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1、AircraftAirworthinessCertificationDepartmentofCivilAviationAdministrationofChina(CAAC-AAD)AdvisoryCircularNo.:AC-21-AA-2014-36Date:1/26/2014EstablishingtheCertificationBasisofChangedAeronauticalProductsContentsChapter 1. Introduction11. Purpose12. Authority13. Content14. Applicability25. References3
2、Chapter 2. OverviewofCCAR-2121.19and21.10141 .CCAR-2121.1942 .CCAR-2121.1014Chapter 3. TheProcessforEstablishingtheCertificationBasisforChangedProducts61. Overview62. Step1OfFigure1.IdentifyTheProposedTypeDesignChangeToAnAeronauticalProduct83. Step2OfFigureLlstheChangeSubstantial?(CCAR21.19)104. Ste
3、p3OfFigure1.WilltheLatestRequirementsbeUsed?(14CFR21.101(a)115. Step4OfFigure1.RelationofChanges116. Step5OfFigure1.IstheProposedChangeZGroupingSignificant?(21.101(b)1)127. ProposinganAmendmentLevelforaSignificantChange158. ProposinganAmendmentLevelforaNotSignificantChange179. Step6OfFigure1.IstheAr
4、eaAffectedBytheProposedChange?(14CFR21.101(b)2)18Step7OfFigure1.AretheNewRequirementsPracticalandDoTheyContributeMateriallytothe1.evelofSafety?(14CFR21.101(b)3)1910. Step8OfFigure1.IstheProposedTypeCertificationAdequate?22Chapter 4. OtherConsiderations241. DesignRelatedOperatingRequirements242. Spec
5、ialConditions521.101(c)243. EffectivePeriodforanApplicationtoChangeaTC.(21.101(d)244. OtherCategoryAircraft(21,101(e)255. CCAR-26Requirements266. Documentation26Appendix A. ClassificationofChanges27Appendix B. ProcedureforEvaluatingImpracticalityofApplyingLatestRequirementstoaChangedProduct1021. Int
6、roduction1022. ProcedureforEvaluatingImpracticalityOfAppIyingLatestRequirementstoaChangedProduct.1033. ExamplesofHowtoCertifyChangedAircraft108Appendix C. TheUseofServiceExperienceintheCertificationProcess1131. Introduction1132. Guidelines1133. Example:14CFR25.1141(f)PowerplantControlsforTransportAi
7、rplanes115Appendix D. DefinitionsandTerminology118Appendix E. RelatedCodeofFederalRegulationsSections120Chapter 1. Introduction1. Purpose.Thisadvisorycircular(AC)istoprovideguidanceforestablishingthecertificationbasisforchangedaeronauticalproductsinaccordancewithChineseCivilAviationRegulationsPart21
8、(CCAR-21)21.101andtohelpidentifyifitwillbenecessarytoapplyforanewtypecertificate(TC)underCCAR-2121.19.TheguidancedescribestheprocessforestablishingthecertificationbasisforamendedTCs,supplementaltypecertificates(STC)oramendedSTCs,modificationdesignapproval(MDA)oramendedMDAs,detailingevaluations,class
9、ifications,anddecisionsmadethroughouttheprocess.ThisACisalsoapplicabletoestablishthecertificationbasisforvalidationtypecertificate(VTC)and(VSTC),unlessotherwisespecifiedbyairworthinessbilateraldocumentsbetweenCAACandexportauthority.2. Authority.ThisACisformulatedonthebasisofCivilAviationProductsandP
10、arts(CCAR-21).3. Content.ThecontentofthisACisdividedinto4chaptersand5appendices:a. Chapter1explainsthepurposeofthisAC,describesitscontent,andclarifieswhichchangesarewithinthescopeofapplicabilityofthisAC.b. Chapter2providesageneraloverviewofCCAR-2121.101and21.19,clarifiestheprincipalsandsafetyobjecti
11、ves.c. Chapter3containsguidanceforimplementationof21.101(b)toestablishthetype-certificationbasisforchangedaeronauticalproducts.Chapter3describesindetailthevariousstepsofthe“top-down“certificationbasisdevelopmentapproach.Chapter3alsoaddresses21.19considerationstoidentifyconditionsunderwhichanapplican
12、tforatypedesignchangeisrequiredtosubmitapplicationforanewTCandprovidesguidanceatwhichstageoftheprocessthisassessmentistobeperformed.d. Chapter4containsconsiderationsfordesignrelatedoperatingrequirements,useofspecialconditionsunder21A.101(c),theeffectiveperiodofanapplication,CCARpart26requirements,do
