to have access to type design 

data necessary to determine conformity and airworthiness for each product and article 

produced under its production approval. TSO authorization holders have the additional 

requirement of retaining this data until they no longer manufacture the article. At that 

time, copies of the data are required by the rule to be sent to the FAA.

(7) Paragraph (g) of each section requires a PAH to retain the document(s) 

granting production approval and make it available to the FAA on request.

(8) Paragraph (h) of each section requires a PAH to make available to the FAA 

information regarding all delegation of authority to suppliers. This includes delegations 

for the purpose of performing major inspections, delegations related to direct ship 

authorization, and delegations related to the disposition of nonconforming material.

6-10. Amendment of Production Certificates. Section 21.147, Amendment of 

production certificates, requires the following:

a. The applicant for an amendment to a PC to add a type certificate, model, or 

both must comply with the applicable requirements of §§ 21.137, 21.138, and 21.150.

b. The applicant for an amendment to a PC may have its PLR amended to allow 

the manufacture and installation of an interface component, provided—

(1) The design and installation data for the interface component is owned by, 

or licensed to, the applicant and made available to the FAA on request.

(2) The interface component is manufactured and installed by the applicant.

(3) The applicant’s product conforms to its approved type design and the 

interface component conforms to its approved type design data.

(4) The assembled product with the installed interface component is in a 

condition for safe operation.

(5) The applicant complies with any other conditions and limitations the FAA 

considers necessary.
xx/xx/xxxx AC 21-43A

6-5

c. The PC holder must apply for an amendment to a PC in a form and manner 

prescribed by the FAA. Currently, the method of applying for an amendment is the 

PAH’s submission to the FAA of a properly executed FAA Form 8110-12. 

6-11. Approval for Deviation. Section 21.618, Approval for deviation, requires a 

manufacturer requesting approval to deviate from a performance standard of a TSO to 

show that factors or design features provide an equivalent level of safety and compensate 

for the standards from which a deviation is requested. The manufacturer will send 

requests for approval to deviate to the appropriate ACO, along with all pertinent data. 

If the article is manufactured under the authority of a foreign country or jurisdiction, the 

manufacturer will send requests for approval to deviate, along with all pertinent data, 

through the CAA of that country or jurisdiction to the FAA.

6-12. Design Changes. Sections 21.319 and 21.619 prescribe what constitutes a major 

or minor design change, as well as who may make those changes. Minor changes will be 

approved under a method acceptable to the FAA. Major changes are required by the rule 

to be approved by the FAA before they can be included in the design of the product or 

article. PAHs that are uncertain if a design change is major or minor should consult with 

the FAA before implementing the changes. 

6-13. Changes in Quality System. Sections 21.150, 21.320, and 21.620 establish that 

each change to the quality system is subject to FAA review. Additionally, the PAH is 

required by the rule to immediately notify the FAA, in writing, of any change that may 

affect the inspection, conformity, or airworthiness of its product or article. PAHs that

wish to initiate changes to the quality system should submit the proposed changes to the 

MIO, MIDO, or Manufacturing Inspection Satellite Office (MISO) with certificate 

management responsibilities.

6-14. Issuance of Letters of TSO Design Approval: Import Articles. Section 21.621, 

Issue of letters of TSO design approval: Import articles, prescribes under what conditions 

a letter of TSO design approval may be issued for imported articles. 
xx/xx/xxxx AC 21-43A

Appendix A

A-1

Appendix A. Related Publications

1. Federal Aviation Administration (FAA) Orders.

a. FAA Order 8100.10, Requesting Conformity Inspections at a Supplier Outside a 

Geographic Area.

b. FAA Order 8100.11, Decision Paper Requirements for Undue Burden and 

No Undue Burden Determinations Under 14 CFR Part 21 for Production and Export 

Airworthiness Approvals.

c. FAA Order 8110.4, Type Certification.

d. FAA Order 8110.42, Parts Manufacturer Approval Procedures.

e. FAA Order 8120.22, Production Approval Procedures.

f. FAA Order 8120.23, Certificate Management of Production Approval Holders.

g. FAA Order 8120.12, Production Approval Holder Use Of Other-Parties To 

Supplement Their Supplier Control Program.

h. FAA Order 8120.13, International Cooperative Supplier Surveillance 

Program Procedures.

i. FAA Order 8130.21, Procedures for Completion and Use of the Authorized Release 

Certificate, FAA Form 8130-3, Airworthiness Approval Tag.

2. FAA Advisory Circulars (AC).

a. AC 20-115, Airborne Software Assurance.

b. AC 21-18, Bilateral Airworthiness Agreements.

c. AC 21-23, Airworthiness Certification of Civil Aircraft, Engines, Propellers, and 

Related Products Imported to the United States.

d. AC 21-24, Extending a Production Certificate to a Facility Located in a Bilateral 

Airworthiness Agreement Country.

