Part 21 – New Part

Certification Documentation

PRESENTED BY:

Sarah MacLeod, Obadal, Filer, MacLeod & Klein, P.L.C.

Maintenance Management Conference | Tampa, FL | April 22 – 24, 2014

Tuesday, April 22, 2014 | 1:30 p.m. – 2:15 p.m.

About the Law Firm

OFMK is a boutique law firm that provides management,

government affairs, and legal services to trade associations, and

regulatory counsel to aerospace companies.

Members of our the firm’s regulatory team have a unique

perspective on the interplay between business and regulation.

OFMK can help navigate the maze of government rules without

losing sight of the need to enhance efficiency and maintain the

highest levels of safety.

Obadal, Filler, MacLeod & Klein

www.potomac-law.com

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About the Speaker

Sarah MacLeod was instrumental in the formation of the Aeronautical

Repair Station Association (ARSA) and is currently its executive

director. Ms. MacLeod is assistant chair for air carrier and general

aviation maintenance of the FAA's Aviation Rulemaking Advisory

Committee (ARAC), a post she has held since 1996.

She is a managing member of the law firm of Obadal, Filler, MacLeod &

Klein, P.L.C., where she is engaged in the legal representation of

foreign and domestic air carriers, aircraft maintenance and alteration

facilities, distributors, pilots, and other industry stakeholders.

Ms. MacLeod obtained her law degree from the Catholic University of

America. She holds a bachelor’s of human services degree from

Evergreen State College, Olympia, Wash.

Sarah MacLeod

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Learning Objectives

• The applicability and basic requirements of 14 CFR part 21.

• The basic requirements for design and production of products

and articles.

• The marking and identification information required by the

producers of civil aviation articles and how FAA Form 8130-3 fits

into the process.

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After this session attendees should be able to

understand…

Reference Materials

• 14 CFR part 21 (http://www.ecfr.gov/cgi-

bin/retrieveECFR?gp=&SID=ebcb8fcb65ad8a610a7111088a0fab

88&r=PART&n=14y1.0.1.3.9)

• 14 CFR part 45 (http://www.ecfr.gov/cgi-bin/text-

idx?rgn=div5;node=14:1.0.1.3.22)

• FAA Order 8130.21H

(http://www.faa.gov/documentlibrary/media/order/faa_order_8130

.21h.pdf)

• FAA Form 8130-3

(http://www.faa.gov/documentLibrary/media/Form/8130-3.pdf)

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Part 21 Basics

• Part 21 covers:

– Procedural requirements for issuing and changing design

approvals, production approvals, airworthiness certificates,

and airworthiness approvals;

– Rules governing applicants for, and holders of, any such

approval or certificate;

– Procedural requirements for the approval of articles.

Applicability

14 CFR § 21.1

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Part 21 Basics

• Airworthiness approval – a document issued by the FAA for a

product or article, which certifies that the item conforms to its

approved design and is in a condition for safe operation

• Article – a material, part, component, process, or appliance

• Commercial part - an article that is listed on an FAA-approved

Commercial Parts List included in a design approval holder's

Instructions for Continued Airworthiness required by § 21.50

• Design approval - a type certificate or the approved design under

a Parts Manufacturer Approval (PMA), Technical Standard Order

(TSO) authorization, letter of TSO design approval, or other

approved design

Definitions

14 CFR § 21.1

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Part 21 Basics

• Product - an aircraft, aircraft engine, or propeller

• Production approval – a document issued by the FAA that allows

the production of a product or article in accordance approved

design and quality system; can be a production certificate, PMA,

or TSO authorization

• State of Design – the country or jurisdiction with regulatory

authority over the organization responsible for the design and

continued airworthiness of a product or article

• State of Manufacture – the country or jurisdiction having

regulatory authority over the organization responsible for the

production and airworthiness of a product or article

Definitions

14 CFR § 21.1

8

Products

• Design approvals for products (aircraft, aircraft

engines and propellers)

– Type certificates

– Supplemental type certificates

• Production approvals for products (aircraft,

aircraft engines and propellers)

– Production certificates

– Temporarily under a type certificate

Types of Approvals

14 CFR part 21

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Articles

• If an article is required to be approved under this chapter, it may

be approved in any of the following manners:

– Under a PMA;

– Under a TSO;

– In conjunction with type certification procedures for a product;

– In any other manner approved by the FAA.

Approval of New Articles

14 CFR § 21.8

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Articles

• If a person knows, or should know, that a replacement or modification article is reasonably likely to be installed on a type-certificated product, the article must be one of the following:

– Produced under a type certificate or FAA approval;

– Standard and in compliance with government/industry specifications;

– A commercial part under § 21.1;

– Produced by an owner/operator for maintaining or altering that owner or operator's product;

– Fabricated by an appropriately rated certificate holder with a quality system, and consumed in the repair or alteration of a product or article in compliance with part 43.

Replacement and Modification Articles

14 CFR § 21.9

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Design Approvals

• Show compliance with the airworthiness standards (i.e., parts 23-

36) applicable to the product or article.

• Design:

– Drawings and specifications (technical data).

– Information on dimensions, materials, and processes

(technical data).

• Instructions for Continued Airworthiness (ICA).

• Anything else the FAA wants.