13、cumentationofrevisionstothetypecertificationbasisandapproachto4othercategoryaircraff,under21.101(e).e. AppendixAcontainsexamplesoftypicaltypedesignchangesforsmallairplanes,transportcategoryairplanes,rotorcraft,engines,andpropellerswhicharecategorizedintoindividualtablesaccordingtotheclassificationst
14、othelevelofdesignchange-substantial,significant,andnotsignificant.f. AppendixBprovidesdetailedguidancewithexamplesforevaluatingwhencompliancetotherulewouldbeimpracticalunderthe“impracticality”exceptionintherule.g. AppendixCprovidesguidancewithexamplesonuseofrelevantserviceexperienceinthecertificatio
15、nprocessasonewaytoshowthatalateramendmentmaynotcontributemateriallytothelevelofsafety,allowingtheuseofearlierrequirements.hAppendixDliststheapplicabledefinitions,andterminologyforapplicationoftherule.i. AppendixEcontainscrossreferencestotherequirementsof21.19and21.IOLNote:Inordertodescribehowtoestab
16、lishthetype-certificationbasisforchangedaeronauticalproductsbetter,theexamplesinthisACuseFARamendments4. Applicability.a. ThisACappliestomajortypedesignchangesunderCCAR-2121.101foraeronauticalproductscertificatedunderCCAR21,23,25,27,29,31,33,and35.b. Minortypedesignchangesareautomaticallyconsideredn
17、otsignificantunder21.101(b)andthetypecertificationbasisisapprovedinaccordancewithproceduresprescribedbyauthorityunder21.95.c. ThisACalso叩PlieStoaircraftcertificatedunderCCAR-2121.17(b),21.19,21.24,and21.25.d. ThisACisnotintendedtobeusedtodeterminetheapplicableaircraftnoise,fuelventing,andexhaustemis
18、sionrequirementsforchangedproducts.5. References.FAAAC21.101-1A,EstablishingtheCertificationBasisofChangedAeronauticalProducts.Chapter 2. OverviewofCCAR-2121.19and21.1011. CCAR-2121.19.a. CCAR-2121.19requiresthattheapplicantshallapplyforanewTCforachangedproductifthechangeindesign,power,thrust,orweig
19、htisfoundtobesoextensivethatasubstantiallycompleteinvestigationofcompliancewiththeapplicableregulationsisrequired.b. Changesthatrequireasubstantialre-evaluationoftheproductscompliancefindingsarereferredtoassubstantialchanges,Forguidanceseeparagraph3ofchapter3.AppendixAinthisACprovidesexamplesoftyped
20、esignchangesthatwillrequireapplicationforanewTC.c. IftheproposeddesignchangedoesnotrequireanewTCunder21.19,see21.101fortheapplicablerequirementstodevelopthecertificationbasisfortheproposeddesignchange.Forguidance,seechapter3andtheexamplesinappendixAinthisAC.2. CCAR-2121.101.a. CCAR-2121.101(a)requir
21、esachangetoaTCtocomplywiththelatestrequirements,unlessthechangemeetsthecriteriafortheexceptionsidentifiedin21.101(b)and(c).Theintentof21.101istoenhancesafetythroughtheincorporationofthelatestregulatorystandardsinthetypecertificationbasisforchangedproductstothegreatestextentpracticable.b. Youcancompl
22、ywiththeearlierrequirementsconsistentwiththerequirementsof21.101(b),when:(1) Achangeisnotsignificant(see21.101(b)1),or(2) Anarea,system,component,equipmentorappliancearenotaffectedbythechange(see21.101(b)2),or(3) Compliancewithalateramendmentforasignificantchangedoesnotcontributemateriallytothelevel
23、ofsafety(see21.101(b)3),or(4) Compliancewithalatestamendmentwouldbeimpractical(see21.101(b)3).c. NotethatearlieramendmentsmaynotprecedeeitherthecorrespondingamendmentoftheregulationincorporatedbyreferenceinthetypecertificationbasisandanyrequirementfoundinCCAR23.2,25.2,27.2,and29.2.Fortransportcatego
24、ryairplanesonly,theprovisionsofpart26thatisrelatedtothechangeisalsorequired.d. 21.101(b)allowsachangedproducttocomplywithanearlieramendmentofaregulation,providedtheearlieramendmentisconsideredadequateandmeetsthecriteriain21.101(b)1,2or3.However,whenaproposeddesignchangeinvolvesfeaturesorcharacterist