3. Society of Automotive Engineers (SAE) Documents. Copies may be purchased 

from the SAE.

a. SAE Aerospace Standard (AS) 9100B, Quality Management Systems -

Aerospace Requirements. 

b. SAE AS9102A, Aerospace First Article Inspection Requirement. 

c. SAE AS9006, Deliverable Aerospace Software Supplement for AS9100A. 
xx/xx/xxxx AC 21-43A

Appendix A

A-2

d. SAE Aerospace Recommended Practice (ARP) 9005, Aerospace Guidance for 

Non-Deliverable Software. 

e. SAE ARP9013, Statistical Product Acceptance Requirements. 

f. SAE ARP9013/1, Statistical Product Acceptance Requirements Using Isolated Lot 

Sampling Methods.

g. SAE ARP9013/2, Statistical Product Acceptance Requirements Using Attribute or 

Variable Lot Acceptance Sampling Plans.

h. SAE ARP9013/3, Statistical Product Acceptance Requirements Using Process 

Control Methods.

i. SAE ARP9013/4, Statistical Product Acceptance Requirements Using Continuous 

Sampling, Skip-Lot Sampling, or Methods for Special Cases.

j. SAE ARP9114, Direct Ship Guidance for Aerospace Companies. 

k. SAE ARP9134, Supply Chain Risk Management Guidelines. 

4. Other Documents.

a. National Aerospace Standard (NAS) 410, NAS Certification and Qualification of 

Nondestructive Test Personnel.

b. Industrial Fasteners Institute Standard IFI-301, Gage Calibration Requirements and 

Procedures for Thread Gages.
xx/xx/xxxx AC 21-43A

Appendix B

B-1

Appendix B. Definitions

For the purposes of this document, the following definitions apply.

1. Accountable Manager. A representative of the applicant for or the holder of a 

production approval, that serves as the primary contact with the Federal Aviation 

Administration (FAA). The accountable manager is responsible for, and has the authority 

over, all production operations that are conducted under Title 14 of the Code of Federal 

Regulations (14 CFR) part 21, Certification Procedures for Products and Parts.

2. Airworthiness Approval. A document issued by the FAA for an aircraft, aircraft 

engine, propeller, or article that certifies the aircraft, aircraft engine, propeller, or article 

conforms to its approved design, unless otherwise specified, and is in a condition for 

safe operation. 

3. Applicable Design Data. All necessary drawings, specifications, and other technical 

information provided by the applicant for, or the holder of, a design organization 

approval, type certificate (TC), supplemental type certificate (STC), technical standard 

order (TSO) authorization, parts manufacturer approval (PMA), or equivalent, and 

released in a controlled manner for production purposes.

4. 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.

5. Approved Design Data. Applicable design data that has been granted an approval 

(for example, TC, STC, TSO authorization, PMA, or equivalent) by the relevant civil 

aviation authority (CAA).

6. Article. A material, part, component, process, or appliance.

7. Authorizations. Permission granted by management to individuals authorized full or 

partial admission to restricted access information management systems. 

8. Authorized Release Document. A certifying statement by the production approval 

holder that a given aircraft engine, propeller, or article (1) conforms to its approved 

design data or properly altered condition, and (2) is in condition for safe operation at the 

time of examination and release of the document.

9. Data. A set of alphanumeric and/or graphic characters organized to represent facts or 

instructions suitable for communicating, interpreting, or processing by a computer.

10. Direct Ship Authorization. The written authorization granted by a production 

approval holder (PAH) with responsibility for the airworthiness of an article, to a supplier

to ship articles produced in accordance with the PAH’s quality system, directly to end 

users without the parts being processed through the PAH’s own facility.
xx/xx/xxxx AC 21-43A

Appendix B

B-2

11. Field. An element of a computer file that may contain data and whose size is 

controlled by the program. 

12. Information Systems. A computer system designed to automate a specific function, 

such as records management.

13. Interface Component. An article that serves as a functional interface between an 

aircraft and an aircraft engine, an aircraft engine and a propeller, or an aircraft and 

a propeller.

14. Licensing Agreement. A commercial agreement between a TC or STC holder and a 

PAH (or applicant) formalizing the rights and duties of both partners to use the design 

data for the purpose of manufacturing the product or article.

15. Privacy Keys. A password or procedure that allows full or partial access to a 

restricted information management system. 

16. Privacy Locks. A procedure that restricts access to a portion of an 

information system. 

17. Production Approval. A document issued by the FAA to a person that allows 

the production of a product or article in accordance with its approved design and 

approved quality system and can take the form of a production certificate, a PMA, 

or a TSO authorization.

