Type Certification

required by Title 14 of the Code of Federal Regulations part 21. Because it is impractical to cover all situations or conditions, supplement these instructions with good judgment to handle problems that may arise. If you find any deficiencies, need clarification, or want to suggest improvements on this order, send a copy of FAA Form 1320-19, Directive Feedback Information (written or electronically), to the Aircraft Certification Service, Planning and Financial Resources Management Branch, AIR-530, Attention: Directives Management Officer. Form 1320-19 is on the last page of this order. You may also send a copy to the Aircraft Engineering Division (AIR-100), Attention: Comments to Order 8110.4C. If you urgently need an interpretation, contact AIR-110 at (202) 267-9588. Always use Form 1320-19 to follow up each verbal conversation. /S/ David W. Hempe Manager, Aircraft Engineering Division, AIR-100 3/28/07 8110.4C, Chg. 1 Page iii TABLE OF CONTENTS CHAPTER 1. GENERAL Paragraph Page 1-1. Purpose ..................................................................................................................................1 1-2. General ..................................................................................................................................1 1-3. Cancellation ..........................................................................................................................1 1-4. Deviations .............................................................................................................................1 1-5. Explanation of Changes ........................................................................................................1 1-6. Definitions ............................................................................................................................5 1-7. Background and Discussion ..................................................................................................8 Figure 1-1. Aircraft Certification Service Responsibilities ...............................................10 1-8. Scope ...................................................................................................................................13 1-9. Related Publications ...........................................................................................................13 1-10 Records Management ..........................................................................................................16 CHAPTER 2. TYPE CERTIFICATION PROCESS 2-1. General ................................................................................................................................17 2-2. A Model of the Type Certification Process .........................................................................17 Figure 2-1. Typical Type Certification Process ..................................................................18 Figure 2-2. Events in a Typical Type Certification Process............................................... 19 2-3. Conceptual Design ..............................................................................................................20 Figure 2-3. Typical Type Certification Process ................................................................. 20 2-4. Requirements Definition......................................................................................................22 Figure 2-4. Tasks During the Requirements Definition Phase ...........................................22 Figure 2-5. Special Class Aircraft Guidance.......................................................................31 Figure 2-6. Special Condition Process ...............................................................................34 2-5. Compliance Planning ..........................................................................................................36 Figure 2-7. Tasks During the Complinace Planning Phase ................................................37 2-6. Implementation ...................................................................................................................41 Figure 2-8. Tasks During the Implementation Phase .........................................................41 Figure 2-9. Typical Type Certification Process, Implementation Phase.............................42 Figure 2-10. Implementation Phase – Compliance Data Generation Activities .................43 Figure 2-11. Implementation Phase – Compliance Substantiation Activities ....................47 Figure 2-12. Implementation Phase – Compliance Finding Activities ..............................50 2-7. Post Certification Activities ................................................................................................57 Figure 2-13. Tasks During the Post-Certification Activities Phase ...................................57 CHAPTER 3. TYPE CERTIFICATES 3-1. General ................................................................................................................................65 3-2. Type Certificate ..................................................................................................................65 3-3. Type Certificate Data Sheet (TCDS) ...................................................................................70 3-4. Preparation of TCDS and Specifications for Printing .........................................................84 3-5. Changing a specification Document to a TCDS .................................................................84 8110.4C 10/26/05 CHAPTER 4. CHANGES IN TYPE DESIGN Paragraph Page 4-1. General ................................................................................................................................87 4-2. Major and Minor Design Changes.......................................................................................87 4-3. Certification Basis for Changed Aviation Products ............................................................87 4-4. Field Approvals....................................................................................................................88 4-5. Compliance Inspection ........................................................................................................89 4-6. Experimental Certificate .....................................................................................................89 4-7. Revisions to Performance Data ...........................................................................................90 4-8. Supplemental Type Inspection Report (STIR) ....................................................................90 4-9. When Does the FAA Issue STCs? ......................................................................................90 4-10. When Won’t the FAA Issue an STC? .................................................................................91 4-11. Technical Requirements for an STC....................................................................................91 4-12. Compatibility Examination .................................................................................................92 4-13. Approved Model List (AML) STCs ...................................................................................92 4-14. Non-Interference STCs .......................................................................................................93 4-15. STC Projects Involving Foreign-Registered Aircraft and Import Products ........................94 4-16. STC and Amended STC Applications ................................................................................95 4-17. Establishing an STC Project ...............................................................................................96 4-18. Establishing ACO to ACO Coordination ............................................................................96 4-19. Preparing FAA Form 8110-2, Supplemental Type Certificates ..........................................97 4-20. ACO Report of STC .........................................................................................................100 4-21. Other Foreign Supplemental Type Certificates ................................................................100 4-22. FAA Validation of a CAA STC under Bilateral Agreements ...........................................100 4-23. Obtaining a Canadian STC by Validation of a U.S. STC .................................................101 CHAPTER 5. MANUFACTURING AND ENGINEERING RESPONSIBILITIES AND FUNCTIONS RELATIVE TO INSPECTION, TEST, AND FLIGHT TEST 5-1. General ..............................................................................................................................103 5-2. FAA Aviation Safety Inspectors (Manufacturing Inspectors) ...........................................103 5-3. Request for Conformity and Type Inspection Authorization ............................................103 5-4. Inspections Conducted Outside the District Office............................................................108 5-5. Streamlined Conformity Inspection Notification Process .................................................108 5-6. Process Specification Review ...........................................................................................113 5-7. Requests for Conformity Inspection from Foreign CAAs ................................................116 5-8. Conformity Inspection Record Reporting .........................................................................116 5-9. Test Articles - General ......................................................................................................117 5-10. Witnessing Official Test ...................................................................................................117 5-11. Structural Test Articles - Aircraft ......................................................................................117 5-12. Prototype Flight Test Articles - Aircraft ...........................................................................118 5-13. Endurance Test Articles – Engines and Propellers ...........................................................118 5-14. Teardown Inspection .........................................................................................................119 5-15. Ground Inspection - Aircraft .............................................................................................120 5-16. Using Engineering Data ....................................................................................................122 5-17. Airworthiness Certification of Prototype Products ...........................................................123 5-18. Accounting for Engineering Changes ...............................................................................124 5-19. Flight Test .........................................................................................................................124 5-20. Function and Reliability Testing .......................................................................................129 Page iv 3/28/07 8110.4C, Chg.. 1 CHAPTER 6. ADDITIONAL INFORMATION ON SELECTED TOPICS Paragraph Page 6-1. Provisional Type Certificates ............................................................................................131 6-2. Type Certification at Restricted Category, 14 CFR § 21.25 .............................................133 6-3. Type Certification of Civil-Derived Aircraft (Restricted Category), 14 CFR § 