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1、AirworthinessProcedureAircraftAirworthinessCertificationDepartmentofCivilAviationAdministrationofChina(CAAC-AAD)No.:AP-21-AA-2014-36Date:1/26/2014HowtoEstablishtheCertificationBasisforChangedAeronauticalProductsHowtoEstablishtheCertificationBasisforChangedAeronauticalProducts1. PurposeThisairworthin
2、essprocedure(AP)providetheproceduresfordeterminingthecertificationbasisforchangestotypecertificatedproducts,implementingChineseCivilAviationRegulationsPart21(CCAR-21)21.19and21.101.TheseproceduresapplytodesignchangesmadethroughanamendedTypeCertificate(TC),aSupplementalTypeCertificate(STC),anamendedS
3、TC,aModificationDesignApproval(MDA)oranamendedMDA.Theseproceduresalsoapplytotypevalidationprogramsofforeignauthority.UnderthisAP,AircraftCertificationServicemustapplytheseprocedurestodeterminethecertificationbasisforchangedproducts.2. AuthorityThisACisformulatedonthebasisofCivilAviationProductsandPa
4、rts(CCAR-21).3. ReferencesAP-21-AA-201l-03-R4,TypeCertificationProceduresAP-21-14,SupplementalTypeCertificationProceduresAP-21-15,CertificationProceduresforModificationDesignofImportCivilAircraftAP-21-01R2,ValidationProceduresforImportCivilAviationProductsandPartsAP-21-AA-2009-19,ValidationProcedure
5、sforUSAAviationProductsandTSOArticlesAC-21-AA-2014-36,EstablishingtheCertificationBasisofChangedAeronauticalProducts4. BackgroundThegeneralcertificationproceduresforproducts(aircraft,aircraftengines,andpropellers)andpartsareinCCAR-21.21.16through21.29,and21.101specifycertainregulationsandtheapplicab
6、leairworthinessstandardsfortypecertificationofnewandchangedproducts.Thetermchangedproducf,-usedthroughoutCCAR-21andthisAP一includeschangesthataremadethroughanamendedTC,anSTC,anamendedSTC,aMDAoranamendedMDAPreviousCCAR-21section33requiredthatanapplicantforachangetoaTCcomplywitheithertheregulationscite
7、dintheTCorapplicableregulationsineffectonthedateofapplication,plusanyotheramendmentstheAdministratorfoundtobedirectlyrelated.CurrentCCAR-2121.101,Designationofapplicableregulations,9appliestochangesinthetypedesignofaircraft,aircraftengines,andpropellers,whichdonotrequireanewTCunder14CFR21.19.Thispro
8、cedureenhancessafetybyapplyingthelatestairworthinessstandards,tothegreatestextentpractical,forcertifyingsignificantdesignchanges.Forvalidationprograms,thevalidatingauthority,sdateofapplicationisthedatetheapplicantappliedtothecertificatingauthorityforthedesignchange.ApplicantsshouldconsultindividualB
9、ilateralAviationSafetyAgreementImplementationProceduresforAirworthiness(BASAIPA)whendevelopingthevalidationbasisforanamendedTC,STC,oramendedSTCprogram.Under21.101(a),achangetoatypecertificatedproductmustcomplywiththelatestrequirements,unlessitcomplieswiththeexceptionsin21.101(b).Thecertificationbasi
10、sdoesnotdependonwhethertheTCholderoranapplicantforaSTCisoriginatingthechange. 1.101 (b)describescriteriaforwhenanapplicantcanuseearlierrequirements.Applicantsmayuseearlierrequirementswhenthechangeisnotsignificant.Incaseswheredesignchangesinvolvefeaturesthathavenoadequateregulatorystandardintheexisti
11、ngcertificationbasis-butlaterappropriateregulationsexist-theAdministratorrequiresthatapplicantsuseappropriatelaterregulationsfortheproposeddesignchange.Fornotsignificantdesignchanges,theruleallowscontinuedcompliancewiththeexistingcertificationbasis,unlessthereisnoadequateregulatorystandardintheexist
12、ingcertificationbasis,withoutfurtherapprovalbytheAdministrator.21.101(b)1.(1)and(2)describestheautomaticcriteriafordeterminingifthechangeissignificant.Under21.101(b)2and3,applicantsmayuseearlierrequirementsforsignificantchangestoareasnotaffectedbythechange,orforcaseswherecompliancetothelatestrequire