18. Quality Escape. A product or article that has been released from the quality system 

and does not conform to the applicable design data or quality system requirements.

19. Quality System. A documented organizational structure containing responsibilities, 

procedures, processes, and resources that implement a management function to determine 

and enforce quality principles.

20. Read-Only Capability. The authority given to an individual, allowing that person 

to access or read data in a field without being able to change or enter data. 

21. Salvageable. Aviation parts that are unserviceable (or of unknown status) 

that may have a potential aviation use. Salvageable parts may be considered in 

different categories:

a. Non-airworthy parts which may be worth storing until restored to an airworthy 

condition, or until they are shown to be airworthy with adequate documentation and/or 

testing; and

b. Parts that cannot be found airworthy at the time they are stored; but, there is 

reason to believe that they are likely to have future aviation value. For example, a part 

that has reached its present life limit may be stored in an area in anticipation of an 

increase in that limit based on in-service experience and analysis, or a part that requires 
xx/xx/xxxx AC 21-43A

Appendix B

B-3

repair for which there is currently no approved process may be stored in anticipation of a 

new approved process.

22. Scrap. Products and articles an owner has disposed of because they are beyond 

economical repair, considered to be of little value, or unusable for any other aviation 

reason. Scrap products and articles are placed into four categories:

a. Products and articles that have no value except for the base material.

b. Products and articles whose misuse in aviation poses an insignificant safety risk.

c. Products and articles that were used in low-risk safety aviation applications and 

may have future use in non-aviation applications.

d. Products and articles that were used in safety-critical aviation applications and 

may have future use in non-aviation applications.

23. Standard Part. A part manufactured in complete compliance with an established 

Government or industry-accepted specification that contains design, manufacturing, and 

uniform identification requirements. The specification must include all information 

necessary to produce and conform the part, and must be published so any 

person/organization may manufacture the part. 

24. Supplier. Any person that provides a product, article, or service, at any tier in the 

supply-chain that is used or consumed in the design or manufacture of, or installed on, a 

product or article.

25. Write Capability. The authority given to a user that allows that person to enter or 

change data in a field. 
xx/xx/xxxx AC 21-43A

Appendix C

C-1

Appendix C. Production Under Type Certificate

1. Purpose. This appendix covers only those sections of Title 14 of the Code of 

Federal Regulations (14 CFR) part 21, subpart F, Production Under Type Certificate, 

where further discussion, information, or examples would be helpful. The headings 

of each of the following main paragraphs refer to the applicable section of subpart F. 

A manufacturer producing a product under subpart F is allowed to produce and sell 

articles associated with its product as spares for that product only.

2. Discussion. 

a. Section 21.121, Applicability. The term “production under a type certificate” 

refers to production by a type certificate (TC) holder or its licensee without benefit of a 

production approval for that product or article thereof.

b. Section 21.122, Location of or change to manufacturing facilities.

(1) If the Federal Aviation Administration (FAA) finds no undue burden in 

administering the applicable requirements of Title 49 of the United States Code and 

14 CFR chapter I, subchapter C, Aircraft, the manufacturer may use manufacturing 

facilities located outside of the United States. 

(2) The TC holder is required by the rule to obtain FAA approval before making 

any changes to the location of any of its manufacturing facilities. 

(3) The TC holder is required by the rule to immediately notify the FAA, in 

writing, of any change to the manufacturing facilities that may affect the inspection, 

conformity, or airworthiness of its product or article thereof. 

(4) Each TC holder should check with its local Manufacturing Inspection District 

Office to determine approval and notification methods.

c. Section 21.123, Production under type certificate.

(1) Paragraph (c) requires each manufacturer of a product or article thereof under 

a TC to maintain completed inspection and test records for 5 years. For critical parts 

identified under 14 CFR part 45, Identification and Registration Marking, § 45.15(c), the 

record retention requirement is 10 years. The beginning of the 5-year or 10-year record 

retention for a given product or article thereof corresponds to the manufacturing 

completion date of that product or article. These records will enable the TC holder to 

prove to the FAA that it has properly completed and documented all inspections and tests 

required to ensure compliance with subpart F. Manufacturers are required by the rule to 

maintain evidence that indicates conformance or nonconformance of the product or 

article thereof regarding required inspections and tests. 
xx/xx/xxxx AC 21-43A

Appendix C

C-2

(2) Paragraph (d) requires each manufacturer of a product or article thereof 

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. “Allowing” 

means the manufacturer will—

(a) Give free and full access to facilities, information, and relevant data to 

show compliance with this subchapter, and

(b) Provide appropriate assistance to the FAA to enable the FAA to perform 

these inspections and tests. Inspections and tests include audits, inquiries, questions, 

discussions, monitoring, witnessing, checks, flight and ground tests, and inspections of 

in-process and completed products or articles thereof, and all relegated design data.