21.25(a)(2)..........................................................................................................134 6-4. Type Certification of Military Derived Aircraft (Restricted Category), 14 CFR § 21.25(a)(2) ........................................................................................................134 6-5. Establishing New Restricted Category Special Purposes, 14 CFR § 21.25(b)(7) .............134 6-6. Type Certification of Surplus Military Aircraft, 14 CFR § 21.27 ....................................134 6-7. Multiple Airworthiness Certification, 14 CFR § 21.187 ..................................................135 6-8. Aerial Dispensing of Liquids ............................................................................................135 CHAPTER 7. NOISE CERTIFICATION 7-1. Ovcerview of Noise Certification Rules ...........................................................................143 7-2. Noise Certification Basis ...................................................................................................143 7-3. Noise Control Act Finding ................................................................................................143 7-4. National Environmental Policy Act (NEPA) .....................................................................144 7-5. Acceptable Means of Compliance ....................................................................................144 7-6. Witnessing Tests ...............................................................................................................145 7-7. Correction Procedures Evaluation ....................................................................................146 7-8. Noise-Related Type Certification Requirements ..............................................................147 7-9. Changes to the Type Design of an Aircraft .......................................................................147 7-10 Supplemental Type Certificates ........................................................................................148 7-11 Standard Airworthiness Certificates .................................................................................148 7-12. Airworthiness Certificates for Restricted Category Aircraft ............................................149 7-13. Designated Alteration Station (DAS) Limits ....................................................................149 Figure 7-1. Type of FAA Approval Certain Aircraft Need to Meet 14 CFR part 36 Noise Standards .................................................................................................................150 Figure 7-2. Criteria for Ensuring Design Changes to Stage 1, 2, and 3 Subsonic Transport Category Large or Turbojet-Powered Airplanes Meet 14 CFR § 36.7 Noise Standards ...151 Figure 7-3. Criteria for Ensuring Design Changes to Commuter Category and Propeller-Driven small airplanes Meet 14 CFR § 36.9 Noise Standards ..........................153 Figure 7-4. Criteria for Ensuring Design Changes to Helicopters Meet 14 CFR part 36 Noise Standards ........................................................................................154 APPENDIX 1. FORMS AND GUIDANCE FOR CERTIFICATION PROJECTS (14 pages) Figure 1. Instructions for Completion of FAA Form 8110-12, Application for TC, PC, or STC ............................................................................................................... A1-1 Figure 2. Sample FAA Form 8110-12 ...................................................................................... A1-2 Figure 3. Standardized Certification Project Notification Procedures ...................................... A1-4 Figure 4. Standardized Certification Project Notification Form ............................................... A1-9 Figure 5. ACOS Project, TC, and STC Numbering System ................................................... A1-11 Figure 6. Project Significance for ACO to ACO Coordination .............................................. A1-13 Figure 7. Sample Type Certification Project Plan ................................................................... A1-14 Page v 8110.4C 10/26/05 APPENDIX 2. ISSUANCE OF CERTIFICATES (12 pages) Paragraph Page Figure 1. Instructions for Preparation of Form 8110-9, TC ...................................................... A2- 1 Figure 2. Sample Type Certificate, FAA Form 8110-9 ............................................................ A2- 2 Figure 3. Sample Supplemental Type Certificate, FAA Form 8110-2...................................... A2- 4 Figure 4. Sample Documenting a Certification Basis ............................................................... A2- 6 Figure 5. Sample Written Permission Statements for an STC .................................................. A2- 9 Figure 6. Sample Type Certificate Data Sheet First Page with TC Holder Record Paragraph ........................................................................................................... A2-10 Figure 7. Sample Type Certification Data Sheet First Page with Products Codes (Designations) ...................................................................................... A2-11 APPENDIX 3. LIST OF FAA FORMS (1 page) APPENDIX 4. CONFORMITY (12 pages) Figure 1. Completion of FAA Form 8120-10, Request for Conformity ................................... A4- 1 Figure 2. Request for Conformity, FAA Form 8120-10 ........................................................... A4- 3 Figure 3. Completion of FAA Form 8100-1, Conformity Inspection Record........................... A4- 5 Figure 4. Statement of Conformity, FAA Form 8130-9 from Applicant ................................. A4- 7 Figure 5. Statement of Conformity, FAA Form 8130-9 from Agent for Applicant.................. A4- 9 Figure 6. Type Inspection Authorization, FAA Form 8110-1 ................................................. A4-11 APPENDIX 5. CANADIAN STCs (3 pages) Figure 1. Formal Canadian STC Application Request.............................................................. A5- 1 Figure 2. Transport Canada Regional Managers, Aircraft Certification ................................... A5- 2 Figure 3. Sample Letter of Request........................................................................................... A5- 3 APPENDIX 6. LIST OF ACRONYMS (3 pages) APPENDIX 7. AIRCRAFT CERTIFICATION OFFICES (1 page) APPENDIX 8. AIRCRAFT EVALUATION GROUP (1 page) APPENDIX 9. AIRCRAFT CERTIFICATION SERVICE (1 page) APPENDIX 10. DATA RETENTION (3 pages) Figure 1. Project Records ........................................................................................................ A10- 1 Figure 2. Type Design and Substantiating Data...................................................................... A10- 2 Figure 3. Working Papers ....................................................................................................... A10- 3 APPENDIX 11. HISTORICAL BACKGROUND OF AIRCRAFT AIRWORTHINESS REGULATIONS (1 page) APPENDIX 12. ISSUE PAPERS (9 pages) Page vi 3/28/07 8110.4C, Chg.. 1 APPENDIX 13. ISSUE PAPER FORMAT/TEMPLATE (10 pages) Paragraph Page Figure 1. Issue Paper Coordination Grid................................................................................. A13- 7 Figure 2. Issue Paper Format .................................................................................................. A13- 9 APPENDIX 14. SAMPLE ISSUE PAPER (3 pages) APPENDIX 15. ELOS MEMORANDUM TEMPLATE (2 pages) Page vii 10/26/05 8110.4C Par 1-1 Page 1 CHAPTER 1. GENERAL 1-1. PURPOSE. This order is for the Federal Aviation Administration’s (FAA) Aircraft Certification Service, Flight Standards Service, Aircraft Evaluation Groups (AEG), and persons and organizations designated by the Administrator associated with the certification processes required by Title 14 of the Code of Federal Regulations (14 CFR) part 21. It prescribes the responsibilities and procedures the FAA must follow to certify new civil aircraft, aircraft engines, and propellers, or changes thereto, as required by 14 CFR part 21. 1-2. DISTRIBUTION. This order is distributed to Washington headquarters branch levels of the Aircraft Certification Service, Flight Standards Service, and Office of Environment and Energy; to branch levels of the regional aircraft certification directorates and regional Flight Standards Divisions; to all aircraft certification field offices, to the international field offices in Brussels and Singapore, to all AEGs, and to all designated engineering representatives (DER). 1-3. CANCELLATION. This order cancels Order 8110.4B, Type Certification Process, dated April 24, 2000. 1-4. DEVIATIONS. Adherence to the procedures in this order is essential for uniform administration of this directive material. AIR-100 coordinates and dispositions any deviations. If a deviation from this directive becomes necessary, the FAA employee involved must ensure that the deviations are substantiated, documented, and concurred with by the appropriate supervisor. Submit deviations for review with recommendations to AIR-100. Title 28 of the United States Code (U.S.C.) § 2679 defines the limits of federal protection for FAA employees. 1-5. EXPLANATION OF CHANGES. This revision contains the following changes: a. Type, and Supplemental Type, Certificates. This revision adopts a longstanding practice for discussing type certificates. Now, the term “type certificate,” or “TC,” applies to the original TC, supplemental TCs, and amended TCs, unless otherwise specified. The reason for this follows: (1) U.S. Code. A supplemental type certificate (STC) is a type certificate for a change to an aircraft, engine, propeller, or appliance. This is established in 49 U.S.C. § 44704(b), which also states that an STC is issued with respect to the previously issued TC. Because an STC is a TC, it is issued using the same process of investigating and testing as called for in the basic type certification process. An STC approves major changes in type design made by persons other than the TC holder, or by the TC holder itself. (2) Regulation. Because an STC is a TC, 14 CFR part 21, Subpart B, Type Certificates, applies. Differences unique to STCs are listed in 14 CFR part 21, Subpart E, Supplemental Type Certificates. The requirements of 14 CFR part 21, Subpart D, Changes to Type Certificates, applies to STCs and TCs. (3) Directive. Within the scope of this order, the basic type certification process described in chapter 2 is to be followed for STCs and amendments to the TC that are deemed 8110.4C 10/26/05 Page 2 Par 1-5 major changes in type design. Chapter 4 of this order provides material unique to STCs and differences from the basic type certification process described elsewhere in this order. b. Certification Plans, Certification Project Plans (CPP), and Project Specific Certification Plans (PSCP). This revised order corrects the non-standard use of terms that occurred as individual offices implemented Certification Process Improvement (CPI). The term certification plan remains (with little change) the applicant’s plan for showing compliance discussed in Order 8110.4B and other orders. However, instead of “strongly recommending” that applicants share this information with the FAA, it is now required. The CPP remains the aircraft certification office’s (ACO) high-level project management plan. This revision of Order 8110.4 still permits project managers to forego the use of the CPP form when they ensure the CPP data are included in the applicant’s planning material. New in this revision is the link between the certification