Regulatory Requirements for Aircraft Certification

Introduction

The FAA has a mandate to promote safety—of people carried in an aircraft, of other aircraft in flight in the same airspace, and of people and property on the ground beneath the flight path of aircraft.

Within that framework, the FAA has three main priorities:

1. continued airworthiness
2. rulemaking and enforcement
3. certification

The Standard Airworthiness Certificate is the last in a fixed sequence of events that must occur in airplane product certification. The full sequence includes:

• design approval (Type Certificate)
• production approval (Production Certificate)
• approval of individual products (for transport aircraft, a Standard Airworthiness Certificate)

First-time quality of design requires a working knowledge of the FAA, its hierarchy and regulations, the approval process, and the systems engineer’s part in the certification process. Toward that end, this section covers the following topics:

• FAA and DAC working relationship—background of the regulations, responsibilities of the airframe manufacturers, and the roles of the DER and FAA
• FARs—definitions and their role in the certification process
• The certification process—with emphasis on design and engineering certification requirements
• The production approval process
• Airworthiness certification
• The continuing airworthiness process

The systems engineer’s understanding of this should lead to an increased awareness of the FAA’s type design and continuing airworthiness certification process. It should also generate a better sense of teamwork and create an environment of mutual respect and cooperation between players.

Federal Aviation Regulations (FARs)

FARs are issued by the FAA to implement the provisions of the Federal Aviation Act, which outlines only the basic objectives with little detail. Compliance with the FARs is mandatory for a person or group seeking the kind of certificate or approval to which the particular FAR applies.

Once a certificate or approval is issued for a purpose that requires ongoing compliance (such as production certification), noncompliance with, or violation of, the terms of the approval could result in civil penalty or administrative enforcement action. If the infraction is of a serious nature, the certificate or approval could be suspended or revoked (Table 7.10.1).

Table 7.10.1

FAR Part 1	Definitions & Abbreviations^a
FAR Part 11	General Rulemaking Procedures
FAR Part 15	Administrative Claims Under Federal Tort Claims Act
FAR Part 21	Certification Procedures for Products and Parts^a
FAR Part 25	Airworthiness Standards: Transport Category Airplanes^a
FAR Part 33	Airworthiness Standards: Aircraft Engines
FAR Part 36	Noise Standards: Aircraft Type & Airworthiness Certification^a
FAR Part 39	Airworthiness Directives^a
FAR Part 43	Maintenance, Preventive Maintenance, Rebuilding, & Alteration
FAR Part 45	Identification & Registration Marking
FAR Part 91	General Operating & Flight Rules^a
FAR Part 121	Certification & Operations: Domestic, Flag, and Supplemental Air Carriers & Commercial Operators of Large Aircraft^a
FAR Part 145	Repair Stations
FAR Part 183	Representatives of the Administrator

^a Special focuses for Boeing, Airbus or similar Aircraft OEMs.

New or Amended FARs

Anyone may propose new FARs or amendments to existing FARs. The FAA may initiate the action, or private individuals or organizations may petition the FAA for rulemaking action. The procedures for such actions are contained in FAR Part 11.

Airworthiness Directives

Airworthiness Directives (ADs) are issued by the FAA when an unsafe condition exists in a type-certificated product, and that condition is likely to exist in other products of the same type design. ADs have the same authority as FARs, and as such, compliance with an Airworthiness Directive is mandatory. Noncompliance with an AD would be in violation of the terms of issuance of the Airworthiness Certificate, resulting in its invalidation—in effect, grounding the aircraft. The same effect would result if an engine, propeller, or appliance with an unincorporated AD is installed on an aircraft.

Since ADs have the same authority as FARs, their processing must generally follow the same procedures applicable to FAR rulemaking. The exception is when urgent corrective measures for in-service aircraft are considered necessary. In such an event an AD may be issued immediately without the full rulemaking process. These are called Adapted Rule ADs or Telegraphic ADs.

The need for an AD may be brought to light as a result of an accident, maintenance problems, routine inspections, etc., the primary criteria being that an unsafe condition was found that is likely to exist in other aircraft. The Aircraft Certification Directorate, usually in conjunction with the local Aircraft Certification Office, is responsible for drafting the Airworthiness Directive and for coordinating the rulemaking process. The text of the AD, as well as any corrective action, is usually done as a joint effort between the FAA’s Engineering Division and the manufacturer; or it may include others, such as the person or organization representing the aircraft operators.

The corrective action (inspection, repair, or modification) may be detailed in the AD itself, or in another document—such as a manufacturer’s Service Bulletin—and referenced in the AD.

FAA Designees

Because of limited resources, the FAA relies heavily on the use of external organizations and individuals to act as designees for the FAA, under Section 314 of the Federal Aviation Act.

Following is a description of the various types of designees that may be involved in FAA findings of compliance, along with a brief description of their responsibilities.

Designated Engineering Representative

A Designated Engineering Representative (DER) is a person appointed by the FAA to act as their representative. Some DERs are employees of that manufacturer (company DERs); some are private individuals (consultant DERs).

The primary duties of the DER include:

• Approving or recommending approval of design data for issuance of Type Certificates or amendments of Type Certificates;
• Conducting compliance inspections and witnessing tests;
• Recommending approval of flight test programs and conducting flight tests and other evaluations.

All of the these duties, as well as others, are performed only as authorized by the FAA appointing office. Additionally, the only form a DER is authorized to sign is a Statement of Compliance form (8110-3).

To qualify as a DER, the applicant must have the appropriate degrees and/or experience, be familiar with FAA certification programs, and be knowledgeable about FAA regulations and procedures.

Though consultant DERs perform generally the same functions as company DERs, they are usually involved in modification projects, the scope of which is authorized by the FAA appointing office.

Designated Manufacturing Inspection Representative

A Designated Manufacturing Inspection Representative (DMIR) is an employee of the company holding an FAA production approval (such as a Production Certificate). Unlike DERs, there are no FAA provisions for “consultant” DMIRs.

The functions of the DMIR include:

• Conducting conformity inspections of prototype or test articles for design approval projects under the direct supervision of FAA Manufacturing Inspectors.
• Issuing Airworthiness Certificates or export approvals for products produced by the DIVER’ s employer.
• Performing authorized functions at any location authorized by the DMIR’s appointing office.

DMIRs are not authorized to perform any functions related to their employer’s production approval (such as quality assurance audits or surveillance), because of the conflict of interest ramifications of such actions. The functions involved with initial approval and subsequent surveillance of production facilities are reserved for FAA manufacturing inspectors only.

The qualifications for a DMIR are essentially the same as those for an FAA manufacturers inspector.

Designated Airworthiness Representatives

The role of the Designated Airworthiness Representative (DAR) includes the following functions:

• Issuing Airworthiness Certificates or export approvals as authorized by the FAA appointing office for products found to conform to the FAA approved design data.
• Conducting conformity inspections of prototype or test articles to be used in type certification or supplemental type certification programs.
• Issuing conformity certifications for components manufactured by US suppliers for foreign product manufacturers when requested by the civil air authority of the country in which the manufacturer is located. DARs report to the Flight Standards Division of the FAA, through the Flight Standards District Office (FSDO). Though the functions of the DAR and DMIR are virtually the same, the DMIR’s appointment is valid only for new products produced by his/her employer, while a DAR’s appointment is valid for any make or model of product for which the DAR is found qualified, either new or used, whether located in the United States or abroad.