25、icsconsiderednovelandunusualandtheproposedairworthinessstandardsdonotcontainadequateorappropriatesafetystandardsforthisfeature,lateramendmentsand/orspecialconditionswillbeapplied.e. 21.101(b)1.(1)and(2)describetheautomaticcriteriaestablishingthatachangeissignificant.f. 21.101(c)providesfortheuseofsp
26、ecialconditions,under21.16,whentheproposedcertificationbasisandanylaterregulationsdonotprovideadequatestandardstotheproposedchangebecauseofanovelorunusualdesignfeature.g. 21.101(d)prescribestheeffectiveperiodanapplicationwillremainvalidforachange.Thissectionisconsistentwiththerequirementsof21.17fora
27、newTC.h. 21.101(e)pertainstoaircraftcertificatedincertaincategoriesandspecialclasses(e.g.gliders,airships,andothernonconventionalaircraft),includingtheenginesandpropellersinstalledonthem,undertherequirementsof21.17(b),21.24,and21.25airworthinessrequirements.i. Fortransportcategoryairplanes,youmustco
28、mplywitheachapplicableprovisionofCCAR-26forthechange,unlessyouhaveelectedorarerequiredtocomplywithacorrespondingamendmenttoCCAR-25thatwasissuedonorafterthedateoftheapplicableCCAR-26provisions.Chapter3.TheProcessforEstablishingtheCertificationBasisforChangedProducts1. Overview.a. TheapplicantandtheCA
29、ACeachhavearesponsibilityunderCCAR21.101(a)and(b).Asanapplicantforthecertificationofatypedesignchange,youmustshowthatthechangecomplieswiththelatestapplicableairworthinessrequirementsunlessyouproposeanexceptionper21.101(b).Ifyouareproposingexception,youshouldmakeapreliminaryclassificationwhetherthech
30、angeissignificantornotsignificant,andproposeanappropriatecertificationbasis.TheCAACdetermineswhetheryourclassificationofthechangeandproposalforthecertificationbasisareconsistentwiththeapplicablerulesandtheirinterpretation,butshouldnotbedependentonwhethertheTCholderorapplicantforaSTCisoriginatingthec
31、hange.Thecertificationbasiscanvarydependingonthemagnitudeandscopeofthechange.Thestepsbelowpresentastreamlinedapproachformakingthisdetermination.Inadditiontoassistinginthedeterminationofsignificanceandestablishingthecertificationbasis,thisguidancewillhelptoestablishtheappropriateamountofcoordinationr
32、equiredbetweentheapplicantandtheCAAC.b. ClassificationsoftypicaltypedesignchangesareinappendixA,ClassificationofChanges.Seeparagraph6(c)ofthischapterforinstructionsonhowtouseappendixA.c. IncaseswheretheexamplesinappendixAarenotapplicablefortheproposedchange,usethefollowingstepsinconjunctionwithfigur
33、e1,onthenextpage,todeveloptheappropriatecertificationbasisforthetypedesignchange.Figure1.EstablishingtheCertificationBasisforChangedProduct2. Step1ofFigure1.IdentifyTheProposedTypeDesignChangeToAnAeronauticalProduct.a. Priortodescribingtheproposedchange(s),itisimportanttoclearlyidentifythetypedesign
34、configurationtobechanged.Aseriesofderivativeaircraft,engines,orpropellers(forexample,x-100,x-200,x-300)mayevolvebasedonpredecessortypedesigns,eachwithitsowndesignchangethatmakeitdistinctfromtheotherseries.Youshouldidentifywhichmodelorserieswithinthatmodelthespecificconfigurationthatwillbemodified.No
35、te:AnSTCisnotaproduct;itisachangetoaproduct.WhenchangingoramendinganSTC,thestartingpointistheexistingmodifiedproduct(TCwithexistingSTCinstalled).Forexample,ifyouwereamendinganSTCforanexternalcargolockerandyouproposedchangingtheconfigurationofthelocker,thenyourstartingpointwouldbetheexistingTCwiththe
36、existingcargolockerinstalledbySTC.Youwouldthencomparethatconfiguration(TCwithexistingSTCinstalled)tothechangedproduct(TCwithproposedamendedSTCinstalled).b. Changestoaproductcanincludephysicaldesignchanges,changestoanoperatingenvelope,and/orperformancechanges.Thechangecanbeasinglechangeoracollectiono
37、fchanges.Thepurposeofthisprocessstepistoidentifyanddescribethechangetotheaeronauticalproduct.Asanapplicantforatypedesignchangeyoumustconsiderallpreviousrelateddesignchangesandtheamendmentlevelofthecertificationbasisusedforthesechanges.Note1:Bydefinitionallpreviouslyincorporatedchangeswillhavebeenapp