plan, the CPP, and the PSCP. CPI introduced the PSCP as a certification plan that combines the applicant’s and FAA’s project planning information. Therefore, the PSCP = certification plan + CPP + details recommended in The FAA and Industry Guide to Product Certification. Also, this revision places greater emphasis on the evolutionary nature of the certification plan and PSCP. These are living documents subject to change and refinement as project events unfold. c. FAA Employees and Designees. Delegation often makes discussions of FAA duties ambiguous. In this revision, unless otherwise specified, any authorized person acting on behalf of the Administrator can perform FAA duties. When the actions of offices (such as ACOs and manufacturing inspection district offices (MIDO)) or positions (such as engineer, flight test pilot, or MIDO inspector) are described, their authorized designees can perform the actions, unless otherwise specified. In previous revisions, the phrase “and their designees” was often, but inconsistently, used to address delegation. d. Other Changes. (1) Paragraph 1-4 describes procedures for deviations to this order. (2) Paragraph 1-5 was paragraph 1-4. (3) Paragraph 1-6 lists definitions. (4) Paragraph 1-7 was paragraph 1-5. (5) Paragraph 1-8 describes the scope of this order. (6) Paragraph 1-9 lists related publications. (7) Paragraph 1-10 lists the records management provisions. (8) Paragraphs 2-2, 2-3, 2-4, 2-5, 2-6, and 2-7 reflect the five phases of the type certification process model. (9) Paragraph 2-3 removes references to applying for a STC. 10/26/05 8110.4C Par 1-5 Page 3 (10) Paragraph 2-7 includes information from paragraphs 5-18 and 5-19 from Order 8110.4b. (11) Paragraphs 2-10 thru 2-17 from Order 8110.4b have been incorporated into the above listed paragraphs in chapter 2. (12) Paragraph 3-2 clarifies the different reasons for canceling a TC. (13) Paragraph 3-3 updates the type certificate data sheet (TCDS) requirements for each model aircraft. The paragraph also updates the production basis, equipment listing, and information on spare or surplus parts. (14) Paragraph 4-1 is modified to address the reorganization of the chapter in three groups or sets. The first grouping includes items that are either general to product modifications, or that apply to more than just the STC process. The second grouping consists of sections describing FAA STC procedural considerations. And the third grouping includes sections providing procedural instructions unique to an STC project. (15) Paragraph 4-2 classifies major and minor design changes. (16) Paragraph 4-3 addresses the certification basis for changed aviation products. (17) Paragraph 4-4 addresses field approvals. (18) Paragraph 4-5 addresses compliance inspections. (19) Paragraph 4-6 addresses experimental certificates. (20) Paragraph 4-7 addresses revisions to performance data. (21) Paragraph 4-8 was paragraph 5-20 and addresses supplemental type inspection report (STIR). (22) Paragraph 4-9 discusses conditions when the FAA will issue STCs. (23) Paragraph 4-10 discusses conditions when the FAA will not issue an STC. (24) Paragraph 4-11 addresses technical requirements for an STC. (25) Paragraph 4-12 addresses compatibility examination. (26) Paragraph 4-13 addresses approved model list (AML) STCs. (27) Paragraph 4-14 addresses non-interference STCs. (28) Paragraph 4-15 addresses STC projects involving foreign-registered aircraft and import products. (29) Paragraph 4-16 addresses STC and amended STC applications. 8110.4C 10/26/05 Page 4 Par 1-5 (30) Paragraph 4-17 addresses the establishment of an STC project. (31) Paragraph 4-18 addresses ACO to ACO coordination. (32) Paragraph 4-19 was paragraph 4-4. (33) Paragraph 4-20 was paragraph 4-6. (34) Paragraph 4-21 was paragraph 4-8. (35) Paragraph 4-22 addresses the FAA validation of a Civil Aviation Authority (CAA) STC under bilateral agreements. (36) Paragraph 4-23 addresses how to obtain a Canadian STC by validation of a U.S. STC. (37) Paragraph 5-1 was subparagraph 5-1, General. (38) Paragraph 5-2 was subparagraphs 5-1b and 5-1c. (39) Paragraph 5-3 was paragraph 5-2, except for 5-2e, Conformity Discrepancies. Old paragraph 5-2e is now 5-5f. (40) Paragraph 5-4 was paragraph 5-15. (41) Paragraph 5-5 introduces the streamlined conformity inspection notification process. (42) Paragraph 5-6 was paragraph 5-3, but with a more accurate title. (43) Paragraph 5-7 was paragraph 5-16. (44) Paragraph 5-8 was paragraph 5-17. (45) Paragraph 5-9 was paragraph 5-4. (46) Paragraph 5-10 was paragraph 5-5. (47) Paragraph 5-11 was paragraph 5-6. (48) Paragraph 5-12 was paragraph 5-7. (49) Paragraph 5-13 was paragraph 5-8. (50) Paragraph 5-14 was paragraph 5-9. (51) Paragraph 5-15 was paragraph 5-11. (52) Paragraph 5-16 was paragraph 5-10. 10/26/05 8110.4C (53) Paragraph 5-17 was paragraph 5-12. (54) Paragraph 5-18 was paragraph 5-13. (55) Paragraph 5-19 was paragraph 6-4, but has been revised due to issuance of revised FAA Order 8110.41, Aircraft Certification Service FAA Flight Test Responsibilities, Procedures, and Training. (56) Paragraph 5-20 was paragraph 5-14. (57) Paragraph 6-1 addresses provisional TCs. (58) Paragraphs 6-2 through 6-6 were paragraphs 6-1 and 6-2. (59) Paragraph 6-7 addresses multiple airworthiness certification, 14 CFR § 21.187. (60) Paragraph 6-8 addresses procedures for approving aerial dispensing of liquids. (61) Chapter 7 was created to capture all 14 CFR part 36 (noise) requirements. These requirements were paragraph 6-3. (62) Appendix 1 incorporates numerous revised forms and guidance for establishing certification projects. (63) Appendix 2, figure 7 incorporates products codes (designations) used on TCDSs for small airplanes, rotorcraft, and engines. (64) Appendix 5, figure 2 lists current Transport Canada Aircraft Certification Divisions’ addresses. (65) Appendix 12 describes issue papers procedures. (66) Appendix 13 gives a format and template for issue papers. (67) Appendix 14 gives a sample issue paper. 1-6. DEFINITIONS. a. Amended TC – an approval for a change to a TC, made by the TC holder. Only the holder of the TC may apply for an amended TC. b. Certificate Management ACO (CMACO) – the ACO managing the product’s TC. The CMACO also manages the continued airworthiness for all products it approves for as long as the products are in service. c. Certification Plan – the applicant’s intended means for showing that a product complies with the applicable regulations. Par 1-5 Page 5 8110.4C, Chg. 1 03/28/07 d. Certification Process Improvement (CPI) – an initiative to improve safety by fostering better communications, project management, and accountability between design approval applicants and the FAA, set forth by a job aid titled The FAA and Industry Guide to Product Certification. e. Certification Project Notification (CPN) – a form (see appendix 1, figure 4 of this order) used by the project manager to notify the accountable directorate of a new project. The accountable directorate also uses a CPN to classify the project significant or not significant. f. Certification Project Plan (CPP) – a living document (see appendix 1, figure 7 of this order) used to coordinate schedules, responsibilities, and personnel resources between the accountable directorate and project ACO. g. Designees – a non-FAA person appointed by the FAA in accordance with 14 CFR part 183, Subpart A. This person has been delegated the responsibilities of a FAA manufacturing inspector, engineer, or test pilot. Designees may be authorized to perform the functions listed in 14 CFR part 183, Subpart C. h. Field Approval – a method by which FAA approves technical data used to accomplish a major repair or a major alteration on a single aircraft, provided the repair or alteration is not classified as a major change in type design. An FAA inspector’s signature in Block 3 of an FAA Form 337, Major Repair and Alteration, approves the data referenced on the form. i. Flight Test – for the purpose of this order, any ground or flight test performed on the product test article that is controlled or evaluated by FAA flight test personnel (or their designees), in support of appropriately authorized official testing. j. Partnership for Safety Plan (PSP) – an agreement between a design approval applicant and the FAA describing how they will work together to certify and maintain integrity of the design approvals. k. Parts Manufacturer Approval (PMA) – an FAA design and production approval to manufacture replacement and modification parts that comply with the regulations. See Order 8110.42, Parts Manufacturer Approval Procedures. l. Product – for type certification, an aircraft, an aircraft engine, or a propeller. The word product has other meanings in different contexts, such as export airworthiness approvals (see 14 CFR § 21.1(b)). m. Production Certificate (PC) – an approval by the FAA to manufacture or alter a product after having shown compliance with an approved type design. The FAA issues a PC to a TC holder (this includes STC holders) or a licensee of a TC holder, who meets the requirements of 14 CFR §§ 21.135, 21.139, and 21.143. Page 6 Par 1-6 03/28/07 8110.4C, Chg. 1 n. Project ACO (PACO) – the ACO working a certification project. The PACO may need to coordinate with the CMACO, if the project is a follow-up certification activity, such as an STC or PMA. o. Project Specific Certification Plan (PSCP) – an integrated planning and project management tool combining the information from the applicant’s certification plan, the FAA’s CPP, and other information recommended in The FAA and Industry Guide to Product Certification. p. Provisional Type Certificate – a time and operationally limited design approval that the FAA issues, upon request. Even though the FAA has not completed its findings of compliance to issue a TC, the FAA issues a provisional type certificate after the applicant has completed the necessary tests, analyses, and computations to show that the product complies with the applicable regulations. See 14 CFR part 21 Subpart C. q. Significant Change – as defined in Order 8110.48, How to Establish the Certification Basis for Changed Aeronautical Products, a change to the TC is significant to the extent it changes one or more of the following: general configuration, principles of construction, or the assumptions used for certification. The change is not extensive enough to be considered a substantial change. See Order 8110.48 for more information. r. Significant Project – a type certification project for a new TC or for a change to a TC. This type of project meets the criteria listed in paragraph 2-4c(1) below. s. Supplemental Type Certificate (STC) – a TC that the FAA issues to an applicant who alters a product by introducing a major change in type design (as defined by 14 CFR § 21.93(a)). The STC process is essentially the same as the TC process; differences are discussed in chapter 4 below. (1) One-Only STC – a special case of limiting the change to a specific serial numbered aircraft, the FAA does not require the STC data to be sufficient for accurate reproducibility. (2) Multiple STC – any STC that is not “One-Only.” (3) Approved Model List (AML) STC – a special case of multiple STC using an AML to control installation eligibility, such that adding new make and model products does not require amendment of the STC. (4) Non-Interference STC – a special case of STC approving a product modification that provides a convenience or function that is not required by the applicable