(3) Paragraph (f) requires a TC holder to identify any parts of the product that 

leave the TC holder’s manufacturing facility as FAA-approved. This includes the 

manufacturer’s part number and name, trademark, symbol, or other FAA-approved 

identification (for example, a cage code or a federal supply code for manufacturers 

(FSCM)). The information may be conveyed in the form of stickers, tags, shipping 

documents, shipping containers, or by other means. This information may also be 

applied directly to the subassemblies or component parts in accordance with 

approved data. 

(4) Paragraph (g) requires the manufacturer producing under subpart F to obtain a 

production approval under subpart G, Production Certificates, within 6 months of the 

TC’s issuance. The following requirements apply:

(a) During the 6-month period from the TC’s issue date, each completed 

product or article thereof is subject to FAA inspection before the issuance of 

airworthiness certificates or approvals. Because of limited FAA monetary and manpower 

resources, these inspections may be delayed or be very time-consuming, and would 

normally allow a very low production rate by the TC holder. It is, therefore, to the 

TC holder’s advantage to develop and implement an approved system in accordance 

with subpart G as quickly as possible. 

(b) If the TC holder does not establish and implement an approved system in 

accordance with subpart G at the end of the 6-month period, and there are no extenuating 

circumstances to preclude such establishment and implementation, the FAA may 

discontinue inspections until an approvable system has been established.

d. Section 21.127, Tests: aircraft.

(1) Before the production flight test of aircraft, any items coming under the 

provisions of § 21.127(b)(5) should be checked. For example, it is important that—

(a) The means provided to level the aircraft are accurate and in conformity 

with type design data.
xx/xx/xxxx AC 21-43A

Appendix C

C-3

(b) Each aircraft is weighed to determine the empty weight and center of 

gravity is in conformity with the type design data.

(2) The flight test procedure and flight check-off form, required to be established

and approved under § 21.127, should be submitted to the FAA Aircraft Certification 

Office for approval.

e. Section 21.128, Tests: aircraft engines.

(1) The test equipment used for test runs should be capable of accurate output 

determinations sufficient to ensure the engine output delivered complies with official 

ratings and operating limitations.

(2) Following the tests prescribed by § 21.128, each engine is subject to 

FAA inspection to determine the engine is in condition for safe operation. Such 

inspection may also include internal inspection and examination to ensure no unsafe 

condition exists. The degree of internal inspection will normally be determined by the 

cumulative results of such inspections conducted on the first production engines, and 

by service experience. The FAA may consider a statistical plan for internal engine 

inspections if the TC holder submits a proposal based on product uniformity, a 

satisfactory history of previous internal inspections, and service experience.

f. Section 21.129, Tests: propellers.

(1) An acceptable functional test for variable pitch propellers would include 

25 complete cycles of the control throughout the propeller pitch and rotational speed 

ranges. Additionally, for feathering or reversing propellers, there should be five cycles 

of feathering operation and five cycles of reversing operation from the lowest normal 

pitch to the maximum reverse pitch.

(2) Following the functional test, each propeller is subject to inspection by the 

FAA in a similar manner as that described for engines in paragraph 2e of this appendix.

g. Section 21.130, Statement of conformity. On receipt of the statement of 

conformity, the FAA will inspect the completed product to determine it conforms to the 

type design and is in condition for safe operation. If so, an airworthiness certificate will 

be issued for aircraft, or an airworthiness approval tag will be issued for an engine, 

propeller, or articles thereof.
xx/xx/xxxx AC 21-43A

Appendix D

D-1

Appendix D. Scrap or Salvageable Aircraft Products and Articles

1. Purpose. The information provided in this appendix may be used by production 

approval holders and their suppliers. This information may be—

a. Applied to manufacturers involved in the control, distribution, sale, maintenance, 

or disposition of scrap or salvageable aircraft engines, aircraft propellers, and 

aircraft articles.

b. Used to identify, segregate, and control rejected products and articles to preclude 

their use in a finished product.

2. Background. Products and articles may be deemed scrap or salvageable once they 

are determined as unserviceable or ineligible for installation on an aircraft, aircraft 

engine, or aircraft propeller. In some cases, it has been common practice to dispose of 

scrapped products and articles by selling, discarding, or transferring the articles. A lack 

of proper industry controls may result in an article being copied or repaired, reintroduced 

into the market, and being falsely identified as an approved article. Use of such products 

and articles can have serious safety implications and liabilities for the manufacturer, 

aircraft operator, or repair facility. Using an effective system to control scrap or 

salvageable products and articles will reduce the chances that these articles will be 

distributed or sold as serviceable.

