Suspected Unapproved Parts Program

6/3/16 8120.16A

Appendix B

Appendix B. Suspected Unapproved Parts Report

Instructions for Completing FAA Form 8120-11, Suspected Unapproved Parts Report

Privacy Act and Paperwork Reduction Act Statement: An agency may not conduct or sponsor, and a person is not required to respond, to a collection of information unless it displays a currently valid OMB control number. The OMB control number for this form is 2120-0552. This information is collected by the FAA, under the authority of 49 USC 44701. The information will be used to support SUP investigations and management reports. Submission of this information is voluntary, with questions limited to reduce any burden on the reporter. Completion of this form is estimated to take less than 9 minutes.

Information collected is not available elsewhere and necessary to support the FAA’s commitment to promote safety. Information is routinely shared with law enforcement agencies for use in civil and criminal investigations. Information developed from this form is covered under the Privacy Act system of records DOT/FAA 52 and the routine uses of that system will apply. A reporter may request confidentiality of personal information to the extent permitted by the Freedom of Information Act (5 USC 552) and the Privacy Act (5 USC 552a). Comments concerning the accuracy of this burden and suggestions for reducing the burden should be directed to the FAA at: 800 Independence Ave, SW, Washington DC 20591, Attn: Information Collection Clearance Officer, AIO-20 An electronic copy of FAA Form 8120-11, Suspected Unapproved Parts Report, is available on the FAA website at http://www.faa.gov/aircraft/safety/programs/sups . You may complete the electronic FAA Form 8120-11 and send it to the FAA Hotline email: FAAHotline@faa.gov . The Hotline phone number is (800) 255-1111 or (866) 835-5322.

The instructions below correspond to numbered blocks on the Suspected Unapproved Parts Report: 1. Record the date the part was discovered .

2. Record the part name (or a description of the part).

3. Record the part number or identification number of the part.

4. Record the serial number on the part, if applicable.

5. Record the quantity of parts.

6. Record the assembly name and assembly number (where the part was or could be installed).

Record additional part numbers on page 3 or on a blank sheet of paper with the same information. Example: Part Name: Strut | Part Number: 1234 | Serial Number: 678 | Quantity: 1 | Assembly Name: Main Landing Gear | Assembly Number: 56789X 7. Record the type of aircraft the part was (or could be) installed on.

8. Record the complete name and address of the company or person who produced, repaired, and/or sold the part. Do not list a P.O. Box address unless a street address is not available. Check the box that describes the company or person and provide the certificate number, if known (see explanations of participants below).

Air Carrier - An FAA-certificated company or person Supplier - A company or person who furnishes aircraft parts who undertakes directly by lease, or other or related services, at any tier, to the producer of a product or arrangement, to engage in air transportation. part thereof.

Mechanic - A person holding an FAA mechanic Production Approval Holder - A company or person holding one of the following three types of FAA production certificate with airframe and/or powerplant ratings .

approvals: production certificate, parts manufacturer approval, or technical standard order authorization.

Repair Station - An FAA-certificated repair station. Manufacturer - The original equipment manufacturer (OEM.)

Distributor - A broker, dealer, reseller or other Other - Record other type of business.

person or agency engaged in the sale of parts.

Owner/Operator - The owner or operator of an aircraft. Unknown 9. Record a brief narrative stating why you believe the part is not approved. Include a description of the part (improper configuration, suspect marking, different material, etc.), where it was obtained, and what type of documentation was supplied with it.

10. Record the complete name and address of the location where the part was found. Check the appropriate block to reflect the affiliation of the company or person who discovered the part.

11. Record the date the FAA Form 8120-11 is being submitted.

12. Check this box if you request anonymity (do not wish to provide your identity), and do not complete 13 or 14.

13. Record your name, address and phone number, if desired. This information will enable the FAA to contact you for additional information, if necessary.