operating rules or airworthiness standards applicable to the aircraft’s intended operations. t. Type Certificate (TC) – a design approval issued by the FAA when the applicant demonstrates that a product complies with the applicable regulations. As defined by 14 CFR § 21.41, the TC includes the type design, the operating limitations, the TCDS, the applicable regulations, and other conditions or limitations prescribed by the Administrator. The TC is the foundation for other FAA approvals, including production and airworthiness approvals. Par 1-6 Page 7 8110.4C, Chg. 1 03/28/07 u. Type Certification Board (TCB) – an FAA management team responsible for acquainting the applicant with the certification process, resolving significant problems, and establishing a schedule for the overall accomplishment of the type certification project. v. Type Certification Board Meeting (TCBM) – any formal meeting between the TCB and the applicant to coordinate the move to the next project phase or resolve issues preventing progress to the next phase. Examples include preliminary, interim, pre-flight, and final TCBMs. w. Type Design – the engineering definition of a particular product. The type design consists of the following (see 14 CFR § 21.31): (1) Drawings and specifications, (2) Dimensions, materials, and processes, (3) Airworthiness limitations, (4) (for primary category aircraft, if desired) A special inspection and preventive maintenance program designed to be accomplished by an appropriately rated and trained pilot- owner, and (5) Other data to describe the product design, and to determine the airworthiness, noise characteristics, fuel venting, and exhaust emissions (where applicable). x. Validation – as defined in Order 8110.52, Type Validation and Post-Type Validation Procedures, a special form of certification used to establish the compliance of an imported product to the importing state’s applicable airworthiness standards. See Order 8110.52 for additional information. 1-7. BACKGROUND AND DISCUSSION. a. Order 8110.4, Type Certification, is primarily written for internal use by the FAA, its designees, and delegated organizations. The order provides procedures and policy for the type certification of products. The office of primary responsibility for this order is the Aircraft Certification Service’s (AIR), Aircraft Engineering Division’s (AIR-100), Certification Procedures Branch (AIR-110). Unless stated otherwise, the type certification process in this order applies to all U.S. TCs, including amended TCs and STCs. b. Title 49 of the United States Code (49 USC) section 40101 and Subsequent. (1) 49 U.S.C. § 40101 and subsequent re-codifies the Federal Aviation Act of 1958. Title 49 U.S.C. § 44701 directs the FAA to promote safety of flight of civil aircraft in air commerce by prescribing and revising minimum standards. These standards set requirements for the design, materials, workmanship, construction, operation, and performance of aircraft, aircraft engines, and propellers. The Aircraft Certification Regulatory Program (ACRP) was developed to accomplish this mission. Appendix 11 of this order gives the history of aircraft airworthiness regulations. Page 8 Par 1-6 10/26/05 8110.4C Par 1-7 Page 9 (2) As part of the ACRP, AIR administers the type certification program to determine compliance with the prescribed regulations and to ensure continued operational safety. Appendix 9 of this order shows an organizational diagram of AIR. The organization is composed of the following: (a) Three headquarters divisions: the Aircraft Engineering Division, the Production and Airworthiness Certification Division, and the Planning and Program Management Division, (b) The International Policy Office, and (c) Four certification directorates: the Small Airplane Directorate (Central Region), the Transport Airplane Directorate (Northwest Mountain Region), the Rotorcraft Directorate (Southwest Region), and the Engine and Propeller Directorate (New England Region). (3) Figure 1-1 below shows how AIR’s responsibility for administering 14 CFR is divided. When an airworthiness standard is listed under a directorate, responsibilities include regulation, policy, and guidance related to the standard. The directorate is also responsible for standardizing type certification and continued airworthiness oversight of the products they type certificated to that airworthiness standard. The standardization includes the issuance of special conditions, exemptions, airworthiness directives (AD), equivalent level of safety (ELOS) findings. 8110.4C 10/26/05 Page 10 Par 1-7 FIGURE 1-1. AIRCRAFT CERTIFICATION SERVICE’S (AIR) RESPONSIBILITIES Organization Responsibility Aircraft Engineering Division • Regulations, policy, and guidance for engineering under the Aircraft Certification Regulatory Program (ACRP), • Title 14 CFR part 21, Certification Procedures for Products and Parts, • Title 14 CFR part 39, Airworthiness Directives, • Title 14 CFR part 183, Representatives of the Administrator, • Special Federal Aviation Regulations for type certification, and • Certification of restricted category and primary category aircraft. Production and Airworthiness Certification Division • Regulations, policy, and guidance for manufacturing and airworthiness certification under the ACRP, • Title 14 CFR part 21, Certification Procedures for Products and Parts, • Title 14 CFR part 45, Identification and Registration Marking, • Title 14 CFR part 183, Representatives of the Administrator, and • Special Federal Aviation Regulations for certification conformance, airworthiness certification, and production. Planning and Program Management Division • Coordination of the Service’s strategic and tactical planning initiatives and processes, • The Service’s technical, general, and managerial training requirements, and • Administrative and program management guidance, coordination, and support for Service headquarters organizations. Small Airplane Directorate (Central Region) • Title 14 CFR part 23, Airworthiness Standards: Normal, Utility, Acrobatic, and Commuter Category Airplanes, • Title 14 CFR part 31, Airworthiness Standards: Manned Free Balloons, • Technical guidance for restricted category small airplanes, • Airworthiness criteria for gliders and airships, • Technical guidance for primary category airplanes, • Title 14 CFR part 23 glider and airship import TC projects, • Issuance of airworthiness directives (AD) for the above products, and • Participation in consensus standards development for light sport aircraft. 10/26/05 8110.4C Par 1-7 Page 11 FIGURE 1-1. AIR’S RESPONSIBILITIES (CONTINUED) Organization Responsibility Transport Airplane Directorate (Northwest Mountain Region) • Title 14 CFR part 25, Airworthiness Standards: Transport Category Airplanes, • Technical guidance for restricted category transport airplanes, • Title 14 CFR part 25 import type certification projects, and • Issuance of ADs for the above product. Rotorcraft Directorate (Southwest Region) • Title 14 CFR part 27, Airworthiness Standards: Normal Category Rotorcraft, • Title 14 CFR part 29, Airworthiness Standards: Transport Category Rotorcraft, • Technical guidance for restricted category rotorcraft, • Powered lift aircraft, • Technical guidance for primary category rotorcraft, • Title 14 CFR part 27 and part 29 import TC projects, and • Issuance of ADs for the above products. Engine and Propeller Directorate (New England Region) • Title 14 CFR part 33, Airworthiness Standards: Aircraft Engines, • Title 14 CFR part 35, Airworthiness Standards: Propellers, • Technical guidance on auxiliary power units (APU), • Title 14 CFR part 33 and 35 import TC projects, and • Issuance of ADs for the above products. International Policy Office, including the staff in Brussels and Singapore • Policy guidance on bilateral agreements, import and export of aeronautical products, and other international airworthiness issues, programs, and procedures. Aircraft Certification Offices (ACO), including the Engine Certification Office (ECO), Military Certification Office (MCO), Special Certification Office (SCO), and the Rotorcraft Certification Office • Certificating products, • Monitoring continued operational safety, • Develop and administer ADs, • Work directly with the applicants, and • Designee oversight and management. 8110.4C 10/26/05 Page 12 Par 1-7 FIGURE 1-1. AIR’S RESPONSIBILITIES (CONTINUED) Organization Responsibility Chief Scientific and Technical Advisors (CSTA) • Technical consultants in specific, specialized topics, • Use their technical expertise to help AIR apply regulatory policies and practices to certify state-of-the-art technology, • Influence the research agendas of U.S. and foreign aviation industries, military, academia, and other research institutions, and • Interact with and assist other U.S. Government agencies and foreign CAAs in technology-related issues. Aircraft Evaluation Groups (AEG) • Assigned to each Aircraft Certification Directorate, • Address Flight Standards considerations during type certification, • Evaluate operational and maintenance aspects of certification, and • Evaluate continuing airworthiness requirements of newly certificated or modified products and parts. Manufacturing Inspection District Office (MIDO), Manufacturing Inspection Satellite Office (MISO), Certificate Management Office (CMO), and Certificate Management Unit (CMU) • Issue original airworthiness certificates, • Certification and certificate management of manufacturing facilities (and their designees) that produce aircraft, aircraft engines, propellers, parts and appliances, and • Support ACOs during design approvals by conducting conformity inspections and possibly witnessing tests. 10/26/05 8110.4C 1-8. SCOPE. a. Type certification, the subject of this order, is one way the FAA promotes safety of flight. Although the FAA is organized to focus on the various aspects of safety through separate internal organizations, these aspects are not independent. For example, before manufacturing a product, an applicant must have a design approval (that is, TC, STC, amended TC, amended STC) and a PC or other FAA production approval. Similarly, before manufacturing a component or spare part (for sale) the applicant must have a PMA or a TSO authorization. These approvals require concurrent work between the ACO and the MIDO. This order focuses on the design approval process conducted by ACOs. It also addresses other aspects of safety, such as airworthiness (airworthiness certificates), manufacturing (production approval), maintenance, and operations (continued airworthiness) as they relate to design approval (type certification). For a more complete understanding of aircraft certification, see the related material listed on the FAA web page and particularly the FAA orders listed in paragraph 1-9, Related Publications, below. b. The experienced applicant recognizes value in addressing various safety aspects in a unified, coordinated approach. The FAA encourages applicants to develop a plan for working with their geographic ACO that considers all safety aspects. Find guidance on developing such a plan, known as the Partnership for Safety Plan (PSP), in The FAA and Industry Guide to Product Certification (www.faa.gov/aircraft/air_cert/design_approvals/media/CPI_guide_II.pdf). This plan: (1) Is a tool that helps determine how much attention the various safety aspects warrant and helps the FAA establish priorities that best promote safety, (2) Addresses the unique characteristics of the applicant’s affiliation with