3. Documenting the Process. Maintaining a well-defined quality program is 

fundamental to controlling rejected products and articles. One element to be addressed 

within this program is the control and disposal of scrap and salvageable products and 

articles. Quality systems without this element could allow products and articles to 

migrate back into active inventories.

4. Preventing Misrepresentation of Scrap Products and Articles.

a. Manufacturers should dispose of scrap products and articles through mutilation, 

when appropriate. Proper and thorough mutilation of products and articles will ensure 

they are unusable for their original application and render them incapable of being 

reworked or camouflaged to provide the appearance of being serviceable. 

b. Effective mutilation may be accomplished by one or a combination of the 

following methods: grinding, burning, removal of a major integral feature, permanent 

distortion of products and articles, cutting a significant size hole with a cutting torch or 

saw, melting, sawing into many small pieces, and removing manufacturer identification, 

part, lot, batch, and serial number.
xx/xx/xxxx AC 21-43A

Appendix D

D-2

5. Disposing of Scrap Products and Articles. Manufacturers disposing of scrap 

products and articles may choose to release them for legitimate non-flight use. This 

non-flight use may include training, education, research and development, tool set up, 

or non-aviation applications. In such instances, mutilation may not be appropriate. 

The following methods may be used to prevent future misrepresentation:

a. Permanently and clearly mark the products and articles as “Not for Aviation Use” 

and “Not Serviceable.” Ink stamping is not normally considered an acceptable method 

unless indelible ink is used and the products and articles are checked to ensure the ink 

cannot be removed.

b. Remove part number identification.

c. Remove identification plate and marking.

d. Maintain a tracking or accountability system, by serial number or other 

individualized data, to record transferred scrap products and articles.

e. In any agreement or contract transferring scrap products and articles, develop 

written procedures identifying disposition and disposal requirements.

f. Secure a signed certification statement from the purchaser indicating “the purchaser 

will not use or convey these products and articles for use in aviation products.” 

g. For those articles determined to be scrap and having no further aviation use, 

manufacturers should—

(1) Establish and maintain procedures requiring documentation (for example, 

a written contract) from scrap dealers indicating their intent to properly dispose of all 

products and articles received. 

(2) Establish and maintain procedures to audit scrap dealers to their 

contract requirements. 

(3) Maintain records of serial numbers for scrapped life-limited or other critical 

products and articles. In such cases, the owner who mutilates applicable products and 

articles is encouraged to provide the original manufacturer with the data plate or serial 

number and final disposition of the product or article.

6. Preventing Misrepresentation of Salvageable Products and Articles.

a. Manufacturers handling salvageable products and articles should—

(1) Establish secure areas to segregate such articles from active serviceable 

inventories and to prevent unauthorized access.
xx/xx/xxxx AC 21-43A

Appendix D

D-3

(2) Develop procedures to address the retention of records for products and 

articles exceeding current repair criteria and life limits and that are being held in 

anticipation of future repair methods or extension to life limits. Caution should be 

exercised to ensure these products and articles receive the appropriate final disposition.

b. Aviation safety is best served with sound processes that control scrap and 

salvageable products and articles. Using the practices identified in this document will 

reduce the potential that these articles will be distributed and sold as serviceable products. 

With aviation safety in mind, the aviation community is responsible for preventing 

misrepresentation of aviation products and articles. The Federal Aviation Administration 

(FAA) encourages manufacturers to establish a program that controls scrap and 

salvageable products and articles as an integral part of their quality management systems.

c. Misrepresented products and articles that are offered for sale, or have been 

furnished for aviation use, should be reported to the FAA. This may be accomplished by 

submitting FAA Form 8120-11, Suspected Unapproved Parts Notification, or by calling

the Aviation Safety Hotline toll free number, 800-255-1111.
xx/xx/xxxx AC 21-43A

Appendix E

E-1

Appendix E. Issuing Authorized Release Documents for 

Aircraft Engines, Propellers, and Articles

1. Purpose. This appendix provides information and guidance for the production 

approval holder (PAH) in developing procedures required by Title 14, Code of Federal 

Regulations (14 CFR) § 21.137(o) for the issuance of authorized release documents, in 

the form of Federal Aviation Administration (FAA) Form 8130-3, Airworthiness 

Approval Tag, for new aircraft engines, propellers, and articles; and for used aircraft 

engines, propellers, and articles when rebuilt or altered in accordance with 14 CFR §

43.3(j).

a. The use of authorized release documents by a PAH is not a requirement, but a 

choice. The PAH may choose to issue an authorized release document, in the form 

of an FAA Form 8130-3, for its product or article, or choose to use FAA personnel or 

designees when it needs this document. However, once the PAH has decided to add this 

capability to its quality system and the FAA has approved its procedures, the FAA

expects the PAH will use its approved system exclusively to issue authorized release 

documents, in the form of FAA Form 8130-3.

b. Section 21.137(o) requires, should the PAH choose to issue authorized release 

documents, its quality system procedures must provide for the selection, appointment, 

training, management, and removal of individuals authorized by the PAH to issue 

authorized release documents. These procedures should use current FAA policy 

regarding FAA designees as a guide, as described in applicable FAA orders.