13、mentswouldnotcontributemateriallytothelevelofsafetyorwouldbeimpractical.Earlieramendmentsmaynotprecedethecorrespondingregulationlistedintheexistingcertificationbasis.Under21.101(c),specialconditionsapplywhentheregulationsdonotprovideadequatestandardsfortheproposedchangebecauseofanovelorunusualdesign
14、feature.21.101(c)appliestosignificantandnotsignificantdesignchanges. 1.102 (d)explainshowlonganapplicationremainsvalidforachangetoaTC,includingSTCs.AnapplicationforachangetoaTCforatransportcategoryaircraftiseffectiveforfiveyears,andanapplicationforachangetoanyothercategoryaircraftiseffectiveforthree
15、years.5. RolesandResponsibilitiesThefollowinginformationidentifiestherolesandresponsibilitiesforboththeapplicantandAircraftCertificationServiceduringcertificationprojects:a. Applicants:(1) Identifyandevaluatetheproposedchange.Inassessingthechange,definetheaffectedareasandincludepreviousrelevantdesig
16、nchangesalongwiththerelated,appropriateregulations.Theevaluationshouldbecomprehensiveenoughtofullyunderstandthescopeofthechange.(2) IdentifyifthechangeissignificantornotsignificantattheproductlevelusingtheinformationinAC-2l-AA-2014-36.Thedeterminationofsignificancemustincludeareviewofanypreviousrele
17、vantdesignchanges.(3) Applythelatestregulationsforsignificantchanges,unlessaproposalispresentedtoapplyearlierregulations.Theapplicantmayproposetouseoneoftheexceptionsof21.101(b)2or3,thatis,notaffectedarea,doesnotcontributemateriallytothelevelofsafety,and/orimpracticality.(4) Proposeacertificationbas
18、iswithappropriateamendmentlevels.b. AircraftCertificationService:(1) Guidestheapplicantonhowtoapplytherule.(2) Usesthedelegationsystemtostreamlineimplementation.AircraftCertificationServicemustworkcloselywithitsapplicantstoestablishaneffectivedelegationsystem.(3) Approvesordisapprovesthelatestamendm
19、entexceptionsasproposedbytheapplicant.Whentheapplicantproposesexceptions,theCAACengineermustreviewdatasubmittedandmakeafinding.ManytimestheAdministratorwillhavepredeterminedifthechangeisnotsignificant.ThetableinAppendixAofAC-2l-AA-2014-36containsexamples-predeterminedbytheAdministrator-ofsubstantial
20、,significant,andnotsignificantdesignchanges.(6) UsestheG-Iissuepapertorecordissuesandresolutionforchangestothecertificationbasis.TheG-Iissuepaperwouldnormallybeusedtodocument:significantchangeswhereearlierregulationsareappliedper21.101(b)2,3(unaffectedarea,contributiontothelevelofsafety,andimpractic
21、ality);notsignificantchanges,duetoaninadequatecertificationbasis,requiringtheuseoflaterregulations;andtheapplicationofspecialconditionsper21.101(c).(7) Determinesthecertificationbasis.Toestablishthecertificationbasisforvalidationprograms,theproceduresintheappropriateBASAIPAshouldbeconsult.6. Determi
22、ningtheApplicabilityof21.101forChangedProductsa. Achangetoatypecertificateasstatedin21.101referstochangesintypedesign.Minorchanges(asclassifiedby21.93andapproved21.95)arebydefinitionconsideredtobenotsignificant.Therefore,theycanbeapprovedpertheexistingcertificationbasis.b. Substantialchanges(21.19)t
23、oaproductthataresoextensivethattheyrequireacompleteinvestigationofcompliancerequireanewTC.TheAdministratorweighsthemagnitudeoftheproposeddesignchangeagainstthedegreeofinvestigationneededtoestablishcompliancewiththeregulations.Newtypecertificatesrequiretheuseoftheregulationsineffectonthedateofapplica
24、tionforthechange.Thefollowingtableoutlinesthecertificationprocessforsubstantialandnotsubstantialchanges:IftheAdministratorndsthattheproposeddesignchange.Thentheapplicantmust.And.Issubstantial.SubmitanapplicationforanewTC.Establishthecertificationbasis(21.17),usingtheregulationsineffectonthedateOfapp
25、licationforthechange.Isnotsubstantial.Complywith21.101.Developthecertificationbasis,perguidanceinthisorderandAC-2l-AA-2014-36.c. SamplesofadesignchangethatrequireanewTCarenolongerlistedin21.19.Thesedesignchangesarenowevaluatedcasebycase.d. 21.101appliestoallchangestotypecertificatedproductsregardles