the FAA, (3) Remains independent of specific projects, (4) Identifies expectations and develops specific interface procedures between the applicant and the FAA, within the limits of FAA regulations and policy, and (5) Helps the FAA build a constructive relationship with the applicant, including how the FAA and the applicant hold each other accountable. c. Although The FAA and Industry Guide to Product Certification is broader in scope than this order, we mention it because its principles and tools are intended to improve the efficiency of the type certification process described here. 1-9. RELATED PUBLICATIONS. a. FAA Manual IR-04-01, Records Management Requirement Manual b. FAA Orders. (1) FAA Order 1050.1, Policies and Procedures for Considering Environmental Impacts Par 1-8 Page 13 8110.4C, Chg. 1 3/28/07 (2) FAA Order 1270.1, Freedom of Information Act Program (3) FAA Order 1350.14, Records Management (4) FAA Order 1370.81, Electronic Mail (5) FAA Order 4040.26, Aircraft Certification Service Flight Safety Program (6) FAA Order 7110.65, Air Traffic Control (7) FAA Order 8000.79, Use of Electronic Technology and Storage of Data (8) FAA Order 8100.5, Aircraft Certification Service Mission, Responsibilities, Relationships, and Programs. (9) FAA Order 8100.8, Designee Management Handbook (10) FAA Order 8100.9, DDS Order (11) FAA Order 8100.11, Developing Undue Burden and No Undue Burden Decision Papers Under 14 CFR part 21 (12) FAA Order 8110.37, DER Guidance Handbook (13) FAA Order 8110.41, Aircraft Certification Service Flight Test Pilot Training, Responsibilities, Procedures, and Training (14) FAA Order 8110.42, Parts Manufacturer Approval Procedures (15) FAA Order 8110.44, Conformity Inspection Notification Process (16) FAA Order 8110.48, How to Establish the Certification Basis for Changed Aeronautical Products (17) FAA Order 8110.49, Software Approval Guidelines (18) FAA Order 8110.52, Type Validation and Post-Type Validation Procedures (19) FAA Order 8110.54, Instructions for Continued Airworthiness – Responsibilities, Requirements, and Contents. (20) FAA Order 8110.56, Restricted Category Type Certification (21) FAA Order 8120.2, Production Approval and Certificate Management Procedures (22) FAA Order 8130.2, Airworthiness Certification of Aircraft and Related Products (23) FAA Order 8130.29, Issuance of a Special Airworthiness Certificate for Show Compliance Flight Testing Page 14 Par 1-9 03/28/07 8110.4C, Chg.1 (24) FAA Order 8150-1, Technical Standard Order Procedures (25) FAA Order 8300.10, Airworthiness Inspector’s Handbook (26) FAA Order 8400.10, Air Transportation Operations Inspector’s Handbook (particularly Volume 8, Chapter 3) (27) FAA Order 8700.1, General Aviation Operations Inspector’s Handbook c. FAA Advisory Circulars (AC). (1) AC 20-135, Powerplant Installation and Propulsion System Component Fire Protection Test Methods, Standards and Criteria (2) AC 21.17-1, Type Certification – Airships (3) AC 21.17-2, Type Certification – Fixed Wing Gliders (4) AC 21.17-3, Type Certification of Very Light Airplanes (5) AC 21-23, Airworthiness Certification of Civil Aircraft, Engines, Propellers, and Related Products Imported into the United States (6) AC 21-24, Extending a Production Certificate to a Facility Located in a Bilateral Airworthiness Agreement Country (7) AC 21-40, Application Guide for Obtaining a Supplemental Type Certificate (8) AC 23-8, Flight Test Guide for Certification of Part 23 Airplanes (9) AC 25-7, Flight Test Guide for Certification of Transport Category Airplanes (10) AC 25-19, Certification Maintenance Requirements (11) AC 25.571-1, Damage Tolerance and Fatigue Evaluation of Structure (12) AC 27-1, Certification of Normal Category Rotorcraft (13) AC 29-2, Certification of Transport Category Rotorcraft (14) AC 33-2, Aircraft Engine Type Certification Handbook (15) AC 36-4, Noise Certification Handbook (16) AC 121-22, Maintenance Review Board Par 1-9 Page 15 10/26/05 8110.4C d. National Aeronautics and Space Administration (NASA) documents. (1) Burk, Sanger M. Jr., Summary of Design Considerations for Airplane Spin- Recovery Parachute Systems; NASA TN D-6866, August 1972. (2) Bradshaw, Charles F., A Spin-Recovery System for Light General Aviation Airplanes; NASA CP-2127, 14th Aerospace Mechanics Symposium, May 1980. (3) Stough, Paul H. III, A Summary of Spin-Recovery Parachute Experience on Light Airplanes; AIAA Paper Number 90-1317, AIAA/SFTE/DGLR/SETP Fifth Biannual Flight Test Conference, May 1990. 1-10.RECORDS MANAGEMENT. Refer to Orders 0000.1, FAA Standard Subject Classification System; 1350.14, Records Management; and 1350.15, Records, Organization, Transfer, and Destruction Standards; or your office Records Management Officer or Directives Management Officer for guidance regarding retention or disposition of records. Page 16 Par 1-9 3/28/07 8110.4C, Chg. 1 CHAPTER 2. TYPE CERTIFICATION PROCESS 2-1. GENERAL. This chapter describes the process for U.S. applicants to obtain a U.S. TC for their product under 14 CFR § 21.21. Follow Order 8110.52 when U.S. applicants seek foreign TCs and when non-U.S. applicants seek U.S. TCs. The process given in this chapter applies to the four kinds of TCs: TC, amended TC, STC, and amended STC. Some of the steps or procedures in this chapter may not apply to all certification projects because some of the steps or procedures may not be needed due to the design features of the proposed product or the design features of the proposed change to the product. However, if an official flight test was required, then all steps and procedures related to issuance and closure of a TIA are necessary and cannot be omitted. This chapter models the standard type certification process, describes responsibilities of the parties, and presents the administrative methods and tools FAA personnel use in conducting a type certification project. Processes unique to STCs are discussed in chapter 4. 2-2. A MODEL OF THE TYPE CERTIFICATION PROCESS. a. Description. The model presented in the following sections is a high-level flow diagram of the certification events that typically make up the life cycle of an aircraft. It is meant to explain the type certification process, not to dictate precisely how the project should flow. Certain assumptions and simplifications were made so that the model clearly shows the relationship of the various events and milestones. Although the model shows the proper sequence of events for certificating a product, the various aspects of the project generally progress through the process at different times and at different rates. It is useful to think of a project as multiple certification items worked to this model on individual but inter-related schedules. b. Applying the Model. Below are factors for the FAA and the applicant to consider while using this model to plan and manage the project. (1) At times, the model implies a transport category airplane intended for 14 CFR part 121 air carrier operations. However, the basic certification principles of the model apply to any FAA design approval project. (2) The scope, magnitude, and complexity of the project influence the relative importance of the events specified in the model. On less-demanding projects, events may be combined, conducted informally, or skipped all together. (3) Engineering design is an iterative process. Few projects will traverse the timeline directly from left to right. (4) Planners work with limited information. As the project progresses, keep plans flexible and revise as necessary. (5) Allocate lead-time for meeting the milestone. None are shown in the figure. c. Overview of a Typical Type Certification Process. The model divides the product’s type certification life cycle into phases based on The FAA and Industry Guide to Product Certification. Figure 2-1, Typical Type Certification Process, diagrams the flow of events through these phases. The numbers next to each event correspond to descriptive paragraphs for the event. Par 2-1 Page 17 8110.4C 10/26/05 FIGURE 2-1. TYPICAL TYPE CERTIFICATION PROCESS Requirements Definition TC Application Model of the Type Certification Process Conceptual Design Preliminary TCBM Interim TCBM for Certification Plan Final TCBM Product in Service Compliance Planning Implementation Post Certification Activities 2-3c 2-4f 2-4k 2-5e 2-6q 2-4a 2-6y Legend: ________________________________________________ Formal Coordination Event with Applicant Milestone Gate Regulatory & Policy Discussions End of Product Use Conceptual Beginning 2-3a 2-3b Interim TCBM for Certification Basis Familiarization Briefing Pre-project Guidance Process Orientation 2-7b Instructions for Continued Airworthiness (ICA) 2-6v Evaluations 2-7e Pre-flight TCBM Prolonged Activity TCBM Continued Airworthiness 2-7c 2-7d Certification Basis Certification Plan to FAA Certification Summary Report Certification Project Notice (CPN) Form Certification Team Establish TC Project Certification Plan Agreement [Project Specific] Cert. Plan Compliance Data Generation Data Submittal Airworthiness Certificate Type Certificate (TC) Compliance Substantiation 2-6y 2-4b 2-4i (project level), 2-5d (detail level) 2-4j Flight Manual TCDS 2-6y 2-5e 2-4c 2-4d Certification Project Plan (CPP) 2-4e FAA Project Work -- ACO, MIDO, AEG, Directorate Oversight and Delegation Engineering Conformity Plan FAA Involvement 2-5a 2-5b 2-5c 2-6x 2-7a Type Inspection Report (TIR) 2-6k Compliance Finding 2-3d Issue Papers, Issues Book 2-4g, 2-4h Data Retention 2-7f Changes to ICA Req’d Docs 2-7g See Figure 2-9 Implementation Phase Page 18 Par 2-2 10/26/05 8110.4C Par 2-2 Page 19 d. Events Marking Each Phase. The events depicted in figure 2-1 are listed in figure 2-2 below and grouped by phase. Their paragraph numbers are on the right of each column. FIGURE 2-2. EVENTS IN A TYPICAL TYPE CERTIFICATION PROCESS CONCEPTUAL DESIGN Process Orientation.......................................... 2-3a Pre-Project Guidance....................................... 2-3b Familiarization Briefing .................................. 2-3c Certification Plan............................................. 2-3d REQUIREMENTS DEFINITION Application for TC, Amended TC, and PC ..... 2-4a Establishment of TC Project............................ 2-4b Certification Project Notification (CPN) ......... 2-4c Form the Certification Team (and TCB)…. .... 2-4d Develop Certification Project Plan (CPP) ....... 2-4e The Preliminary TCB Meeting .........................2-4f Issue Paper....................................................... 2-4g Issues Book...................................................... 2-4h The Project Specific Certification Plan (PSCP) ..... ………………………………………………...2-4i Certification Basis ............................................ 2-4j Interim TCB Meeting for Certification Basis .. 2-4k COMPLIANCE PLANNING FAA Involvement ............................................ 2-5a Oversight and Delegation ................................ 2-5b Conformity for Engineering Purposes ............. 2-5c Completed [Project Specific] Certification Plan .................................................................. 2-5d Interim TCB Meeting for [Project Specific] Certification Plan Agreement ....................... 2-5e IMPLEMENTATION Conformity Inspections ................................2-6b Applicant Test Plan and FAA Approval....... 2-6c Before Witnessing Engineering and Flight Tests ................................................2-6d Engineering Certification Tests .................... 