Standard of Approval

14 CFR §§ 21.31, .41, .50

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Production Approvals

• PC, TSOA and PMA quality system requirements

– Document and data control

– Supplier control

– Manufacturing process control

– Equipment control

– Non-conforming article control (including escapes)

– Internal audits with corrective/preventive action

– In-service feedback

Quality System

14 CFR §§ 21.137, .138, .307, .308, .607 and .608

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Approval Documentation

Each production approval holder (PC, PMA and TSOA) must:

• Mark the product or article for which an approval has been

issued in accordance with part 45 of this chapter, including any

critical parts;

• Identify any portion of the product or article (e.g., sub-

assemblies, component parts, or replacement articles) that leave

the manufacturer's facility as FAA approved with the

manufacturer's part number and name, trademark, symbol, or

other FAA approved manufacturer's identification….

Part Marking and Identification

14 CFR §§ 21.146(d)-(e), .316(d)-(e) and .616(d)-(e)

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Part 45

• Part 45 outlines the marking regulations and requirements for

products and articles.

• § 45.10 details who may mark or identify a product or article

under this part.

• § 45.11 covers specifics for different products and articles.

• § 45.13 contains the required information, which includes the

builder's name, model designation, builder's serial number, type

certificate number, and production certificate number.

Identification and Registration Marking

14 CFR part 45 15

Approval Documentation

Besides part marking, each production approval holder must also:

Identify any portion of the product or article (e.g., sub-assemblies,

component parts, or replacement articles) that leave the

manufacturer's facility as FAA approved with the manufacturer's part

number and name, trademark, symbol, or other FAA approved

manufacturer's identification

How is that done? Can be marking or documentation…

General Information

14 CFR §§ 21.146(e), .316(e) and .616(e)

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Approval Documentation

• There is no required method for documenting approval.

• The preferred method is FAA Form 8130-3, FAA Authorized

Release Certificate, Airworthiness Approval Tag.

• No matter the type of document, it must be retained by the

production approval holder for no less than 5 years for products

and articles and 10 years for critical parts.

• May be retained as paper copy or in secure database so long as

all of the required information is present.

• Electronic storage guidance is available from Advisory Circulars

21-43 and 120-78.

General Information

14 CFR part 21, Order 8130.21H, Form 8130-3

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Approval Documentation

• FAA Authorized Release Certificate, FAA Form 8130-3 is an

Airworthiness Approval Tag that can be issued by the FAA

(usually through a designee).

• Last updated by FAA Order 8130.21H with an effective date of

February 1, 2014.

• Order 8130.21H details the use of the form for domestic

airworthiness approval, conformity inspections, and

prepositioning; airworthiness approval of new products and

articles; and splitting bulk shipments of previously shipped

products and articles.

Form 8130-3

Order 8130.21H, Form 8130-3

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Approval Documentation

• Can be issued for domestic shipments to identify the status of

new articles produced under part 21.

• Delegated personnel must determine the article meets the FAA-

approved design data and is in a condition for safe operation.

• When produced under an FAA production approval, a standard

or commercial part is eligible for issuance of an 8130-3.

• Issuance of FAA Form 8130-3 as an airworthiness approval does

not constitute export approval; compliance with another country’s

or jurisdiction’s special import requirements may not have been

verified.

Form 8130-3

Order 8130.21H, Form 8130-3

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Approval Documentation

• 8130-3 may be issued to document airworthiness approvals at production approval holders (PAH) facilities.

• The form also may be issued by a designated person at PAH suppliers with direct shipment authorization or associate facilities outside the United States, if the FAA finds there is no undue burden associated with the form’s issuance.

• 8130-3 are not issued by non-PAH suppliers for products or articles shipped to the PAH’s facilities.

• If the supplier has its own production approval and the products and articles are part of another PAH’s higher level design, then 8130-3 may be issued.

Form 8130-3

Order 8130.21H, Form 8130-3

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Form 8130-3

• A person may obtain an export airworthiness approval to export a

new aircraft engine, propeller, or article that is manufactured

under part 21 if it conforms to its approved design and is in a

condition for safe operation.

• The country or jurisdiction of import may have a requirement that

the FAA certify the exported product(s)/article(s) conform to that

country’s or jurisdiction’s CAA-approved design approval.

• The check in 8130-3 Block 13a (“Approved design data and are

in a condition for safe operation”) indicates the product(s)/

article(s) meet the CAA- and FAA-approved design and are in a

condition for safe operation.

Export Approval of Products and Articles

Order 8130.21H, Form 8130-3, 14 CFR § 21.331

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Form 8130-3

• Exporters must meet the special import requirements of the country or jurisdiction to which the product(s)/article(s) are being shipped.

• All nonconformities to the CAA-approved design must be noted in 8130-3 Block 12 (Remarks).

• If a statement is requested by the country or jurisdiction of import to document that design approval data, and no such data is available, it must be noted in Block 12.

• If a written statement of acceptance has been received from the importing CAA regarding noncompliance to its approved design, a copy of this written statement of acceptance must be included with FAA Form 8130-3 to meet the requirements of § 21.331.

Export Approval of Products and Articles

Order 8130.21H, Form 8130-3

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Summary

• Part 21 applies to the design, production and airworthiness

documentation (approval) of products and articles

– Products are aircraft, aircraft engines and propellers

– Articles are everything else

• Production approval holders must

– Have a quality system that controls the design changes and

production of the product or article

– Mark and/or identify products and articles released from the quality

system

• The FAA Form 8130-3 can be used as

– Identification under part 21

– Export documentation when the importing country requires it

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What you should know

14 CFR part 21

That’s a Wrap

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Time for Questions

Contact Information

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Sarah MacLeod

Obadal, Filler, MacLeod & Klein

Managing Member

sarah.macleod@potomac-law.com

117 North Henry Street

Alexandria, VA 22314-2903

T: 703.299.0784

F: 703.299.0254

www.potomac-law.com