26、sofapprovalmethod:amendedTC,STC,oramendedSTC,MDAoramendedMDA.e. Thecertificationbasiscanvarydependingonthemagnitudeandscopeofthechange.SeethetablesinAppendixAofAC-21-AA-2014-36forclassificationsoftypicalsubstantial,significant,andnotsignificantdesignchanges.Wheretheclassificationisnotobviousforthepr
27、oposedchange,followParagraph7andFigure1ofAC-2l-AA-2014-36todeterminetheappropriatecertificationbasisforthechangedproduct.f. Aproductlevelchangeisachangeorcombinationofchangesthatmakestheproductdistinctfromtheexistingproduct(forexample,range,payload,speed).Productlevelchangeisdefinedattheaircraft,air
28、craftengine,orpropellerlevelandwouldresultinanamendedTC,STC,oramendedSTC,MDAoramendedMDA.Thesechangestypically,butnotalways,resultinamodelchangethatrequiresanamendmenttotheTC.However,amodelchangeisnotaprerequisiteforaproductlevelchange.Asystemorcomponentchangecanalsorisetotheproductlevel.Theproductl
29、evelchangeconceptisdirectlyrelatedtothedeterminationofsignificance,thatis,thecriteriausedtodeterminesignificance.Toassessifachangeissignificant,theapplicantmustconsiderthechangeanditseffectontheoverallaircraft,aircraftengine,orpropellerattheproductlevel.g. Asignificantchangeisachangetothetypecertifi
30、catetotheextentthatitchangesoneormoreofthefollowing:generalconfiguration,principlesofconstruction,ortheassumptionsusedforcertification,butnottotheextenttobeconsideredasubstantialchange.Thesignificanceofthechangemustbeconsideredinthecontextofallpreviousrelevantdesignchangesandallrelatedrevisionstothe
31、applicableregulations.Notallchangesorproductlevelchangesaresignificant.21.101(b)1definesasignificantchangebasedonthreeautomaticcriteria:(1) Significantchangestothegeneralconfigurationarechangeslikelytorequireanewmodeldesignationtodistinguishtheproductfromotherproductmodels,forexample,performanceorin
32、terchangeabilityofmajorcomponents.(2) Significantchangestotheprinciplesofconstructionarechangestothematerialsand/orconstructionmethodsthataffecttheoverallproductsoperatingcharacteristicsorinherentstrength.Theywouldrequireextensivereinvestigationtoshowcompliance.Anexampleisaprimarystructurechangefrom
33、metaltocomposites.(3) Significantchangestotheassumptionsusedforcertificationarechangestotheproductlevelassumptionsassociatedwiththecompliancedemonstration,performance,oroperatingenvelope.Thesechangesaresodifferentthattheyinvalidatetheoriginalassumptions.Examplesmayinclude:(a) Changinganaircraftfroma
34、nunpressurizedtopressurizedfuselage;(b) Changingoperationofatransportfixedwingairplanefromland-basedtowater-based;and(c) Operationenvelopeexpansionsthatareoutsidetheexistingdesignparametersandcapabilities.Merelyexpandingtheenvelopeforwhichtheproductwasoriginallydesignedisgenerallynotasignificantchan
35、gebecausetheassumptions-thatis,themethodologyorapproach-usedforcertificationofthebasicproductremainvalid.Theapplicantcanusethemethodology/approachforthechangedproductwithpredictableeffects.h. Typicallyachangetoasinglearea,system,orcomponentwillnotresultinaproductlevelchange.Howevertheremaybedistinct
36、caseswherethechangetoasinglesystemorcomponentmay,infact,resultinasignificantchange.Forexample,mostavionicssysteminstallationsadapteasilyanddonotchangetheproduct,sgeneralconfigurationorprinciplesofconstruction.However,whereasysteminstallationaffectstheaircraft,soperation,performance,orcapability,itma
37、y,inturn,invalidatetheoriginalassumptionsusedforcertification,andthereforeresultinasignificantchangeunder21.101(b)1.i. Previousrelevantdesignchangescantriggeroneormoreofthecriteriain21.101(b)1.(1)and(2).Whenassessingasignificantdesignchange,eithersingularlyorcollectively,considerthecumulativeeffecto