2-6e Engineering Compliance by Inspection.........2-6f Analysis ........................................................2-6g Experimental Airworthiness Certificate .......2-6h Applicant’s Flight Tests.................................2-6i Compliance Substantiation - General ............2-6j Data Submitted for Approval........................2-6k Applicant Flight Test Data and Report..........2-6l Compliance Reports ....................................2-6m FAA Review of Compliance Data ................2-6n Review of Applicant’s Flight Test Results ...2-6o Flight Test Risk Management Process .........2-6p Pre-Flight TCB Meeting ...............................2-6q Type Inspection Authorization (TIA)............2-6r Flight Test Conformity Inspection................ 2-6s Certification Flight Tests ...............................2-6t Operational and Maintenance Evaluations ...2-6u Instructions for Continued Airworthiness (ICA) ..................................2-6v Function and Reliability (F&R) Flight Testing ..................................................................... 2-6w Aircraft Flight Manual..................................2-6x Final TCB Meeting, Issuance of Type Certificate and Data Sheet ................2-6y POST CERTIFICATION ACTIVITIES Certification Summary Report...................... 2-7a Type Inspection Report (TIR) ......................2-7b Continued Airworthiness .............................. 2-7c Changes to Instructions for Continued Airworthiness (ICA) ..................................2-7d Post-Certification Evaluations ...................... 2-7e Data Retention ...............................................2-7f Required Documents ....................................2-7g 10/26/05 8110.4C Par 2-3 Page 20 2-3. CONCEPTUAL DESIGN. FIGURE 2-3. TASKS DURING THE CONCEPTUAL DESIGN PHASE Process Orientation................................................................................. 2-3a Pre-Project Guidance..............................................................................2-3b Familiarization Briefing ......................................................................... 2-3c Certification Plan....................................................................................2-3d a. Process Orientation [previously Familiarization TCBM]. An applicant seeking a TC approval is encouraged to contact the ACO in their geographic area (see www.faa.gov/aircraft/air_cert/locate_office/aco/) before submitting a TC application. During this initial contact, an ACO project manager should discuss the type of requested approval with the applicant and assess the applicant’s knowledge of certification procedures. The project manager needs to conduct a process orientation for applicants who are unfamiliar with certification. The process orientation establishes a partnership with the applicant and provides an opportunity to develop an understanding of the type certification process as it applies to the applicant’s design. The orientation should explain the need for certification, the certification process, the FAA’s role, and the applicant’s responsibilities. For applicants choosing to implement the techniques and guidance described in The FAA and Industry Guide to Product Certification, this information becomes the foundation for the Partnership for Safety Plan (PSP). Depending on the applicant’s previous certification experience, the process orientation may be conducted by phone or in person. b. Pre-Project Guidance (Regulatory and Policy Discussions). The FAA requires a TC application before providing full access to the FAA resources necessary to complete a project. However, before this application, the FAA responds to the potential applicant’s questions about the FAA’s procedural and technical requirements that may arise after the applicant’s process orientation. The ACO will first direct the potential applicant to appropriate regulatory, policy, and guidance material, then, at the ACO’s discretion, involve itself directly. Further involvement may be necessary to determine how unique or novel a proposed design is, or to research past policy applications. However, expect potential applicants to educate themselves as much as possible on the certification process. Finally, encourage potential applicants to give the ACO an initial familiarization briefing soon after they commit to applying for a TC. c. Familiarization Briefings give potential applicants an opportunity to describe their project to the ACO before application. These briefings are intended for products the applicant is committed to bringing to market through type certification. The main purpose is to familiarize the FAA with the proposed design as it is currently known. Learning about projects before submittal of the application also allows the ACO to consider FAA involvement and begin planning resources. Special emphasis should be placed on technical issues and unique or novel features. Beyond being briefed on the design features, expect to hear about the intended operation, major suppliers and unusual vendor relationships, reliance on approved equipment, project schedule, and reliance on designees or delegated organizations. 10/26/05 8110.4C Par 2-3 Page 21 d. Certification Plan. All TC applicants are required to submit a certification plan to the FAA and to keep it current throughout the project. A certification plan addresses the information listed below. For simple projects, expect complete certification plans as part of the application package. For complex projects, portions of the information needed in the certification plan will not be known at the time of application. Expect the applicant to provide as much information as possible with the initial submittal and supply the rest as it becomes known. At the time of application, the extent and depth of the information in the certification plan should be sufficient to determine the feasibility of the applicant’s proposed schedule. When the certification plan does not give the FAA assurance to the applicant’s understanding of the scope and magnitude of the certification project, the FAA should reject the application and consider the need for another familiarization briefing. When the FAA accepts the application with an incomplete certification plan, the certification plan must be completed (see paragraph 2-5d of this order) and include the following information before entering the implementation phase: (1) General information including applicant identification, application date, model designation, and so forth. (2) A description of the proposed design or design change including sketches and schematics. (3) The intended regulatory operating environment (for example, 14 CFR parts 91, 121, and 137). This should identify the kinds of operations for which the product will be used, and the kind of program under which the product will be maintained. (4) The proposed certification basis including applicable regulation paragraphs and subparagraphs with amendment levels, exemptions, ELOS findings, and special conditions. (5) A description of how compliance will be shown (ground test, flight test, analysis, similarity, or other acceptable means of compliance). The description of the means of compliance should be sufficient to determine that all necessary FAA data will be collected and all findings can be made. (6) A list of documentation that will be submitted to show compliance with the applicable certification basis, and how the applicant will ensure that all showings have been made. This can be accomplished using a compliance checklist addressing each section of the regulations applicable to the product. (7) A list of test articles to be used to generate compliance data. Identify any features or attributes for which special instructions to the manufacturing inspector will be necessary to ensure the test article meets the requirements of its tests (for example, dimensions at one or the other end of a tolerance band). (8) A description of how the continued operational safety requirements will be met after the TC is issued. (9) A project schedule including major milestones, such as preliminary hazard analysis submittal dates, substantiating data submittal dates, conformity and testing completion dates, and expected date of final certification. 8110.4C 10/26/05 Page 22 Par 2-3 NOTE: The applicant is responsible for meeting their milestones in the schedule contained in the certification plan. Any slippage in the milestone dates may result in a delay in the final certification. (10) Identification of all DERs intended for use in the certification project, their areas of authority, and whether they will be approving data or recommending approval of data. (11) Identification of all designated manufacturing inspection representatives (DMIR), designated airworthiness representatives (DAR), and organizational designated airworthiness representatives (ODAR) intended for use, their authorized function codes, and their proposed inspection activities. 2-4. REQUIREMENTS DEFINITION. FIGURE 2-4. TASKS DURING THE REQUIREMENTS DEFINITION PHASE Application for TC, Amended TC, and PC ............................................ 2-4a Establishment of TC Project...................................................................2-4b Certification Project Notification (CPN)................................................ 2-4c Form the Certification Team (and TCB) ................................................2-4d Develop Certification Project Plan (CPP) .............................................. 2-4e The Preliminary TCB Meeting............................................................... 2-4f Issue Paper..........………………………………………………………2-4g Issues Book..........……………………………………………………...2-4h The Project Specific Certification Plan (PSCP) ......................................2-4i Certification Basis ...................................................................................2-4j Interim TCB Meeting for Certification Basis.........................................2-4k a. Application for TC, Amended TC, and PC. According to 14 CFR part 21, any person may apply for a TC. Application is made on a form and in a manner prescribed by the Administrator, and is submitted to the geographic ACO, which is also called the PACO. The applicant submits an application using FAA Form 8110-12, Application for Type Certificate, Production Certificate, or Supplemental Type Certificate (see appendix 1, figure 2 of this order). See chapter 4 of this order for STC application instructions. The application package must also include a certification plan according to paragraph 2-3d above, and the specific product information described below. Although certification plans are required at the time of application, the level of completeness will vary depending upon the project’s complexity and the applicant’s experience (see paragraph 2-3d of this order). (1) TC Application. An aircraft TC application must be accompanied by a three- view drawing of the aircraft and available basic data. An aircraft engine TC application must have a description of the engine design features, operating characteristics, and the proposed operating limitations. The applicant should complete blocks 1, 2, 3, 4, and 7 of the application in each of the following situations: 10/26/05 8110.4C Par 2-4 Page 23 (a) When submitting a TC application for design approval of a new model aircraft (airplane, glider, rotorcraft, balloon, airship), aircraft engine, or propeller (see 14 CFR §§ 21.15 and 21.19), or for extensions of time according to 14 CFR § 21.17(d). (b) When