14. Check this box if you request confidentiality of your personal information recorded in block 13.

15. Check this box if you have provided additional information (photos, invoices, certification statements, etc.).

Forward the completed FAA Form 8120-11, Suspected Unapproved Parts Report, to: Federal Aviation Administration Office of Audit and Evaluation, (Room 911) 800 Independence Avenue, SW, Washington, DC 20591

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6/3/16 8120.16A

Appendix B

OMB Approved 2120-0552 6/2016

SUSPECTED UNAPPROVED PARTS REPORT

1. Date the Part Was Discovered: 2. Part Name: 3. Part Number: 4. Part Serial Number: 6. Assembly Name and Number: 7. Aircraft Make & Model: 5. Quantity: Name: Make: Number: Model: 8. Name, Address, and Description of the Company or Person Who Supplied or Repaired the Part: Name: Street Address: City: State: Zip Code: Country: Phone Number: Check One of the Following Applicable to the Company or Person Who Supplied or Repaired the Part:  Air Carrier - Certificate #  S u p p l i er  M ech an i c - Certificate #  Production Approval Holder  R ep ai r Station - Certificate#  Manufacturer  D i stri b u to r  Other  O w n er/ O p erato r  U n kn o w n 9. Description of the Issue: (attach additional sheet if necessary) 10. Name and Address of (the Company or Person) Where the Part Was Discovered: Name: Street Address: City: State: Zip: Country: Phone Number: Check One of the Following Applicable to the Company or Person Who Discovered the Part:  Air Carrier - Certificate#  FAA Inspector  D O T / O ffi ce of Inspector General  Me c h a n ic - Certificate#  Re p a ir S ta tio n - Certificate #  D efen se C ri m i n al I n vesti g ati o n S er vice  Dis trib u to r  O th er G o vern m en t A g en cy  F o rei g n Civil Aviation Authority  S u p p l i er  Production Approval Holder  Ow n e r /Operator  Un kn o w n  Other 11. Date of This Report: 12.  Check this box ifyou request anonymity Do not complete block 13.

13. Name and Address of the Reporter: Name: Street Address: City: State: Zip Code: Country: Phone Number: 14.  Check this box if you request confidentiality.

15.  Check this box if you have attached additional information.

FAA Form 8120-11 (6/2016) Supersedes Previous Edition Local Reproduction Authorized

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6/3/16 8120.16A Appendix B FAA Form 8120-11, Suspected Unapproved Parts Report Continuation Sheet Page ( ) of ( ) Serial Assembly Assembly Part Name Part Number Number Quantity Name Number FAA Form 8120-11 (1/2016) Supersedes Previous Edition Local Reproduction Authorized B-3 6/3/16 8120.16A Appendix C Appendix C. Administrative Information 1. Distribution. This order is distributed to the Washington headquarters branch levels of the Aircraft Certification Service, Flight Standards Service, and the Regulatory Support Division; to the Aviation System Standards Office: to the branch level in the Aircraft Certification Directorates and regional Flight Standards divisions; to all Aircraft Certification Offices; to all Manufacturing Inspection District and Satellite Offices; to all Flight Standards District Offices; to the Aircraft Certification Branch, and Operations and Airworthiness branches at the FAA Academy; to the Brussels International Policy Branch; to the Singapore International Policy Branch; and to all AFS International Field Offices.

2. Background. In 1995, the FAA formalized its commitment to investigating suspect aviation parts by establishing the SUP Program Office. The SUP Program Office developed and perfected the procedures required to evaluate and investigate reports of suspect parts in the aviation community and increased the aviation community’s awareness of the dangers involved with unapproved aircraft parts. It successfully coordinated and supported the investigation of those parts until management of the SUP program was turned over to the FAA at large with the promulgation of this order in July, 2008.

a. When the order established the current SUP reporting and investigation protocols in 2008, the FAA Hotline forwarded all SUP reports received from the aviation community to the AFS HQ SUP Focal Point in AFS-300 for further investigation or delegation. If the SUP involved a used part, repair station, or maintenance facility, the AFS-HQ SUP Focal Point forwarded the report to a SUP Coordinator in the proper AFS region where it could properly be addressed. If the SUP report involved a new part or manufacturing issue, it was delegated to the AIR HQ SUP Focal Point in the FAA Production and Airworthiness Division (AIR-200), (AIR-200 was merged into and became part of the Design, Manufacturing, and Airworthiness Division, AIR-100, in January, 2014) who then sent the report to the appropriate AIR directorate SUP Coordinator for further investigation by subject matter experts in the manufacturing sector. In 2011, it became apparent that although some SUP reports involved used parts, repair stations, and owner/operators, it may be more appropriate to place SUP program responsibility within AIR, which has responsibility over policy regarding production of aircraft parts.