2. Background, Knowledge, and Experience. In selecting and appointing individuals 

authorized to issue authorized release documents, the PAH needs to ensure those 

individuals possess knowledge of the applicable FAA regulations, policies, guidance, 

and procedures and have the technical experience and skills appropriate for the 

complexity of the product or article for which an authorized release document is to be 

issued. In addition, the PAH’s selection and appointment records should show that the 

individual’s background, knowledge, and experience demonstrate his or her integrity and 

ability to apply sound judgment. The FAA strongly suggests the PAH review the 

knowledge, experience, skill, and training requirements used by the FAA to select and 

appoint designees under 14 CFR part 183. 

3. Authorized Personnel. The PAH’s FAA-approved procedures should require a 

current listing of all personnel authorized to issue authorized release documents. This 

listing should include each authorized individual member by name, function(s), scope 

or limitations, and location at which their functions are to be conducted. The PAH’s 

authorized procedures should conform to current FAA policy and, at a minimum, address 

the following:

a. A process for determining the number of individuals needed to support the 

company’s workload.
xx/xx/xxxx AC 21-43A

Appendix E

E-2

b. The specific functions, products, or articles, and the location(s) where the services 

of an authorized individual will be needed. This would include both PAH facilities and

approved supplier locations within or outside the United States.

c. The general knowledge, type and length of experience, and technical qualifications 

requirements needed for a specific function, product, or article.

d. Training and testing requirements, to include initial, ongoing, and recurrent testing 

and training, and the required frequencies.

e. The continuous oversight/monitoring of all authorized individuals and their 

activities, regardless of location. This includes, for example, the scope of the oversight 

and its frequency.

f. Methods for maintaining adequate records for each authorized individual. This 

includes establishing a record retention period. The records should, as a minimum, 

contain the following information for each selected individual:

(1) Name,

(2) Date of birth,

(3) Experience,

(4) Verifiable references (technical and character),

(5) Training status,

(6) Scope of the authorization,

(7) Location(s) at which functions are to be conducted,

(8) Date of authorization,

(9) Appointment status,

(10) Expiration date of authorization (as appropriate), and

(11) Identification number of authorization (as appropriate).

g. A method for withdrawing an authorization.

h. Evidence of authorization. The method used should make it very clear to the 

PAH, the authorized individual, and the FAA who is authorized and the overall scope and 

limitations of their authorization.

i. A method for auditing the effectiveness of the overall authorized release 

document program.
xx/xx/xxxx AC 21-43A

Appendix E

E-3

j. A process for the removal of an individual’s authorization.

k. The retention period for records related to the issuance of each authorized release 

document (that is, FAA Form 8130-3).
xx/xx/xxxx AC 21-43A

Appendix F

F-1

Appendix F. Production Approval Holder/Supplier Arrangement

The following list comprises elements typically found in the arrangement between the

production approval holder (PAH) and the supplier, if applicable. Guidance on the 

content of each element is provided, but this is not intended to be comprehensive.

Note: The supplier arrangement may indicate whenever the PAH finds 

one or more of the elements to be inapplicable.

1. Scope. 

a. Identify articles to be provided by the supplier and associated supplier facilities.

b. Identify any limitation(s) defined by the PAH.

2. PAH Evaluation. Stipulate that the supplier is acting under the PAH quality system 

and that all of the corrective actions requested by the PAH will be implemented.

3. Implementation Procedures. Attach a quality plan or equivalent documentation to 

the contract.

4. Internal Quality System.

a. Identify methods for the PAH to evaluate the internal quality system of 

the supplier.

b. Describe the interface between the PAH’s quality systems and the supplier in the 

quality plan.

5. Design Data and Configuration Control.

a. Identify the design data package provided by the PAH, including all pertinent data 

required for the supplied article(s) to be identified, manufactured, inspected, used, 

and maintained.

b. Establish procedures for managing design changes.

6. Manufacturing Data. Identify the manufacturing data developed by the supplier, 

if any, based on the design data submitted by the PAH. (Refer to paragraph 5 

of this appendix.)

7. Test and Inspections (Including Incoming).

a. Identify procedures to define the necessary test and inspection processes—

(1) To ensure and determine the conformity of the supplied article(s) during the 

supplier’s manufacturing activities, and on receipt by the PAH.