submitting an amended TC application for approval of a change in model designation, for adding new models before original issuance of the TC, and for approving a follow-on model after the initial issuance of the TC (see 14 CFR §§ 21.91 through 21.101). The applicant must check Type Certificate in block 2, then, in block 4a, specify that the application is for an amendment and include the TC number. Applicants may apply for any other amendments to the TC by a letter or other written notification. (c) When submitting an application for a provisional TC (class I or II) or changes to a provisional TC (class I or II) that is desired before the standard TC is issued (see 14 CFR §§ 21.75, 21.81, and 21.83). (d) When submitting an application for a provisional amendment to a TC for a follow-on model (see 14 CFR § 21.85). (e) When submitting an application for a change in category to a type certificated model. (2) PC Application. The applicant should complete blocks 1, 2, 3, 5, and 7 of FAA Form 8110-12 (see appendix 1 of this order) when applying for a PC. Application for a PC may be made at the same time application is made for a TC, an amended TC, STC, or an amended STC. However, the applicant cannot get a PC before a TC or STC is issued. The application for the PC is made to the geographic MIDO. b. Establishment of TC Project. The ACO assigns a project number, a project manager, and specialists as required. For significant projects, the accountable directorate assigns a project officer. (1) Project Number. The ACO assigns a project number to each certification project. See appendix 1, figure 5, ACOS Project, TC, and STC Numbering System, of this order for numbering system details. Also, use the assigned project number in all correspondence, reports, and other documents pertaining to the project. If the project is either canceled or closed before completion, the ACO must close or cancel the assigned project number. (2) Assignments and Duties of the Project Manager. (a) The project manager is the assigned focal point in the ACO who plans, reviews, evaluates, and coordinates all aspects of a certification project according to the CPP. When the project is small, generally involving a single ACO engineer, the duties of project manager may be filled by that engineer. In this case, the engineer is called project engineer. For the purpose of this order, the term project manager includes project engineer. The applicant should be instructed to direct all project correspondence to the project manager at the ACO where the application was submitted. See paragraph 2-4e of this order for further details on CPP development. 8110.4C 10/26/05 Page 24 Par 2-4 (b) The project manager initiates the CPP and coordinates with the project officer and CMACO, if necessary. The final CPP is not prepared until detailed roles and responsibilities are discussed with the applicant at the preliminary type certification board (preliminary TCB) meeting. (c) The project manager prepares a CPN as discussed below in paragraph 2-4c below. (d) The project manager establishes all projects requiring significant involvement by technical personnel. The project manager also coordinates with the appropriate ACO, MIDO, AEG, and directorate managers in selecting project team members. The project team normally consists of the following: 1 A project manager, 2 Engineers or technical specialists, 3 Flight test pilots and flight test engineers, 4 Manufacturing inspectors, 5 AEG operations and airworthiness inspectors, and 6 A project officer and other persons at the discretion of the accountable directorate. NOTE: The certification project team is comprised of the individuals needed to conduct a certification project. A TCB is an FAA management team. The TCB is discussed further in paragraph 2-4d below. (e) The project manager sends an acknowledgment letter to the applicant identifying the project number, project manager’s name, office mailing address, telephone number, and electronic mail address. NOTE: Responses to applications can be sent by an electronic mail message, as well as a written response, to an applicant. The FAA policy on electronic records is found in Order 1370.81, Electronic Mail, Order 8000.79, Use of Electronic Technology and Storage of Data, and FAA Manual IR-04-01, Records Management Requirement Manual. (3) Assignments and Duties of Pilots and Engineers. Engineers and pilots are assigned to fill the technical needs of the particular project. The engineer or pilot evaluates the adequacy of the type design and substantiation data related to their assigned disciplines. They have discretion to review any of these data, such as critical material process specifications. Engineers or pilots maintain appropriate oversight of their designees. They use available resources, for example, peers, designees, technical specialists, Chief Scientific and Technical 10/26/05 8110.4C Par 2-4 Page 25 Advisors (CSTA), policy staff, and management, to make sound and timely technical decisions. Engineers and pilots contribute to the preparation of Type Inspection Authorizations (TIA), request conformity inspection, and coordinate with FAA inspectors and their designees. (4) Assignments and Duties of the Project Officer. The project officer is the focal point in the accountable directorate for policy and is assigned to monitor a significant certification project according to the CPN. The project officer is responsible for ensuring that the project team is using current policy and guidance. The project officer also provides project- specific rules (for example, special conditions and exemptions) and policy (for example, acceptable means of compliance, ELOS, and certification basis) to the project team. The project officer works with the project manager to develop the CPP. c. Certification Project Notification (CPN). The project manager electronically notifies the accountable directorate of each project by completing a CPN form as shown in appendix 1, figure 4 of this order. The CPN includes a brief description of the project, a statement of the project’s significance, and identifies other FAA organizational involvement that may be required. The brief description of the project should address the criteria for a significant project as listed below. After the accountable directorate receives the CPN, they determine whether the project is significant or not significant. If they agree with the significance status (as indicated by the ACO), Part B of the CPN does not need to be returned to the ACO. If the accountable directorate disagrees with the ACO regarding whether the project is significant or not significant, Part B needs to be filled out and the CPN should be promptly returned (electronically) to the ACO. Signature authority for a project the directorate deems to be not significant is delegated to the PACO unless otherwise retained by the accountable directorate. If the assumptions about a project that lead to its significance classification should change, the PACO is responsible for notifying the accountable directorate. When a project is judged significant by the accountable directorate, the directorate assigns a project officer and notifies the ACO of the assignment by telephone within 10 working days of receiving the CPN. This occurs whether the ACO agrees or disagrees with the directorate’s determination of significance. (1) Significant projects meet either of the following definitions: (a) An application for a new TC. (b) An application for an amended TC or an STC (new or amended) in which any of the following apply: 1 The design appears to require special conditions, exemptions, or ELOS findings. 2 The design uses novel or unusual methods of construction. 3 The design changes the kinematics, dynamics, or configuration of either the flight control or rotordrive system. 4 The design change substantially alters the aircraft’s flight characteristics. 8110.4C 10/26/05 Page 26 Par 2-4 NOTE: Flight items for which compliance can be qualitatively documented are considered to be non-significant for project description purposes. 5 The design affects an area that has been the subject of a major service difficulty or accident. 6 The design changes the engine configuration from reciprocating power to turbopropeller or turbojet power, or changes the engine or propeller model to a completely different engine or propeller model. 7 The integrity of the basic load-bearing structure is affected. Basic load- bearing structure means the structure necessary for continued safe flight and landing or operation of the aircraft within approved limits. 8 The design consists of new state-of-the-art systems or components with no previous certification, or systems or components for which adequate certification criteria have not been published. 9 The certification is likely to be controversial or highly visible. 10 The directorate chooses to retain signature authority for issuance of TCs. (2) Significant change determination per 14 CFR § 21.101(b)(1) is discussed in Order 8110.48. (3) The accountable directorate standards staff posts the CPN on an FAA electronic bulletin board for CSTA review. (4) See paragraph 4-18 of this order for details on ACO to ACO coordination. (5) The ACO project manager also must consult with the accountable AEG when a product’s operational and maintenance aspects are to be evaluated during certification, as described in Order 8110.54, Instructions for Continued Airworthiness – Responsibilities, Requirements, and Contents. After the accountable or cognizant AEG receives the CPN form (see appendix 1, figure 4 of this order), they determine whether the project will require an operational and maintenance evaluation. The accountable AEG then completes Part C of the CPN and should promptly return it electronically to the ACO. d. Form the Certification Team (and TCB). The FAA type certification team includes those FAA personnel needed to conduct the certification project and an FAA management team—the type certification board (TCB)—that oversees the project. A TCB is established only for projects of a certain magnitude. When a TCB is not necessary, the certification team manages the project and performs any functions of the TCB to the degree necessary. (1) Certification Team members are assigned to a project by their respective managers. However, the project manager plays a critical role in the formation of the certification team by coordinating with the appropriate managers to ensure proper technical representation on 10/26/05 8110.4C Par 2-4 Page 27 the team. These duties and the project team members are discussed as part of establishing a project. See paragraph 2-4b above. (2) Type Certification Board (TCB). (a) A TCB is established for the following: 1 Projects involving major changes to the type design, 2 Significant projects, 3 Aircraft and aircraft engine projects that involves new type certification, and 4 Variable pitch propeller projects. (b) The project manager coordinates with the cognizant AEG manager when establishing the TCB membership. The AEG manager provides the project manager with the names of the AEG inspectors assigned to the TCB. The ACO manager or representative serves as chairman of the TCB. The members of a TCB include: 1 The ACO manager (or representative), 2 Directorate project officer (for significant projects), 3 Project manager, and 4 Other members including the managers, supervisors, or senior personnel from the appropriate engineering disciplines; and flight test, manufacturing inspection, and assigned AEG personnel. (3) Additional TCB Participants. The TCB may request other participants, such as those listed below, to join the certification team or participate on an advisory basis in the TCB meetings. (a) ACO engineers, flight test pilots, and manufacturing inspectors, (b) Washington Headquarters specialists, (c) CSTAs, (d) Additional AEG and FSDO personnel, (e) The project officer from the accountable directorate (if not serving as a board member), (f) Representatives of the CMACO, other ACOs, and directorates, and (g) The applicant and its representatives. 