b. In 2012, AFS-300 and AIR-200 began discussions to consider transferring policy responsibility for the SUP program to AIR-200. In November 2012, a memorandum of agreement between AFS-300 and AIR-200 was negotiated to authorize a deviation from FAA Order 8120.16, Processing Reports of Suspected Unapproved Parts. The deviation established AIR-200 as the Office of Primary Responsibility (OPR) for this order. The deviation also provided that the AIR HQ SUP Focal Point (in AIR-200) would receive all SUP reports from the Aviation Safety Hotline instead of the HQ SUP Focal Point in AFS. (The Aviation Safety Hotline Program has been revised and is now classified as the FAA Hotline Program). A joint AFS-300 and AIR-200 Transition Project Management Plan, created to document the transition of the SUP process from AFS to AIR, was approved on April 4, 2013.

3. Delegation of Authority. The Associate Administrator for Aviation Safety reserves the authority to approve changes that delegate authority or assign responsibility.

C-1 6/3/16 8120316A Appendix C 4. Authority to Change This Order. The Design, Manufacturing, and Airworthiness Division, AIR-100, with concurrence of the Flight Standards Service, Aircraft Maintenance Division, AFS 300, may issue changes to this order, as needed, to meet the agency’s responsibilities and needs in processing and investigating the public’s reports of suspect aircraft parts.

5. Deviations. You must follow the procedures in this order to ensure uniform administration of this directive. To deviate from this material, you must coordinate with – and get approval from – AIR-100. If deviation is necessary, be sure to substantiate and document the deviation and get approval from your supervisor before submitting to AIR-100. All requests for deviation originating from flight standards regional offices must be approved by AFS-300 prior to being submitted to AIR 100. If you urgently need an interpretation, contact Design, Manufacturing, and Airworthiness Division, at (202) 267-1575. Always use Form 1320-19 to follow up each verbal conversation.

6. Records Management . Refer to FAA Order 0000.1, F AA Standard Subject Classification System; FAA Order 1350.14 , Records Management ; or your office Records Management Officer (RMO)/Directives Management Officer (DMO) for guidance regarding retention or disposition of records.

7. Directive Feedback. If you find deficiencies, need clarification, or want to suggest improvement to this order, send FAA Form 1320-19, Directive Feedback Information (written or electronically) to: The Aircraft Certification Service Administrative Services Branch, AIR-510 Attention: Directives Management Officer Orville Wright Bldg. (FOB10A) FAA National Headquarters 800 Independence Ave., SW Washington, DC 20591 C-2 6/3/16 8120.16A Appendix D Appendix D. Definitions 1. Definitions. The following definitions are applicable to terms used in this order: a. Action Office. An FAA office designated to investigate a SUP report b. Aircraft Certification Service, Directorate SUP Coordinator. A specialist assigned by the manager of each AIR Directorate responsible for coordinating all SUP-related issues associated within that directorate.

c. Aircraft Certification Office (ACO). The AIR office responsible for the review and approval of type design data d. Approved Part. The term “part” is contained in the definition of articles, (“a material, part, component, process, or appliance”) as defined in 14 CFR part 21.1. For the purposes of this order, an approved part may be produced pursuant to § 21.8 or § 21.9 and is not restricted to FAA production approvals (e.g. PMA, TSO). Please refer to the cited regulations for further information on FAA approval criteria.

Note 1: For continuity purposes, the word “part” will continue to be used throughout this order to mean any component or item intended to be used on a product.

Note 2: Be advised that a part produced pursuant to an FAA approval, as well as other acceptable manufactured parts, is not always and unconditionally eligible for installation, because it may be defective, lack required maintenance, or have reached a life limit or other limit and thus may not be airworthy.

e. Article. A material, part, component, process, or appliance (Part 21, Subpart A).

f. Counterfeit Part. A type of “unapproved part” made or altered to imitate or resemble an “approved part” without authority or right, and with the intent to mislead or defraud by passing the imitation as original or genuine.