38、fpreviousrelevantdesignchanges.ApplicantsmayhaveincludedthesepreviousdesignchangesthroughearlierchangesintheTC.Thecollectiveresultmaybeaproductconsiderablydifferentfromthelatestupdatedcertificationbasisfortheproductormodel.Twoexamplesofpreviousrelevantaircraftdesignchanges,whichaddressthoseincrement
39、alincreases,areweightorthrust.Whileindividuallynotsignificant(forexample,2percent,4percent,or5percentdiscreteincreases),thesechangescan-throughaseriesofchanges-becomeasignificantchangeasincrementalchangesaremadetotheproduct.j. Ifaproposeddesignchange,togetherwithanypreviousrelevantdesignchanges,trig
40、gersanyofthethreecriteriain21.101(b)1.(1)and(2),thechangeissignificant.Laterregulatoryamendmentsbythemselvescannotdrivethedesignchangetobesignificant.SeeAC-21-AA-2014-36,Paragraphs6and7foradditionalguidanceonassessingsignificance.Theapplicantmustassesstheeffectsofasignificantchangeonothersystems,com
41、ponents,equipment,orappliancesoftheproductbecauseareasthathavenotbeenchangedmaybeaffected.However,theapplicantneednotresubstantiatethoseareasoftheproductwherethechangeortheupdatedcertificationbasiswillnotinvalidatetheoriginalsubstantiation.Ifthesignificantchangedoesnotaffectanarea,thentheapplicantne
42、ednotrevisitthecertificationbasisofthatarea.1.Secondarychangesarechangestotheaffectedareasthatarepartof,andconsequentialto,thedesignchange.Theydonotaddnewcapabilitiesorcapacitytotheproduct,andarealwaysrequiredbythesignificantchangetocompletetheinstallation.Examplesofsecondarychangesinclude:extending
43、hydrauliclineforlandinggear,addingcircuitbreakersforacomprehensiveflightdeckupgrade,extendingventilationducting,lengtheningcontrolcablesorwiringtoaccommodateafuselageplug.Secondarychangesareconsiderednotsignificantandmaycontinuetocomplywiththeexistingcertificationbasis.m.TheAdministratorevaluatesade
44、signchangeonanengineorpropellerindependentlyoftheaircraft.However,applicantsmustassessengineorpropellerdesignchangeswheninstalledattheaircraftlevel.Theyalsoshouldestablishaseparateclassificationfortheproduct.Asignificantchangeattheengineorpropellerlevelmaynotbesignificantattheaircraftlevelorvicevers
45、a,andmayrequiredualcertification(onefortheengineorpropeller,andtheotherfortheaircraft).k. TheairworthinessrequirementsineffectonthedateofapplicationareinCCAR-21,23,25,27,29,31,33,and35.7. CertificationBasisforSignificantChangesa. IftheAdministratorclassifiesthechangeassignificant,theapplicantmustcom
46、plywiththeamendmentsineffectonthedateofapplicationforthechange.Theapplicantmayusetheexceptionsin21.101(b)2and3toshowcompliancewithearlieramendmentsorwiththeexistingcertificationbasis.Forareasnotaffectedbythechange,andareasaffectedbythechangeforwhichcompliancewiththelatestrequirementswouldnotcontribu
47、temateriallytothelevelofsafetyorwouldbeimpractical,theapplicantmustprovideacceptablejustificationtosupporttheapplicationoftheearlieramendments.Thefinalcertificationbasismaycombinethelatest,earlier,andexistingregulations,butnotregulationsthatprecedetheexistingcertificationbasis.Paragraph8andAppendice
48、sBandCoftheAC-21-AA-2014-36describeexceptionsto21.101(b)2and3.b. Pursuingachangeforaspecificproductmaynotbeeconomicallyviableforallapplicants.Someapplicantscannotaffordchangesthataredeemedpractical.Becausecompliancewiththelatestregulationsmaybeaffordableforalargemanufacturerbutnotasmallerone,thechan
49、gemayappearpracticalforthelargermanufacturer,butimpracticalforthesmallerone.Toavoidcreatingbusinessinequities,bothwouldberequiredtocomplywiththesameamendmentlevelofaparticularregulation.8. CertificationBasisforChangesThatAreNotSignificantWhenthechangeisdeterminedtobenotsignificant,theruleallowscontinuedcompliancewiththeexistingcertificationbasisexceptinthefollowingcases:a. Ift