(2) To be performed for qualification of the supplier (including first article 

inspection) and related documentation requirements.
xx/xx/xxxx AC 21-43A

Appendix F

F-2

b. The PAH may rely on inspections/tests performed by a supplier, provided:

(1) Personnel responsible for these tasks satisfy the quality standards of the PAH, 

(2) Quality measurements are clearly identified, and

(3) The records or reports showing evidence of conformity are available for 

review and audit.

8. Identification and Traceability. Stipulate that the PAH flows-down to the supplier 

and any subtier suppliers identification and traceability requirements.

9. Supplier Personnel Competence. Identify the PAH’s requirements for the 

competence of supplier personnel (that is, production, inspection, and quality staff) 

competence, based on qualifications, education, training, skills, and experience.

10. Calibration. 

a. Ensure calibration is traceable to a national standard acceptable to the Federal 

Aviation Administration (FAA).

b. Ensure certificates are submitted where suppliers perform calibration services for 

the PAH.

11. Handling, Storage (Segregation), and Packing.

a. Identify requirements from the PAH concerning handling, storage, packing, and 

shelf life to be followed by the supplier. 

b. Address segregation of approved and non-approved articles as well as 

nonconforming articles.

12. Record Completion and Retention. Identify procedures for document management 

and retention by the supplier.

13. Nonconformities. Identify procedures for handling and documenting 

nonconformities between the PAH and the supplier, addressing—

a. The identification, documentation, and classification (major, minor) 

of nonconformities.

b. The disposition of nonconformities and the subsequent segregation and control of 

the nonconforming articles. This includes the secure disposition of scrap articles to avoid 

reuse (refer to paragraph 11 of this appendix).

Note: The disposition of nonconformities is generally the responsibility 

of the design approval holder. Nevertheless, it may be acceptable to 

the FAA for the design approval holder to delegate the approval of 

nonconformities to persons located in the organization of the PAH and 

its suppliers, thus acting as part of the design approval holder.
xx/xx/xxxx AC 21-43A

Appendix F

F-3

c. The immediate notification to the PAH on nonconforming articles that have left 

the supplier’s quality system.

14. Conformity Document. Specify the document by which the supplier certifies 

conformity to the applicable design data to the PAH.

15. Provisions for Direct Delivery/Direct Shipment. Identify the authorization and the 

requirements for direct delivery/direct shipment to end users from the supplier’s facilities, 

based on relevant regulatory requirements. (For direct shipment requirements, refer to 

chapter 3, paragraph 3-6k(5) of this AC.)

16. Assistance for Continued Airworthiness. Identify procedures for supplier 

assistance to the PAH for continued airworthiness, including methods to notify and act on 

notification of already delivered nonconforming articles, ensuring proper investigation 

and implementation of corrective action.

17. Subtier Suppliers.

a. Specify the conditions under which the supplier may subcontract to or obtain 

supplies from a third party. 

b. Specify procedures for:

(1) A supplier to flow-down the FAA and PAH requirements to subtier suppliers.

(2) Notification to the PAH in case of further subtier supplier activity and/or 

significant problems encountered during manufacturing.

18. Significant change to the Quality System. Require the PAH be notified, as soon as 

practical, of any changes to the supplier system (evaluated by the PAH) that may affect 

the quality of the supply.

19. Failures, Malfunctions, and Defects. Specify to the supplier the necessary 

requirements for reporting failures, malfunctions, and defects to ensure the PAH can 

comply with FAA requirements.

20. Access for the PAH and FAA. Ensure access to, and cooperation of, all involved 

facilities in the supply chain for the PAH and FAA. This will enable—

a. The PAH to verify compliance with the PAH-supplier arrangement and to assess 

the quality of the contracted articles, and

b. The FAA to investigate the PAH’s compliance with the applicable requirements 

at the supplier level.

21. Language. Identify the language to be used for the exchange of information 

(including all working documents, such as technical and quality data) that is acceptable to 

the FAA.
xx/xx/xxxx AC 21-43A

Appendix F

F-4

22. Identification of Responsibilities. Identify responsible office/function/positions in 

charge for all elements of the PAH-supplier arrangement.

23. Duration of the Supplier Arrangement. Identify the duration of the supplier 

arrangement in terms of time and/or quantity of supply to be delivered to the PAH.
xx/xx/xxxx AC 21-43A

Appendix G

G-1

Appendix G. Production Certification: 

Multinational/Multicorporate Consortia

1. Purpose. This appendix provides information and criteria for evaluating and 

approving the quality system of a multinational or multicorporate consortium seeking a 

production certificate (PC). This appendix does not apply to a type certificate (TC)

holder that enters into a licensing agreement with a manufacturer holding a PC at the time 

of license. The Federal Aviation Administration (FAA) does not consider such a 

licensing arrangement the formation of a PC. PC extensions are addressed in 

Advisory Circular (AC) 21-24, Extending a Production Certificate to a Facility 

Located in a Bilateral Airworthiness Agreement Country.