Note: Counterfeit parts may be new parts that are deliberately misrepresented as being designed and produced under an approved system or other acceptable method even though they were not so designed and produced.

g. Distributors. Brokers, dealers, resellers, or other persons or agencies engaged in the sale of parts for installation in TC aircraft, aircraft engines, propellers, and appliances.

h. FAA Form 8120-11, Suspected Unapproved Parts Report. A standard form used to notify the FAA when a SUP has been detected. A sample of the form and instructions for its completion are included in appendix B. This form can also be found in AC 21-29 , Detecting and Reporting Suspected Unapproved Parts.

D1 6/3/16 8120.16A Appendix D i. FAA Hotline. The FAA Hotline provides a single venue for employees and the general public to report concerns involving the FAA. A toll-free telephone number (800-255-1111 or 866-835-5322) may be used to report unsafe practices that affect aviation safety, including the manufacture, distribution, or use of a SUP. The caller’s identification will be kept confidential, if requested.

j. Field Notification (FN). A published notice that communicates information regarding parts that fail to meet regulatory requirements. An Unapproved Parts Notification (UPN) is the primary method used to notify the aviation community of relevant information obtained from a SUP investigation concerning unapproved part(s).

k. Flight Standards Service Regional SUP Coordinator. A specialist assigned by each regional division manager responsible for coordinating all SUP related issues associated with Flight Standards in that region.

l. Headquarters (HQ) SUP Focal Point. The responsible person in either AIR-100 or AFS-300 who forwards a SUP report received from the FAA Hotline to the appropriate directorate or regional SUP Coordinator. See chapter 2, Objectives and Responsibilities, for additional information on Focal Point functions.

m. Improper Maintenance. Refers to a part or component that has been returned to service by a certificated person without the work being completed in accordance with 14 CFR part 43 or an approved process/procedure acceptable to the Administrator. Improper maintenance/alteration of an approved part does not render the part unapproved, but can render the part ineligible for installation because the part was not maintained or altered in accordance with the provisions of part 43 (See FAA Order 8900.1, Volume 6, Chapter 2, Section 37, Improper Maintenance and Alterations ).

n. Law Enforcement Agency (LEA). The Department of Transportation OIG, Federal Bureau of Investigation (FBI), Defense Criminal Investigation Service (DCIS), U.S. Customs Service, or other local, state, or federal entities having authority to enforce pertinent laws.

o. Official File. A file established and maintained by the Directorate (AIR) or Regional (AFS) SUP Coordinator that serves as the “master” file for each SUP investigation. The file contains the required forms, letters, and correspondence relative to the investigation, and copies of any documents reflecting the outcome. The official file, maintained by the directorate or regional SUP Coordinator, is used to support Freedom of Information Act (FOIA) requests and various decisions made relative to the investigation.

p. Product . An aircraft, aircraft engine, or propeller, as defined in 14 CFR, Part 21.

q. Reporter. Any person who furnishes information regarding a SUP.

(1) Anonymous Reporter. One who deliberately withholds personal information that might reveal their identity such as the name, address, and phone number.

D2 6/3/16 8120.16A Appendix D (2) Confidential Reporter. One who requests confidentiality of their personal information.

(The reporter should check the appropriate box on FAA Form 8120-11 to indicate that confidentiality is requested.) Information provided for law or regulatory enforcement purposes will be protected under FOIA, to the greatest extent allowed. If the confidentiality is requested, details relevant to the SUP report that could reveal the reporter’s identity are not to be released outside the agency.

r. Sensitive Unclassified Information (SUI) . FAA Order 1600.75, Protecting Sensitive Unclassified Information , defines SUI as unclassified information — in any form including print, electronic, visual, or aural forms — that must be protected from uncontrolled release to persons outside the FAA and indiscriminate dissemination within the FAA. It includes aviation security, homeland security, and protected critical infrastructure information. SUI may include information that may qualify for withholding from the public under the Freedom of Information Act (FOIA). Refer to 1600.75 for further information on the different types of SUI the FAA handles in routine operations.

s. Standard Part. A part manufactured in complete compliance with an established industry or U.S. Government or international specification that includes design, manufacturing, test and acceptance criteria, and uniform identification requirements. It also includes a type of part that the Administrator has found demonstrates conformity based solely on meeting performance criteria and is in complete compliance with an established industry or U.S.