8110.4C 10/26/05 Page 28 Par 2-4 (4) TCB Functions. The TCB’s purpose is to acquaint the applicant and the FAA certification team with the certification project. They also identify and resolve significant problems, establish milestones and schedules for the overall accomplishment of the type certification project, review the applicant’s certification plan, review the proposed certification basis, and ensure all outstanding certification issues are resolved. The TCB establishes clear expectations and project assignments for the applicant and FAA certification team. When needed by the TCB, the project manager requests technical assistance or guidance for the project from the accountable directorate. Such a request should be made as far in advance as possible to facilitate work scheduling. (5) TCB Meetings (TCBM) (for example, preliminary, interim, pre-flight, final) are held with the applicant throughout the project. Some meetings may be combined, and some meetings may be duplicated or divided by discipline or system as necessary. The chairman convenes the TCB as necessary and notifies the appropriate representatives with the time, date, and location of the meetings. If the number of meetings is decreased or combined, or the meetings are divided by discipline or system, the TCB chairman is responsible for determining all elements of the process are addressed, integrated, and completed. Members, with concurrence of the chairman, may designate an alternate as their representative at TCB meetings. Members of the TCB should be familiar with the project during the development phases and in advance of TCB meetings. This practice ensures knowledgeable participants in the TCB meetings. Members participate in the specific periods of the TCB activity, as required by the project under consideration. It is not mandatory for members to participate in every meeting. (6) TCB agenda items and subsequent meeting minutes should be sent to the applicant. The meeting minutes should include the following information: (a) TCB meeting type: familiarization briefing, preliminary, interim, pre-flight, or final, (b) Manufacturer, (c) Model and project number, (d) Location and date of meeting, (e) Personnel present at meeting, (f) Purpose of meeting, (g) Discussion of agenda items, and (h) Specialty items: Major problems and actions to take. NOTE: Each item or subject discussed should be identified and summarized under a separate heading with the appropriate regulations referenced. These items should include a discussion, expectations, and a conclusion. Expectations should include action item assignments and a schedule for completing any action items. 03/28/07 8110.4C, Chg.1 Individuals participating in discussions should be identified by titles only. e. Develop Certification Project Plan (CPP). The CPP defines the working relationship between the accountable directorate and PACO for a specific type certification project. The CPP is the principal project coordination tool that the project manager updates throughout the project. The CPP sets the proposed project schedule as well as the resources and responsibilities to be allocated from both the accountable directorate and PACO in order to support the applicant’s schedule. Early commitment of FAA resources combined with a realistic project schedule will enable the accountable directorate and PACO to plan and direct their resources more effectively. The CPP represents our plan to support the applicant’s schedule. The project manager and project officer should follow the CPP in draft form until the project develops sufficiently for preparation of a final CPP. The project manager submits the CPP final plan through the ACO manager to the accountable directorate manager for approval. The applicant’s certification plan may take the place of the CPP when it includes all of the information that should be in the CPP and is coordinated with the project officer. See appendix 1, figure 7, of this order for a sample type CPP. NOTE: The applicant’s certification plan and the CPP are combined to form the basis of the PSCP for those projects using the techniques and guidance from The FAA and Industry Guide to Product Certification. f. The Preliminary TCB Meeting is the initial formal meeting that establishes the basis for all integrated certification planning combining the interests of engineering, flight test, manufacturing, and maintenance and operations. Use this meeting to determine if the TCB and the applicant are adequately familiar with the various aspects of the project and to determine whether the project is mature enough to begin defining the requirements. Obtain mutual commitment to the issues and acceptance of the risks before proceeding into the requirements definition phase. This meeting should: (1) Update and further acquaint FAA personnel with the project, (2) Work toward establishing the certification basis, (3) Open discussion of design details and possible problem areas with specialists, (4) Identify areas needing the formation of special compliance teams to attain the earliest possible resolution of potential problems, (5) Identify novel or unique design features, materials, or processes, and (6) Establish a schedule for the certification project. NOTE: Developing the certification basis may require follow-up meetings between the ACO and the applicant. If the certification basis can’t be established quickly and easily, consider re-assembling the certification team by scheduling an interim TCB meeting for finalizing the certification basis. g. Issue Paper. An issue paper provides a means for identifying and resolving significant technical, regulatory, and administrative issues occurring during the certification Par 2-4 Page 29 8110.4C 10/26/05 process. Issue papers are primarily intended to provide an overview of significant issues, a means of determining the status of issues, and a basis for a post-certification summary statement on how issues were resolved. See appendices 12 through 14 of this order for detailed information regarding issue paper procedures, issue paper forms and templates, and a sample issue paper. h. Issues Book. The project manager assembles issue papers and publishes them in the form of an issues book for distribution to the TCB members, project team members, applicant, and the accountable directorate. The issues book may be revised to add new issue papers or update existing papers without holding a formal TCB meeting, provided that the new or updated issue paper can be coordinated through the applicant and TCB. i. The Project Specific Certification Plan (PSCP) is the primary project management tool for coordinating activities between the FAA and applicants choosing to implement the techniques and guidance described in The FAA and Industry Guide to Product Certification. The PSCP combines information from the applicant’s certification plan and the FAA’s CPP with additional project details to support an effective certification project. It is also the depository for milestones, performance measures, and information unique to the certification project. The FAA and the applicant’s certification teams begin developing the PSCP when they have collected the information needed in the applicant’s certification plan (discussed in paragraph 2-3d of this order) and the CPP (discussed in paragraph 2-4e of this order). This combined certification team adds additional planning information to meet the objectives outlined in The FAA and Industry Guide to Product Certification. Although the PSCP is a plan subject to change, the commitments made by each party are the expectations of the signatories. When developing a PSCP, ensure commitments: (1) Remain within the authority of the signatories, (2) Are consistent with FAA regulations or policy, (3) Do not redefine certificate eligibility (for example, agreeing to a fixed certification date), (4) Can be met even in circumstances less than ideal, and (5) Consider obligations made to other projects and applicants. j. Certification Basis. Early in a TC project, the FAA establishes the certification basis, defining the applicable requirements of 14 CFR for the issuance of the TC. The certification basis identifies the specific 14 CFR parts and amendment levels with which the applicant must show compliance before the issuance of the TC. The certification basis includes the applicable airworthiness standards for the category of the TC to be issued. It also includes the applicable aircraft noise, fuel venting, and exhaust emission requirements contained in 14 CFR. The FAA makes every effort to ensure the certification basis is correct at the beginning of the project and the applicant is advised of all regulatory aspects including operational requirements contained in other subchapters in 14 CFR. The certification basis is established by the FAA and agreed to by the applicant, based on a mutual understanding of the design features of the product to be certificated. Upon agreement of the certification basis, new policy will not be imposed unless Page 30 Par 2-4 10/26/05 8110.4C Par 2-4 Page 31 the policy is needed to address an unsafe design condition the FAA has corrected by mandating a change on other projects with the same design feature. (1) Framework. For initial issuance of a TC, the date of application establishes the amendment level of the airworthiness standards to be met. For changes to a TC, see Order 8110.48 for guidance on establishing the amendment level of the airworthiness standards. As required in 14 CFR § 21.17(a), the product meets the applicable airworthiness standards for the TC to be issued, unless otherwise specified by the FAA. This allows the FAA to make adjustments for individual TC projects by developing special conditions, ELOS findings, or exemptions. As stated in 14 CFR § 21.17(b), the FAA may also permit development of a set of airworthiness standards appropriate to special classes of aircraft. The following subparagraphs define each of these adjustments to the certification basis. (2) Special Classes of Aircraft. Many kinds of aircraft do not have airworthiness standards established in 14 CFR. These aircraft may be defined as Special Class aircraft. Title 14 CFR § 21.17(b) permits the FAA and the public to develop airworthiness criteria equivalent to those published in 14 CFR. Currently, special class aircraft include airships, gliders, motor gliders, and very light airplanes. The procedures necessary to establish the certification basis for these special classes of aircraft are provided in the guidance material shown in figure 2-5 below. Other special classes of aircraft, such as powered lift, require individual airworthiness standards to be developed as provided for in 14 CFR § 21.17(b). Contact the Aircraft Engineering Division (AIR-100) and the appropriate product directorate to discuss the process for defining new special class aircraft and developing appropriate airworthiness criteria: FIGURE 2-5. SPECIAL CLASS AIRCRAFT GUIDANCE For this sp