38、roved.Thepurposeofstep1istoconsiderthenetcumulativeeffectofthechangessincethelasttimethecertificationbasisforthechanged/affectedareawasupgradedfromthatoftheoriginaltypedesign.Note2:Forthepurposeofclassifyingtheproposeddesignchange,previouslyapproveddesigndataarestillconsideredpartoftheproposeddesign
39、andmustbeconsideredpartoftheproposeddesignchangeclassification.c. Whenidentifyingthechangesbeingproposedaspartofamodification,considerpreviousrelevantchangesthatcreateacumulativeeffect,asthesemayinfluencethedecisionsregardingsubstantialandsignificantchangeslaterintheprocess.Bypreviousrelevantchanges
40、wemeandesignchangeswhoseeffectsaccumulate,suchassuccessivethrustincreases,incrementalweightincreases,orsectionalincreasesinfuselagelength.Anypreviousrelevantdesignchangesintheareaaffectedbythecurrentchangethatdidnotinvolveanupgradeoftheexistingcertificationbasismustbetakenintoaccountinthenextdesignc
41、hangeproposal.(1) Example1:A5%weightincreaseiscurrentlybeingproposed,butaprevious10%andanother15%weightincreasehasbeenincorporatedintothisaircraftwithoutupgradingtheexistingcertificationbasis.Inthecurrentproposalfora5%weightincrease,thecumulativeeffectsofthetwopreviousweightincreasesthatdidnotinvolv
42、eupgradeofthecertificationbasiswillnowbeaccountedforasanapproximately30%increaseinweight,forthepurposeofmakingthesubstantialand/orsignificantdecisions.Notethatthecumulativeeffectstobeconsideredarethoseincrementalincreasessincethelasttimetheairworthinessrequirements,inthetypecertificationbasisapplica
43、bletotheareaaffectedbythecurrentchange,wereupgraded.(2) Example2:TheTCforairplanemodelXliststhreeseries,namelyX-300,X-200,andX-100.TheX-300isaderivativeoftheX-200whichisaderivativeoftheoriginalX-100series.AnapplicantproposesadesignchangetotheX-300seriesairplane.DuringthereviewoftheX-300certification
44、basisandtheregulationsaffectedbytheproposedchange,itwasidentifiedthatoneregulation,25.571(damagetolerancerequirements),remainedatthesameamendmentlevelastheX-100originalcertificationbasis(exceptionwasgranted).Sincetheamendmentlevelforthisparticularregulationwasnotchangedforthetwosubsequentairplaneser
45、ies(X-200andX-300),thecumulativeeffectsofthesetwopreviousdesignchangesthatarerelatedtotheproposedchangeandthedamagetolerancerequirementsmustnowbeaddressed.d. Toidentifyanddescribetheproposedchangestoanyaeronauticalproduct,useahighleveldescriptionofthedesignchangethatcharacterizestheintentof,ortherea
46、sonfor,thechange.Nocomplextechnicaldetailsarenecessaryatthisstage.Forexample,aproposaltoincreasemaximumpassenger-carryingcapacitymayrequireanadditionofafuselageplug,andassuch,afuselageplug“becomesonepossiblehighleveldescriptionofthisdesignchange.Similarly,athrustincrease,aneworcompleteinterior,anavi
47、onicssystemupgrade,orapassenger-to-cargoconversionareallhighleveldescriptionsthatcharacterizetypicalchangestotheaircraft,eachdrivenbyaspecificgoal,objectiveorpurpose.e. EvolutionaryChanges.Evolutionarychangesthatoccurduringthecourseofacertificationprogrammayrequirere-evaluationofthecertificationbasi
48、sandmayresultinreclassificationofthechange.Thatis,anyevolutionintheproposeddesignchangeafterthecertificationbasishasbeenagreedto(orestablished)willnecessitatearevisitofthecertificationbasistoensurethat“evolved”aspectsofthedesignchangearestillcoveredbytheagreeduponcertificationbasis.3. Step2ofFigure1.IstheChangeSubstantial?(CCAR21.19)a. 21.19requiresthatyouapplyforanewTCforachangedproductiftheproposedchangeindesign,power,thrust,orweightissoextensivethatasubstantiallycompleteinvestigationofcompliancewiththeapplicableregulationsisrequired.Ane