Government specification, which contains performance criteria, test and acceptance criteria, and uniform identification requirements. The specification must include all information necessary to produce and conform to the part and be published so that any party may manufacture the part.

Examples include, but are not limited to, National Aerospace Standards (NAS), Army/Navy (AN) Aeronautical Standard, Military Standard (MS), Society of Automotive Engineers (SAE), SAE Sematec, Joint Electron Device Engineering Council, Joint Electron Tube Engineering Council, and American National Standards Institute (ANSI).

NOTE: Standard parts are not required to be produced under FAA approval; therefore, it is incumbent upon the installer (and the producer) to determine that the part conforms. The part must be identified as part of the approved type design or found to be acceptable for installation under part 43. Refer to AC 20 62 for additional guidance on this matter.

t. Supplier. A person at any tier in the supply chain who provides a product, article, or service that is used in the design or manufacture of, or installed on, a product or article.

u. Suspected Unapproved Part (SUP). A part that is suspected of failing to meet any of the criteria pursuant to § 21.8 or § 21.9. A part that, for any reason, a person believes is not approved for use on a type certificated product. Reasons may include findings such as different finish, size, color, improper (or lack of) identification, incomplete or altered paperwork, or any other unusual or abnormal characteristic.

Note: An “approved part” used in the wrong application should be addressed as a potential part 43 violation; however, it should not be reported as a SUP.

D-3 6/3/16 8120.16A Appendix D Note: Specific to this order, the term “part” does not include raw materials, (i.e., sheet metal stock, sealants, lubricants, raw forgings, casting, or billet material, etc.).

v. Unapproved Part. A part that fails to meet any of the criteria listed in 14 CFR parts 21.8 and 21.9. This includes parts that have been intentionally misrepresented, including counterfeit parts. Examples include: (1) Parts that have passed through a PAH’s quality system which do not conform to the approved design/data; NOTE: A new part that has been released from a PAH’s quality system which does not conform to the applicable design data is considered to be a quality escape/non-conforming article. Such a part is ineligible to be installed on a TC aircraft and the recipient of the part should contact the company that supplied the part for replacement.

NOTE : Parts damaged due to shipping or having warranty issues may not be airworthy but they should not be reported as a SUP.

(2) Parts for which required documentation cannot be provided; (3) Supplier produced parts for an approved manufacturer directly shipped to end users without the PAH’s authorization or separate PMA; Note : Some PAH suppliers have direct ship authority to the end user. However, direct ship authority does not apply to parts not specifically included in the PAH’s permission document.

(4) Life limited parts misrepresented as new or having useful time left. If a part is determined to be repairable, it should be documented and controlled so that it is not returned to aviation service until it meets all the necessary airworthiness requirements. If the owner determines that a part is not repairable, it should be destroyed in such a manner that it cannot be returned to aviation service. (For more information on this topic see FAA AC 21-43, Scrap or Salvageable Aircraft Products and Articles, appendix E . ) (5) Parts offered as having been produced under an FAA production approval, where no such FAA approval was issued. (See counterfeit parts above).

(6) Parts previously installed on, or manufactured for, military aircraft that have not been shown to conform to type design criteria as required by FAA regulations.

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6/3/16 8120.16A Appendix E Appendix E. FAA Form 1320-19, Directive Feedback Information U.S.

Department of Transportation Federal Aviation Administration Directive Feedback Information Please submit any written comments or recommendations for improving this directive, or suggest new items or subjects to be added to it. Also, if you find an error, please tell us about it.

Subject: FAA Order 8120.16A To: Directive Management Officer, AIR-510 ( Please check all appropriate line items) □ An error (procedural or typographical) has been noted in paragraph ________ on page _________.

□ Recommend paragraph on page be changed as follows: (Attach separate sheet if necessary) □ In a future change to this order, please include coverage on the following subject (Briefly describe what you want added): □ Other comments: □ I would like to discuss the above. Please contact me.

Submitted by: Date: FTS Telephone Number: Routing Symbol: FAA Form 1320-19 (10-98) E-1