2. Discussion. A multinational/multicorporate consortium consists of a 

U.S. manufacturer(s) and a manufacturer(s) located outside the United States that have 

agreed to form a single company for production of a particular product. A consortium 

company usually exists in name only, in that it does not physically manufacture a product 

in one location. The consortium company retains responsibility for the design and quality 

of the product for which the PC has been issued. However, the consortium company may 

assign the manufacturing task to other partner companies or suppliers located 

domestically or in combination with manufacturers located outside the United States.

3. Requirements.

a. Title 14, Code of Federal Regulations part 21, § 21.135 requires an applicant for a PC 

to provide the FAA with a document describing how its organization will ensure compliance 

with subpart G, Production Certificates. The document is required to identify an accountable 

manager and describe assigned responsibilities and delegated authority. The accountable 

manager serves as the consortium company’s primary contact with the FAA. The document 

is required to describe the functional relationship between those responsible for quality to 

management and other organizational components. The FAA considers the consortium 

company to be the applicant for the PC.

b. Section 21.137, Quality system, requires PAHs to demonstrate they have 

established and can maintain a quality system for their product. This ensures each 

product or article thereof meets the design provisions of the pertinent TC. The FAA 

considers the consortium company to be the applicant, and the partner companies 

to be suppliers. 

c. The consortium company will be named on the PC, along with the consortium 

company address (possibly a corporate office) and the address(es) of the principal and 

subordinate manufacturing facilities. Extension of a PC to facilities located outside the 

United States may be authorized when certain criteria are met, as listed in AC 21-24. 

If a PC is extended to a facility located outside the United States, the FAA remains 

responsible for certificate management.
xx/xx/xxxx AC 21-43A

Appendix G

G-2

d. In the case of multinational/multicorporate consortia, if a partner company or 

supplier has an FAA-approved quality system for its own product, the PC applicant is 

still required to have an independent system meeting the requirements of subpart G.

e. A PC applicant functioning as a corporate entity, distributor, or assembler will 

have a viable means of ensuring all articles, processes, procedures, and completed 

products are properly inspected for conformity to the approved type design.

4. Quality System Documentation.

a. The applicant for a PC is required by the rule to establish to the FAA’s satisfaction 

that its quality system and procedures meet the requirements of § 21.137 before a PC 

is issued.

b. The quality system data will clearly specify that all facilities (domestic and those 

outside the United States) will be made accessible to the FAA and to the civil aviation 

authority (CAA) acting on behalf of the FAA. If articles or services are provided by a 

supplier or manufacturer in a country outside the United States, accessibility includes 

review of the data (drawings, specifications, procedures, and inspection records) and 

equipment pertinent to the product or articles produced under the PC.

c. The quality system manual proposed by the applicant will contain sufficient 

details establishing the quality system organization and procedures as a separate and 

independent entity (rather than simply incorporating by reference the quality systems of 

its partner companies). This does not preclude the use of, or reference to, applicable 

portions of a partner company’s quality system, but ensures the applicant’s system will be 

evaluated on its own merits. This also enables the FAA to conduct surveillance to ensure 

compliance with the regulations.

5. Quality Organization and Authority.

a. The applicant’s senior quality manager will have direct access to the consortium’s 

senior management.

b. The applicant’s quality system organization will have an independent management 

organization. This organization will establish departmental control over the partner 

companies regarding the quality of the jointly produced product. The individuals chosen 

to fill these management positions will have a clearly defined and separate allegiance to 

the applicant’s top management, rather than to any company for which they have worked 

or for which they are currently working.

c. The responsibility and authority of the employees in the consortium’s management 

organization will be clearly defined in the quality system data. This includes the 

consortium’s relationship to the quality and production organizations of the 

partner companies.
xx/xx/xxxx AC 21-43A

Appendix G

G-3

d. The applicant may propose to assign inspection authority to a limited number of its 

employees to ensure the quality of products being produced. While no minimum number 

of employees can or should be specified by the FAA, the viability of the proposed quality 

system procedures will be assessed with respect to the number of employees available to 

implement the system.

e. It is particularly important to establish accountability for compliance with § 21.137 

in the case of a multinational consortium. This is because the responsibilities of suppliers 

outside the United States, regarding their other products under their own CAAs, may be 

inconsistent with those required by § 21.137. Compliance responsibility for the 

consortium product will rest with the PC holder. This direct responsibility will be 

understood by the applicant’s management and the management of the supplier, and be 

described in the quality manual. 

f. The fact that the actual manufacture of the applicant’s product may take place in a 

country outside the United States does not affect the applicability of FAA regulations and 

orders regarding the management and surveillance of the PC holder.